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FULL PACKET_2016-05-03
MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA APRIL 19, 2016 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:14 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VICENTE SARMIENTO, Mayor Pro Tern (5:17 p.m.) ANGELICA AMEZCUA (5:20 p.m.) P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA (5:45 p.m.) SAL TINAJERO COUNCILMEMBERS Absent: NONE STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS — None COUNCIL RECESSED to Room 147 for Closed Session discussion at 5:14 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: Johnny Quiias v. City of Santa Ana; Workers' Compensation Appeals Board case number ADJ9206861; ADJ9206862; ADJ7688972; ADJ9296613 CITY COUNCIL MINUTES 10A-1 APRIL 19, 2016 Gerald Amende vs. City of Santa Ana; Workers' Compensation Appeals Board case numbers: ADJ8208152; ADJ8208149; ADJ8204984; ADJ9589936; ADJ9591520; ADJ9591521; ADJ8221130 1901 First Street Owner LLC v. Tustin Unified School District, Orange County Superior Court Case No.: 30-2015-00803234-CU-WM-CJC Vicente Rodriguez et al. v. City of Santa Ana Orange County Superior Court Case No. 30-2016-00806655 2. CONFERENCE WITH LEGAL COUNSEL —PENDING LITIGATION pursuant to Section 54956.9(d) of the Government Code: Jose Eduardo Arellano v. City of Santa Ana, United States District Court Case No. SACV14-1886 JVS (DFMx) 3. LIABILITY CLAIMS pursuant to section 54956.95 of the Government Code: 1901 First Street Owner, LLC CLOSED SESSION REPORT - See Item 19A for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 6:10 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL MINUTES 10A-2 APRIL 19, 2016 CALLED TO ORDER REGULAR OPEN MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:13 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VICENTE SARMIENTO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA SAL TINAJERO PLEDGE OF ALLEGIANCE INVOCATION PRESENTATIONS COUNCILMEMBERS Absent: None STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council MAYOR PULIDO DR. CURTIS SMITH, POLICE CHAPLAIN CERTIFICATES OF RECOGNITION presented by MAYOR PRO TEM SARMIENTO to the following organizations that partnered with the City of Santa Ana to host the 2016 Citizenship Fair: Active Learning; AFL-CIO Immigration Project; Chapman University School of Law; Fullerton College; LDS Santa Ana Spanish Stake; LGBT Center of OC; Loyola Law School; Orange County Communities Organized for Responsible Development; Orange County Labor Federation; Public Law Center; Santa Ana College; Santa Ana Youth & Government; Shertmetal Workers; UC Irvine School of Law; UFCW 324; Unite Here Local 11; Western State College of Law; Whittier Law School. CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER MARTINEZ to the Santa Ana High School Boy's Wrestling Team for capturing the CIF title: CITY COUNCIL MINUTES 10A G APRIL 19, 2016 Coaches: Gary Ayon; Edgar Cisneros; Jesse Doyle; Scott Glabb; Isaac Lomeli; Travis Mielke; Gonzalo Perez; Jose Valdivinos; Daniel Woiwor Players: Ronne Alfaro; Ricardo Alvarez; Eduardo Anguiano; Jesus Antunez; Edward Bilezekchian; Alex Blanco; Joey Daniel; Juan Espinoza; Guillermo Guerrero; Andrew Maldonado; Jose Mata; Christian Montes; Ricardo Navarrete; German Prudencio; Miguel Ramos; Anthony Reveles; Ricardo Solorio. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER REYNA to Gloria Alvarado for her outstanding work in community for the last 25-30 years. CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER REYNA to the Coaching Staff, Team Moms and Boys' Basketball Division Champions from Divisions A, B, C and MM for their participation in the Boys Basketball Program: 1. Division A: Heat: Coaches: Ed Raya; Ignacio Salazar; Players: Abraham Arias; Kevin Baltazar; Angel Berrum; Christian Calderon; Adam Marenco; Daniel Navarro; Kenneth Pham; Ignacio Salazar; Isaiah Tapia; Dillon Taing. Clippers: Coaches: Ryan Ton; Bryan Avila. Spurs: Coaches: Jesus Hurtado; Rigoberto Bautista; Team Mom: Jennifer Solis. Cavaliers: Coaches: Ivan Escamilla; Danyal Aguila; Eddie Aviles; Team Mom: Sandy Aguilar. Raptors: Coaches: Leon Raya; Michael Canada; Chris Mejorada; Team Mom: Pearl Raya. Thunder: Coaches: Valentin Valencia; Jazelle Valencia. Knicks: Coaches: Tom Torres; Pedro Alvarez; Thomas Torres. Bulls: Coaches: Eddie Guzman; Eddie Guzman Jr. Warriors: Coaches: Paul Dominguez; Paul Dominguez Jr. Lakers: Coaches: Richard Salinas; Daniel Estrada. 2. Division B: Lakers: Coaches: Nick Sanchez; Israel Aldana. Players: Osvaldo Alcocer; Joshua Azucena; Jesus Cerda; Marco Cerda; Abel Contreras; Jose David Martinez; Anthony Regalada; Ethan Serrato; Anthony Sierra; Daniel Valencia. Clippers: Coaches: Sergio Klotz; Pedro Pinon. Spurs: Coaches: Juan Almazan; Andres Rubio. Cavaliers: Coaches: Eddie Cueva; Jacob Cueva; Team Mom: Liz Haro. Raptors: Coaches: Jose Lopez; Andrew Lopez. Knicks: Coaches: Hell Guerrero; Abraham Guerrero. Bulls: Coaches: Brian Montes; Anthony Lara. Warriors: Coaches: Raul Ortiz; Angel Castillo; Brianna Sanchez. Heat: Coaches: Tony Ceja Jr.; Tony Ceja Sr. Hornets: Coaches: Victor Espinoza. Sonics: Coaches: Alejandro Nunez; Alan Linzaga. 3. Division C: Heat: Coaches: Jose Espinoza; Johara Garcia. Players: Sebastian Aguilar; Christian Aguilar; Malaki Bush; Mateo Bush; Alex Espinoza; Isaiah Gonzalez; Jesus Guerrero; Isaiah Ibarra; Miguel Montes; Andrew Mora. Cavaliers: Coaches: Pablo Garcia; Roger Gomez; Antonio Lopez. Bulls: Coaches: Rico Guillermo; Martin Valenzuela. Hornets: Coaches: Victor Perez; Erik Canelo. Raptors: Coaches: Art Rea. Thunder: Coaches: Hasheem Hicks. Warriors: Coaches: Angel Almazan. Knicks: Coaches: Bryan Espinoza. Clippers: Coaches: Juan Nunez; Alex Curiel. Spurs: Coaches: Alonso Loya; Katie Vasquez; Joseph Loya. Lakers: Coaches: Andres Morales; Steven Martinez; Christian Gardano. CITY COUNCIL MINUTES 10A-4 APRIL 19, 2016 4. Division MM: Heat: Coaches: Antonio Lopez; Ursula Manzo; Angel Lopez. Clippers: Coaches: Angie Linzaga; Pedro Alvarez. Thunder: Coaches: Martel Lopez. Spurs: Coaches: Jaime Marquez; Lauren Ramos. Bulls: Coaches: Pedro De La Riva; Jose De La Riva. Warriors: Coaches: Roger Gomez; Nick Cabrera; Junie Davis. Knicks: Coaches: Eric Chanelo; Oscar Cortez. Lakers: Coaches: Javier Bustillos; Joe Bustillos; Alfred Hernandez. Cavaliers: Coaches: Ron Hickman; Bryan Schunck. Bulls: Coaches: Rudy Hernandez; Roger Gomez. Clippers: Coaches: Victor Fuentes; Nathan Trujillo. Heat: Coaches: Cinthya Gutierrez; Rosie Garcia; Liliana Ned. Spurs: Coaches: John Zelaya; Frank Vizcarra; Ruben Casas; Team Mom: Veronica Mendez. PROCLAMATIONS presented by COUNCILMEMBER TINAJERO to Rick Miller, Superintendent of Santa Ana Unified School District and to the Santa Ana Kiwanis Club for spearheading the Speech and Debate Project; and CERTIFICATES OF RECOGNITION to Alfredo Amezcua, the Speech & Debate Vt Place Students and Coaches for participating in the Vt Annual Santa Ana Unified School District/Kiwanis Speech & Debate Sweepstakes: Coaches: Forrest Barber; Patrick Chang; Hannah Chapman; John Degree; John Henrici; Andrew Pegan; Candy Pelleaux; Ryan Ramirez; Corin Serrano; Kelly Sohner; Susan Whitmire Students: Leslie Alatorre; Cielo Echegoyen; Samantha Lopez; Christie Nguyen; Noemi Portillo; Grace Tinajero; Kaitlyn Vu; Yalena Watrous. AGENDA ITEMS CONSIDERED OUT OF ORDER REPORT 65A. PROPOSAL WITH AMCAL MULTI -HOUSING, INC. FOR THE AWARD OF INCLUSIONARY HOUSING IN -LIEU FEES FOR THE FIRST STREET APARTMENTS PROJECT AND AUTHORIZE THE DRAFTING OF A CONDITIONAL LOAN COMMITMENT LETTER {STRATEGIC PLAN NO. 5, 3A & 3C) -- Community Development Agency MOTION: Consideration of a staff proposal with AMCAL Multi -Housing, Inc. for the award of inclusionary housing in -lieu fees for the First Street Apartments project located at 1440 East First Street in Santa Ana and approve a conditional loan commitment letter in an amount up to $8,900,000.00 that will be contingent on the City's actual receipt of in - lieu fee payments of $9,695,725.60, or a portion thereof, or a cash equivalent to the in -lieu fee payments from Heritage Village OC, LLC. MOTION: Sarmiento SECOND: Amezcua CITY COUNCIL MINUTES 10AA5 APRIL 19, 2016 VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) *Councilmember Tinajero returned to the dais. PUBLIC HEARING 75C. PUBLIC HEARING - GENERAL PLAN AMENDMENT NO. 2016-01, AMENDMENT APPLICATION NO. 2016-01, AND ENVIRONMENTAL REVIEW NO. 2016-14 FOR THE FIRST STREET FAMILY APARTMENTS PROJECT PROPOSED AT 1438 AND 1440 EAST FIRST STREET - AMCAL MULTI HOUSING TWO, LLC, APPLICANT (STRATEGIC PLAN NOS. 3, 2, 5; 5, 3, 41 - Planning and Building Agency Legal Notice published in the Orange County Reporter April 8, 2016 and notices mailed on April 7, 2016. Mayor Pulido opened the Hearing. There were no speakers and the Hearing closed. MOTION: 1. Approve and adopt the Mitigated Negative Declaration and Mitigation Monitoring Program, Environmental Review No. 2016.14. 1. Adopt a resolution. RESOLUTION NO. 2016-023 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING MITIGATED NEGATIVE DECLARATION AND MITIGATION MONITORING AND REPORTING PROGRAM, ENVIRONMENTAL REVIEW NO. 2016-04, AND GENERAL PLAN AMENDMENT NO. 2016-01 FOR THE PROPERTY LOCATED AT 1438 AND 1440 EAST FIRST STREET 3. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NZ-2897 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REZONING THE AMCAL MULTI HOUSING TWO, LLC PROPERTY LOCATED AT 1438 AND 1440 EAST FIRST STREET FROM GENERAL COMMERCIAL (C-2) TO SPECIFIC CITY COUNCIL MINUTES 10A-6 APRIL 19, 2016 DEVELOPMENT NO. 89 (SD-89) (AA NO. 2016-01) AND ADOPTING SPECIFIC DEVELOPMENT NO. 89 (SD-89) FOR SAID PROPERTY MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) REPORT 65B. RECEIVE AND FILE COUNCIL UPDATE REGARDING THE SANTA ANA JAIL; AUTHORIZATION TO DRAFT REQUEST FOR QUALICATIONS (RFQ) FOR JAIL RE -USE STUDY; AUTHORIZATION TO ENTER INTO NEGOTIATIONS WITH POLICE OFFICERS ASSOCIATION; & AUTHORIZATION TO CONTINUE DEVELOPMENT OF TRANSGENDER CARE PILOT {STRATEGIC PLAN NO. 1, 4A) - City Manager's Office Staff report presented by City Manager Cavazos: City Council Direction February 2, 2016 "Deny contract amendment, [1.] engage community in developing solutions and request City Manager work with Police Chief in [2.] strategizing sustainability of jail without the use of Federal dollars, if not feasible, [3.] propose options to terminate jail services." Santa Ana Jail Background • Santa Ana Strategic Plan — Goal 1 — Community Safety - Objective 4 - Strategy A Modify the Santa Ana jail business model and identify short- and long- term goals to effectively meet the needs of the community through contract negotiations with outside agencies, evaluation of staffing needs and increasing operational efficiency. • Resulted in per diem increase from $82-$105 a 28% increase — the first increase in eight years. • Type II Facility - Opened January 1997 512-bed capacity • Current Population (4-11-16): 344 — Total Jail Population 189 — I.C.E. Detainees CITY COUNCIL MINUTES 10A'7 APRIL 19, 2016 130- U.S. Marshal Service 21- Bureau of Prisons 4- Other • Federal Agencies provide 98.8% percent of total population. Timeline of Federal Contracts at Santa Ana Jail • 1994 U.S. Marshals Service contract began at prior jail facility(04/18/1994) • 1997 — INS/ICE detainees booked into Santa Ana Jail • 2006 — ICE enters into their own contract (07/03/2006) • 2015 — Federal Bureau of Prisons contract (11/18/2014) Strategic plan goal to increase revenue Transgender Population Module • In 2012 Santa Ana Jail implemented the first dedicated transgender detainee module in ICE System • Transgender Care Memorandum Distributed by DHS as guidelines for ICE field personnel for appropriate handling for transgender detainees • The Transgender Care and Classification Committee — (TCCC) was incorporated into the Transgender Care Memorandum by ICE in June 2015 and presented to Santa Ana in September 2015. By adopting the TCCC program, SAPD would be the first agency to take into consideration the transgender woman's preferences as it relates to their custody and placement within the facility Status of Transgender Care Discussions & Options • Utilizes the steps taken in the Transgender Care Memorandum With additional language and training requirements Some community groups do not support TCCC without substantial changes • Needs to be reviewed by City of Santa Ana and Immigration and Customs Enforcement • In addition to reaching greater consensus, costs will be evaluated as part of any contract options. • Federal government will not make changes without contract amendment. • DHS — Requests the City's response by June 1st regarding contract Transgender Care and Classification Committee (TCCC) Pilot "[1.] Engage community in developing solutions" Meetings Community Groups March 3, 2016 1. ACLU March 4, 2016 2. De Colores March 7, 2016 3. RAIZ March 17, 2016 4. OCIYU March 30, 2016 5. Transgender Law Center April 4, 2016 6. LA LGBT Center April 6, 2016 7. LGBT Center OC CITY COUNCIL MINUTES 10A'O APRIL 19, 2016 8. UCI Law Students, 9. Mexican Consulate 10. I.C.E representatives (Local and Federal) 11. La Familia 12. CIVIC 13. Friends of the Orange County Detainees 14. El Centro Cultural de Mexico 15. Santa Ana Building a Healthy Community 16. Human Rights Watch "[2.] Strategizing sustainability of jail without the use of Federal dollars" • Jail Facility Debt $3 million annually through 2024, $24.3 million remaining debt balance • Operating Costs FY 2015/16 Cost $16.6 million • Estimated annual loss without contract $3,000,000 - $5,000,000 • Not financially sustainable without Federal dollars Steps taken to provide fiscal sustainability/future options • Increased per diem from $82 to $105 • Reduced full time staff 2013 — 110 full-time 2016 — 93 full-time and 23 part-time • Reduced debt 2013 $30 million 2015 $24 million • New: Combining of Gay/Bi-Sexual & Transgender Modules Savings of $80,000 in monthly overtime effective April 20, 2016 Individual modules are not feasible without financial assurance. • As of April 14, 2016 there are 31 individuals in the Gay/Bi-Sexual module designed for 64 and 27 individuals in the Transgender Module designed for 64 • Proposed contract for transportation services Tentative City Council approval April 19, 2016 "[3.] Propose options to terminate jail services" - Staff recommends phase -out plan • RFQ for Jail Reuse • Goals: Providing phase -out timeline options Provide re -use options Community & Labor representatives on RFQ selection committee • Budget Request $100,000 anticipated costs for consultant Next Steps CITY COUNCIL MINUTES 10A-J APRIL 19, 2016 1. Issue RFQ 2. Continue Community Engagement 3. Enter into negotiations with Peace Officers Association to potentially offer retirement incentives to full-time staff in the Jail Bureau. 4. Discuss options with Department of Homeland Security regarding the TCCC Pilot for May 17th City Council consideration *Mayor Pulido left the meeting at 7:36 p.m. and did not return. Mayor Pro Tern Sarmiento assumed the Chair. The following spoke on the matter: • Ken Willard, spoke of unfounded allegations of wrongdoing by correctional officers; requested reconsideration of ICE contract that was previously denied by City Councilmembers. • Jaime Manriquez, spoke on behalf of fellow correctional officers about improper practices at the Santa Ana Jail; opined that officers provide safe and secure services to all. • Felice Hernandez, rehabilitation counselor at Santa Ana Jail, spoke in support of jail services and professional services offered. • Michael Don Elgan, teacher at Santa Ana Jail, spoke of better -quality and conditions at the Santa Ana Jail compared to other institutions. • Luis Martinez, mental health advisor, reiterated positive experience and services offered to all inmates. • Charles Goldwasser, attorney representing the Santa Ana Police Officers Association, requested reconsideration of actions taken at the February 2, 2016 City Council meeting regarding the ICE contract. • Cecilia Garcia, applauded efforts by fellow colleagues at the Santa Ana Jail, have been well trained and implemented policies to provide humane services for all inmates. *Councilmember Amezcua, left the meeting at 7:58 p.m. and did not return. • Adrian Silva, spoke of increased crime activity; need to keep citizens safe; supports jail. • John Franks, President of the Santa Ana Police Officers Association, represents Correctional Officers and Supervisors; remarked professionalism of staff; disagree with staff recommendation; need to work together to insure that no employee loses their job. *Councilmember Martinez, left the meeting at 8:06 p.m, and did not return. • Michelle Montreal, Correctional Officer, addressed two points of contention raised at the February 2, 2016 City Council Meeting on discrimination of detainees; assured that staff addresses all needs, developed strict guidelines and practices; Santa Ana location is in close proximity to family of ICE detainees and benefit to City. CITY COUNCIL MINUTES 10A-1 V APRIL 19, 2016 • Roger Andrade, correctional officer, proud of service available at site; asked to reconsider position on ICE Contract and all implications including discharge of staff. • Jorge Gutierrez, Executive Director of Familia Trans Queer Liberation Movement, pledged to rid ICE contract in Santa Ana; indicated that National attention on the matter. • Angela Pereira, spoke of undignified services at Santa Ana Jail; requested mental health services. • Christina Lopez, recounted negative experience and denial of services because she is a transgender woman. • Lou Correa, expressed support for police officers; asked that layoffs not be option for considered; support federal immigration reform; consider win -win solution. • Jessica Letong, spoke of mistreatment of transgender people, urged closure of Santa Ana Jail. • Roberto Herrera, organizer of De Colores Organization of Orange County, asked that long term and short term solutions be considered to get out of the jail business - exercise the 90 termination clause; investment in youth and address homeless issue. • Hairo Cortes, representing Orange County Immigrant Group Youth United for undocumented youth, spoke of persecution and exploitation of undocumented immigrants; urged to cancel contract with ICE. • Avila Medano, Community Engagement Advocate for Resistencia Autonomia Igualdad Liderazgo (RAIZ), confirmed that Santa Ana is a safe haven for her and many in the City; do not dehumanize communities by detaining undocumented immigrants and opposed to profit making to fulfill deficit. Mayor Pro Tern Sarmiento announced that matter would be recessed to consider approval of Consent Calendar and other routine matters because quorum may be lost. CLOSED SESSION REPORT — City Attorney Carvalho noted reportable actions (included as part of Agenda Item 19A in Consent Calendar). CONSENT CALENDAR ITEMS MOTION: Approve staff recommendations on Consent Calendar Items 10A through 31 E, with the following modifications: • Councilmember Benavides pulled Agenda Items 19F, 25D and 31 C for separate action; • Mayor Pro Tern Sarmiento pulled Agenda Item 25C for separate action; and • Mayor Pro Tern Sarmiento requested continuance of Agenda Items 11A, 20A, 20B and 20C to the May 3, 2016 City Council Meeting; motion to continue by CITY COUNCIL MINUTES 10A- 1 1 APRIL 19, 2016 Councilmember Benavides, seconded by Reyna and approved by 4-0 vote (Amezcua, Martinez and Pulido absent). MOTION: Benavides SECOND: Reyna VOTE: AYES: Benavides, Reyna, Sarmiento, Tinajero (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Martinez, Pulido (3) Items removed for separate action or modified are highlighted. Separate actions show the actual vote. Items without votes are adopted as part of the consent motion. ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF APRIL 5, 2016 {STRATEGIC PLAN NO. 5, 1) — 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. ORDINANCE - SECOND READING: AMENDING CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE REGARDING UNARMED GUARDS; ESTABLISHING REGULATORY SAFETY PERMIT APPLICATION DEADLINES; AND PROHIBITING ISSUANCE OF REGULATORY SAFETY PERMIT APPLICATIONS TO NARCOTIC REGISTRANTS {STRATEGIC PLAN NO. 5, 1) — Clerk of the Council Placed on first reading at the April 5, 2016 City Council meeting and approved by a vote of 5-0 (Pulido and Tinajero absent). Published in the Orange County Reporter on April 8, 2016. CITY COUNCIL MINUTES 1 OA-1 L APRIL 19, 2016 MOTION: Continue consideration of matter to the May 3, 2016 City Council Meeting. BOARDS / COMMISSIONS / COMMITTEES 13A. AGENDA AND MINUTES FROM THE MARCH 28, 2016 SANTA ANA UNIFIED SCHOOL DISTRICT AND CITY OF SANTA ANA JOINT POLICY COMMITTEE {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Receive and file. 13B. APPOINTMENT TO THE SANTA ANA WORKFORCE INVESTMENT BOARD — PRIVATE SECTOR REPRESENTATIVES (STRATEGIC PLAN NO. 5, 1) — Community Development Agency Workforce Investment Board approved recommended action on March 17, 2016, by a vote of 14-0. MOTION: Appoint William McGowan, Partner, Barrett Business Services Inc., and Barbara Smith, General Manager, Holiday Inn Santa Ana Orange County Airport to the Workforce Investment Board, representing local area businesses for a partial -term expiring March 31, 2018, replacing Robert Fischer and Bea Gonzalez. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office MOTION: Approve settlements, as follow: 1. CONFERENCE WITH LEGAL COUNSEL --EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: • Johnny Quilas v. City of Santa Ana; Workers' Compensation Appeals Board case #ADJ9206861; ADJ9206862; ADJ7688972; ADJ9296613; Settlement agreement approved in the amount of $132,471 by 4-0 vote (Amezcua and Reyna absent and Mayor Pro Tem Sarmiento abstained due to potential conflict of interest). • Gerald Amende v. City of Santa Ana; Workers' Compensation Appeals Board case #ADJ8221130; ADJ8208152; ADJ8208149; ADJ8204984; ADJ9589936; ADJ9591520; ADJ9591521; Approve settlement in the amount of $215,705.11, approved 5-0 vote (Reyna absent and Amezcua abstained). CITY COUNCIL MINUTES 10A- 7 3 APRIL 19, 2016 2. LIABILITY CLAIMS pursuant to section 54956.95 of the Government Code: • 1901 First Street Owner, LLC; Authorized staff to enter into a Tolling Agreement; approved by unanimous vote. 19B. EXCUSED ABSENCES — None 19C. STRATEGIC PLAN MONTHLY REPORT FOR MARCH 2O16 {STRATEGIC PLAN NO. 5, 1) - City Manager's Office MOTION: Receive and file. 19D. CITY OF SANTA ANA GENERAL PLAN UPDATE - STATUS REPORT (STRATEGIC PLAN NO. 3, 2A) — Planning and Building Agency MOTION: Receive and file. 19E. 2016-2017 ANNUAL ACTION PLAN — FUNDS FOR AFFORDABLE AND SUPPORTIVE HOUSING, COMMUNITY DEVELOPMENT PROGRAMS, PUBLIC SERVICES, AND ECONOMIC DEVELOPMENT {STRATEGIC PLAN NO. 5, 11 - Community Development Agency Community Redevelopment and Housing Commission approved recommended action on March 23, 2016 by a vote of 5-0 (A. Garcia absent) MOTION: 2. Approve the Fiscal Year 2016-2017 Annual Action Plan. 2. Authorize the submission of the Fiscal Year 2016-2017 Annual Action Plan to the United States Department of Housing and Urban Development. - 19F. YOUTH COMMISSION BIKEHELMET ART INITIATIVE FUNDS FOR FISCAL YEAR 2015-2016 {STRATEGIC PLAN NO. 1, 1E} - Parks, Recreation & Community Services Agency Councilmember Benavides, commended Youth Commissioners for efforts and leadership to promote safety. MOTION: Receive and file. CITY COUNCIL MINUTES 10A-114 APRIL 19, 2016 MOTION: Benavides SECOND: Tinajero VOTE: AYES: Benavides, Reyna, Sarmiento, Tinajero (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Martinez, Pulido (3) 19G. SANTA ANA PUBLIC LIBRARY LOGO CONTEST RESULTS (STRATEGIC PLAN NO. 2, 3C) - Parks, Recreation & Community Services Agency MOTION: Receive and file. BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A. APPROPRIATION ADJUSTMENT TO IMPLEMENT THE ORANGE COUNTY PARTNERSHIP TO IMPROVE COMMUNITY HEALTH GRANT PROJECT {STRATEGIC PLAN NO. 5, 4B) - Public Works Agency MOTION: Continue consideration of matter to the May 3, 2016 City Council Meeting. 20B. APPROPRIATION ADJUSTMENT, COOPERATIVE AGREEMENT AND AMENDMENT TO THE FISCAL YEAR 2015-2016 CAPITAL IMPROVEMENT PROJECT (CIP) FOR THE SANTA ANA DELHI DIVERSION PROJECT (NONGENERAL FUND) (PROJECT NO. 16-6467) {STRATEGIC PLAN NO. 6, 1 G) - Public Works Agency MOTION: Continue consideration of matter to the May 3, 2016 City Council Meeting. 20C. AGREEMENT AND APPROPRIATION ADJUSTMENT FOR PROFESSIONAL ENGINEERING SERVICES TO IDENTIFY ALTERNATIVE INFRASTRUCTURE STORM DRAIN IMPROVEMENTS (PROJECT 16-6608) {STRATEGIC PLAN NO. 6, IF) - Public Works Agency CITY COUNCIL MINUTES 10A-f5 APRIL 19, 2016 MOTION: Continue consideration of matter to the May 3, 2016 City Council Meeting. SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. SPEC. NO. 16-029 - CITYWIDE GENERAL MAINTENANCE SERVICES {STRATEGIC PLAN NO. 6, 1C) (Public Works Agency) - Finance & Management Services MOTION: 1. Reject the bid from Orange County Contractors Services as nonresponsive. 2. Award a contract to Quality Fence Co., Inc. for citywide general maintenance services for a one-year period expiring April 30, 2017, with provisions of four one-year renewals exercisable by the City Manager, in an annual amount not to exceed $45,000, subject to nonsubstantive changes approved by the City Manager and City Attorney. 22B. SPEC. NO. 16-054 — PURCHASE AND INSTALLATION OF CHILLER AND HEATING -VENTILATION -AIR CONDITIONING EQUIPMENT AT THE GRAND CENTRAL ARTS CENTER {STRATEGIC PLAN NO. 6, 1G & 2A} (Community Development Agency) - Finance & Management Services Project in accordance with the Council approved Surplus Allocation Plan as of October 20, 2015. MOTION: Authorize a one-time purchase and payment of purchase order to Ontario Refrigeration Services, Inc. for the purchase and installation of chiller system and related heating -ventilation -air conditioning equipment at Grand Central Arts Center in an amount not to exceed $435,320 that includes a 10 percent contingency, subject to non -substantive changes approved by the City Manager and City Attorney. 22C. SPEC. NO. 16-047 - VMWARE MAINTENANCE SUPPORT — SPECIALIZED SOFTWARE ENABLING ONE PHYSICAL SERVER TO RUN MULTIPLE VIRTUAL COMPUTER SERVERS {STRATEGIC PLAN NO.6, 1F} - (Information Technology Department) - Finance & Management Services MOTION: Authorize a one-time purchase and payment of purchase order to Kambrian Corporation in an amount not to exceed $44,300, CITY COUNCIL MINUTES 10A-1% APRIL 19, 2016 subject to non -substantive changes approved by the City Manager and City Attorney. PROJECTS/CHANGE ORDERS 23A. AWARD CONTRACT TO ASPLUNDH CONSTRUCTION CORP. FOR HARBOR BOULEVARD CORRIDOR TRAFFIC SIGNAL IMPROVEMENTS (PROJECT NO. 15-6828) {STRATEGIC PLAN NO. 6, 1G) - Public Works Agency MOTION: 1. Authorize the City Manager and Clerk of the Council to award and execute a construction contract to Asplundh Construction Corp., the lowest responsible bidder, in accordance with the base bid plus Alternates I, II, III, IV, and V, in the amount of $1,170,984, for the term beginning upon execution of the contract and ending upon project completion, for the Harbor Boulevard Traffic Signal Improvements project, subject to nonsubstantive changes approved by the City Manager and City Attorney. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $1,358,200, which includes the contract base plus additive Alternates I, II, III, IV and V; administration; inspection; testing; and an authorized contingency of $116,896. AGREEMENTS 25A. EMERGENCY SOLUTIONS FISCAL YEAR 2016-2017 Development Agency MOTION: GRANT PROGRAM (ESG) FUNDING FOR {STRATEGIC PLAN NO. 5, 61 - Community 1. Approve the Fiscal Year 2016-2017 Emergency Solutions Grant Program funding allocation. 2. Authorize the City Manager and the Clerk of the Council to execute a memorandum of understanding with the Santa Ana Police Department and agreements with non-profit organizations and/or sub -recipients awarded funds as part of the approved program in the amount of $489,202 for a term beginning July 1, 2016 through June 30, 2017, subject to non -substantive changes approved by the City Manager and City Attorney. • AGMT NO. 2016-061 —With 211 OC in an amount of $30,000, CITY COUNCIL MINUTES 10A- 1 7 APRIL 19, 2016 • AGMT NO. 2016-062 — With City Net in an amount of $50,000, • AGMT NO. 2016-063 — With Grandma's House in an amount of $25,000, • AGMT NO. 2016-064 — With Illumination Foundation in an amount of $105,000, • AGMT NO. 2016-065 — With Interval House in an amount of $35,000, • AGMT NO. 2016-066 — With Mercy House in an amount of $86,511.85, • AGMT NO. 2016.067 — With Public Law in an amount of $36,500, • AGMT NO. 2016-068 — With SAPD HEART in an amount of $35,000, • AGMT NO. 2016-069 — With WISE Place in an amount of $23,500, • AGMT NO. 2016-070 — With Thomas House in an amount of $12,000, and • AGMT NO. 2016-071 — With WTLC in an amount of $14,000 25B. AGMT NO. 2016-072 - AQUATIC ENGINEERING SERVICES TO REHABILITATE CENTENNIAL PARK LAKE (PROJECT NO. 16-2657) {STRATEGIC PLAN NO. 6,1 F} - Public Works Agency and Parks, Recreation & Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Dudek, Inc. for a one-year term beginning April 20, 2016, through April 19, 2017, with provision for two one-year term extensions exercisable by the City Manager and the City Attorney, in an amount not to exceed $55,000 including a 10% contingency over the life of the agreement subject to nonsubstantive changes approved by the City Manager and City Attorney. 25C. FUNDING FOR CONSTRUCTION OF NEW ORANGE COUNTY ANIMAL SHELTER AND ANIMAL CARE SERVICES FOR 2016-2026 {STRATEGIC PLAN GOAL NO. 1, 51 - Police Department Mayor Pro Tern Sarmiento, requested continuance of matter to have more robust discussion when all members of the City Council present. City Manager Cavazos, indicated that County of Orange has requested approval by April 30, 2016 to move forward with construction of new shelter. Councilmember Benavides, concerned that matter bound by time constraints and City needs to provide services; asked for all options and funding source. City Manager Cavazos, noted that staff has reviewed all options; staff recommendation is best for City; funding is related to usage. CITY COUNCIL MINUTES 10A-1 v APRIL 19, 2016 25[). Mayor Pro Tem Sarmiento, reluctant to support item; concerned with operation of some County agencies; asked if City's will have authority. City Manager Cavazos, noted that City Managers Association are part of committee and assured that City has role and safety nets in place. MOTION; 1. AGMT NO. 2016-073 - Authorize the City Manager and Clerk of the Council to execute the attached ten-year participation agreement with the County of Orange for the construction of a new County animal shelter, for the period of April 19, 2016 through July 1, 2026, in an amount not to exceed $7,141,377, subject to non -substantive changes approved by the City Manager and City Attorney. 2. AGMT NO. 2016-074 - Authorize the City Manager and Clerk of the Council to execute the attached ten-year agreement with the County of Orange for the provision of animal care and shelter services, for the period of April 19, 2016 through June 30, 2026, in an amount not to exceed $12,305,730, subject to non -substantive changes approved by the City Manager and City Attorney. MOTION: Benavides SECOND: Tinajero VOTE: AYES: Benavides, Reyna, Sarmiento, Tinajero (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Martinez, Pulido (3) Project in accordance with the Council approved Surplus Allocation Plan as of October 20, 2015. Councilmember Benavides, excited to have top firm assist City with branding efforts. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with North Star Destination Strategies, Inc, to develop a citywide community branding strategy for a two year period, terminating on April 18, 2018, in the amount not to exceed $148,500, CITY COUNCIL MINUTES 10A-19 APRIL 19, 2016 which includes a 10% contingency, subject to non -substantive changes approved by the City Manager and City Attorney. MOTION: Benavides SECOND: Reyna VOTE: AYES: Benavides, Reyna, Sarmiento, Tinajero (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Martinez, Pulido (3) 25E. AGMT NO. 2016-076 - PARKING LEASE AT 308 NORTH MAIN STREET {STRATEGIC PLAN NO. 3, 4B) - Finance & Management Services MOTION: Authorize the City Manager and Clerk of the Council to renew the agreement with Apostolic Assembly of the Faith in Christ Jesus, Inc. for the first renewal period of April 1, 2016 through March 31, 2017, subject to non -substantive changes approved by the City Manager and City Attorney. 25F. AGMT NO. 2016-077 - SPONSORSHIP OF THE CINCO DE MAYO EVENT {STRATEGIC PLAN NO. 5, 5C} - Parks, Recreation & Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Straub Distributing Co. in the amount of $20,000, for a term from April 19, 2016 through May 31, 2016, subject to non -substantive changes approved by the City Manager and City Attorney. 25G. AGMT NO. 2016-078 - PRISONER TRANSPORT SERVICES FOR SANTA ANA JAIL INMATES AND ARRESTEES (STRATEGIC PLAN NO. 1,3A) — Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with In -Custody Transportation Service, Inc. for a three year period beginning May 1, 2016 through April 20, 2019, in an amount not to exceed $410,544, subject to non -substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 10A-LV APRIL 19, 2016 25H. AGMT NO. 2016-079 - PURCHASE AGREEMENT FOR BRISTOL STREET IMPROVEMENTS PHASE IV (PROJECT NO. 116741 NONGENERAL FUND) - (STRATEGIC PLAN NOS. 6, 1 G; 3, 2C) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a purchase agreement, subject to nonsubstantive changes approved by the City Manager and City Attorney, with property owner Rocio Rodriguez Valle, for the property commonly known as or located at 1301 West Carlton Place (APN 408-332-18), for the full purchase price for said real property and goodwill (if any), in the amount of $450,000. 251. AGMT NO. 2016-080 - PROVIDE SOFTWARE SUPPORT AND MAINTENANCE FOR THE CITY'S WATER PRODUCTION FACILITIES SUPERVISORY CONTROL AND DATA ACQUISITION SYSTEM (SCADA) [NON -GENERAL FUND] {STRATEGIC PLAN NO. 6, 1C) - Public Works Agency MOTION: Authorize the City Manager and the Clerk of the Council to execute an agreement with Kapsch TrafficCom USA, Inc., to provide software support and maintenance for the City's water production facilities Supervisory Control and Data Acquisition System, for the term beginning April 20, 2016 through December 31, 2018, in an amount not to exceed $50,000 per year, for a total not -to -exceed amount of $150,000, subject to nonsubstantive changes approved by the City Manager and City Attorney. 25J. AGMT NO. 2016-081 - AMENDMENT FOR FEDERAL GOVERNMENT LIAISON SERVICES {Strategic Plan Nos. 1 through 71 - City Manager's Office MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment to the agreement with Holland & Knight to expand the scope of services for federal government liaison services, increase the compensation by $4,200 ($1,400 per month), retroactive to April 1, 2016 to June 30, 2016 for a total annual cost not to exceed $117,600, with an option of a one-year renewal exercisable by the City Manager, subject to non -substantive changes approved by the City Manager and City Attorney. 25K. PURCHASE AGREEMENTS FOR BRISTOL STREET IMPROVEMENTS PHASE IIIA (PROJECT NO. 136792 NONGENERAL FUND) {STRATEGIC PLAN NOS. 6, 1 G; 3, 2C) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute purchase agreements, subject to nonsubstantive changes CITY COUNCIL MINUTES 1 OA-21 APRIL 19, 2016 approved by the City Manager and City Attorney, for the full purchase price for real property commonly known as or located at listed below, and goodwill (if any), with the following property owners: • AGMT NO. 2016-082 — With Tina Marie Estrada; property known and located at APN 405-262-27 in an amount of $290,000; • AGMT NO. 2016-083 — With Tina Marie Estrada, 1003 N. Bristol Street (APN 405-262-28) ) in an amount of $464,000; • AGMT NO. 2016-084 — With That Van Dinh & Kiem Cucthi Tran, 1005 N. Bristol Street (APN 405-262-29), in an amount of $450,000; • AGMT NO. 2016-085— With Hyunsik E. Choi & Jennifer Y. Cho, 917 N. Bristol Street (APN 405-262-25) in an amount of $480,000; • AGMT NO. 2016-086 — With Stephanie Vandal Tonnu, 1301 W. 10th Street (APN 004-121-18) in an amount of $540,000; • AGMT NO. 2016-087 — With Oscar Culp and Ruth E. Culp, 1302 W. 12th Street (APN 004-112-35) in an amount of $435,000; • AGMT NO. 2016-088 — With Jose B & Cira G Trujillo, 1307 W. 10th Street (APN 004-121-12) in an amount of $480,000 • AGMT NO. 2016-089 — With Jose Sergio Bravo, Marco Antonio Bravo & Martin Silvestre Bravo, 1305 W. 12th Street (APN 004-113-19) in an amount of $430,000; and • AGMT NO. 2016-090 — With Lan Phuong Thi Tran, 1009 N Bristol (APN 405-262-30) in an amount of $500,000 LAND USE MATTERS CONDITIONAL USE PERMIT/VARIANCES 31A. CONDITIONAL USE PERMIT NO. 2016-03 TO ALLOW A FOOD COMMISSARY AND FOOD TRUCK TERMINAL AT 2419 SOUTH BROADWAY — ARAFAT ABDELKARIM, APPLICANT {STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on March 28, 2016, by a vote of 6-0 (Gartner absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2016-03 as conditioned. 31B. CONDITIONAL USE PERMIT NO. 2016-04 TO ALLOW A TYPE 74 ALCOHOL BEVERAGE CONTROL LICENSE AT THE BLINKING OWL DISTILLERY LOCATED AT 802 EAST WASHINGTON AVENUE — BRIAN CHRISTENSON, APPLICANT (STRATEGIC PLAN NOS. 3, 2, 4) - Planning and Building Agency CITY COUNCIL MINUTES 1 OA-22 APRIL 19, 2016 31 C. Planning Commission approved recommended action on March 28, 2016, by a vote of 6-0 (Gartner absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2016-04 as conditioned. Planning Commission approved recommended action on March 28, 2016, by a vote of 6-0 (Gartner absent). Councilmember Benavides, noted that correspondence received; would like to encourage partnership with faith based organizations; hold establishments to high standards as it relates to landscape and fagade improvements — need to bring added value to the community. MOTION: Receive and file the staff report approving Conditional Use Permit No. 2016-06 as conditioned. MOTION: Benavides SECOND: Reyna VOTE: AYES: Benavides, Reyna, Sarmiento, Tinajero (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Martinez, Pulido (3) 31 D. CONDITIONAL USE PERMIT NO. 2016-07 TO ALLOW A CARL'S JR RESTAURANT WITH DRIVE -THROUGH WINDOW SERVICE AT 3325 SOUTH HARBOR BOULEVARD — DAVE LUXTON, APPLICANT {STRATEGIC PLAN NO. 3, 21 - Planning and Building Agency Planning Commission approved recommended action on March 28, 2016, by a vote of 6-0 (Gartner absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2016-07 as conditioned. CITY COUNCIL MINUTES 1 OA-23 APRIL 19, 2016 31 E. VARIANCE NO. 2016-02 TO ALLOW A REDUCTION IN STREET FRONTAGE FOR A NEW COMMERCIAL BUILDING AT 5105 WEST FIRST STREET - GEORGE BEHNAM, APPLICANT {STRATEGIC PLAN NO. 3,21 - Planning and Building Agency Planning Commission approved recommended action on March 28, 2016, by a vote of 6-0 (Gartner absent). MOTION: Receive and file the staff report approving Variance No. 2016- 02 as conditioned. **END OF CONSENT CALENDAR** BUSINESS CALENDAR ITEMS RESOLUTIONS 55A. RESOLUTION TO ESTABLISH A HOTEL DEVELOPMENT INCENTIVE PROGRAM {STRATEGIC PLAN NO. 3, 3C) - Community Development Agency Matter continued for consideration 30 days from the November 3, 2015 City Council meeting by a vote of 7 - 0. Matter continued from the December 1, 2015 to the January 19, 2016 City Council meeting at the request of staff. Consideration of matter continued from the January 19, 2016 City Council meeting by a vote of 6-0 (Amezcua absent). MOTION: Continue consideration of matter at the request of staff. MOTION: SECOND: VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 55B. RESOLUTION AUTHORIZING THE SUBMISSION OF APPLICATIONS FOR CALRECYCLE PAYMENT PROGRAM FUNDS {STRATEGIC PLAN NO. 5, 2) - Public Works Agency CITY COUNCIL MINUTES 1 OA-24 APRIL 19, 2016 REPORTS 65A. M MOTION: Adopt a resolution. RESOLUTION NO. 2016-024 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE EXECUTIVE DIRECTOR OF THE PUBLIC WORK AGENCY TO SUBMIT APPLICATIONS FOR PAYMENT PROGRAMS AND RELATED AUTHORIZATIONS TO THE DEPARTMENT OF RESOURCES RECYCLING AND RECOVERY MOTION: Benavides SECOND: Tinajero VOTE: AYES: Benavides, Reyna, Sarmiento, Tinajero (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Martinez, Pulido (3) CONSIDERED OUT OF ORDER CONSIDERED OUT OF ORDER PUBLIC HEARINGS 75A. PUBLIC HEARING — RESOLUTION AUTHORIZING CONDEMNATION OF REAL PROPERTY AT 1607 NORTH BRISTOL STREET (APN 405-252-22) FOR BRISTOL STREET IMPROVEMENTS (PROJECT NO. 116740) (NONGENERAL FUND) (STRATEGIC PLAN NO. 6,1,G & 3,2,C) - Public Works Agency Consideration of item continued from the March 15, 2016 City Council meeting by a vote of 6-0 (Martinez absent). Notice of Hearing letter regarding acquisition of real property by eminent domain mailed to property owners on March 24, 2016. Mayor Pro Tern Sarmiento opened the Hearing; there were no speakers and the Hearing closed. CITY COUNCIL MINUTES 1 OA-25 APRIL 19, 2016 MOTION: Continue consideration of matter to the May 3, 2016 City Council Meeting. MOTION: Benavides SECOND: Reyna VOTE: AYES: Benavides, Reyna, Sarmiento, Tinajero (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Martinez, Pulido (3) 75B. PUBLIC HEARING - ADOPTION OF THE PROACTIVE RENTAL ENFORCEMENT PROGRAM (PREP) ORDINANCE IN CHAPTER 8 {STRATEGIC PLAN NO. 5, 4E} - Planning and Building Agency Legal Notice published in the Orange County Reporter April 8, 2016. Mayor Pro Tern Sarmiento opened the Hearing. The following spoke on the matter: Ray Maggi, founding member of original PREP program; expressed concerns with new program proposed by staff. o Staff directed to meet with resident. Mayor Pro Tern Sarmiento, closed the Public Hearing. MOTION: Continue consideration of matter to the May 3, 2016 City Council Meeting. MOTION: Tinajero SECOND: Benavides VOTE: AYES: Benavides, Reyna, Sarmiento, Tinajero (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Martinez, Pulido (3) 75C. CONSIDERED OUT OF ORDER CITY COUNCIL MINUTES 10A-2t APRIL 19, 2016 75D. PUBLIC HEARING - ISSUANCE OF TAX EXEMPT BONDS FOR THE BENEFIT OF NOVA ACADEMY EARLY COLLEGE HIGH SCHOOL AND RESOLUTION APPROVING THE ISSUANCE OF BONDS {STRATEGIC PLAN NO. 3, 21 — Community Development Agency Legal Notice published in the Orange County Reporter April 8, 2016 and notices mailed on April 7, 2016. MOTION: Consideration of matter continued to a future meeting per staff's request. MOTION: Benavides SECOND: Reyna VOTE: AYES: Benavides, Reyna, Sarmiento, Tinajero (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Martinez, Pulido (3) AGENDA ITEM CONSIDERED OUT OF ORDER REPORTS 65B. RECONVENED CONSIDERATION OF MATTER - RECEIVE AND FILE COUNCIL UPDATE REGARDING THE SANTA ANA JAIL; AUTHORIZATION TO DRAFT REQUEST FOR QUALICATIONS (RFQ) FOR JAIL RE -USE STUDY; AUTHORIZATION TO ENTER INTO NEGOTIATIONS WITH POLICE OFFICERS ASSOCIATION; & AUTHORIZATION TO CONTINUE DEVELOPMENT OF TRANSGENDER CARE PILOT (STRATEGIC PLAN NO. 1, 4A) - City Manager's Office The following speakers spoke on the matter: • Lupita Rolon, member of OCYOU, opposed to ICE contract and detention of transgender people. • Fabiola Jacouse-Avila, Deportation Defense Organizer with Orange County Immigrant Youth United, concerned with treatment and well-being of ICE detainees. • Jonathan Bibriesca, Statewide Coordinator for California Youth Justice Alliance, spoke in support of AB1289 to end private detention centers; urged closure of Santa Ana Jail to send message across the State and Nation. CITY COUNCIL MINUTES 1 OA-27 APRIL 19, 2016 • Pat Coyle, instructor at Jail, opined that human behaviors may be changed and all deserve opportunities; spoke of series of services, classes and accommodations available. • Laura Kanter, Director of Policy Advocacy and Youth Services at LGBT Center in Orange County, requested human dignity; not attacking correctional officers; believe that ICE not prepared to handle transgender woman and demand that ICE work to implement policies and programs that are less costly than detention; Santa Ana to end contract. Mayor Pro Tern Sarmiento, reported that Councilmember Benavides not feeling well and City Council meeting would be losing quorum. City Attorney Carvalho, indicated that if quorum lost, all pending matters would be continued to another meeting; less than a quorum can consider speakers but direction or comments from City Council should not be considered until all speakers heard. City Manager Cavazos, noted that matter may be continued to May 17, 2016 with whole new set of options presented for consideration. Councilmember Tinajero, requested meeting be adjourned; councilmembers may communicate with City Manager directly on the matter and not collectively to avoid Brown Act violations. MOTION; Adjourn meeting due to impending loss of quorum. MOTION: Tinajero SECOND: Benavides VOTE: AYES: Benavides, Reyna, Sarmiento, Tinajero (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Martinez, Pulido (3) WORK STUDY SESSION WSA. CITY MANAGER FIVE YEAR FORECAST (FY 16-17 — FY 20-21) AND FISCAL YEAR 2016-17 TRIAL BUDGET — Finance and Management Services City Manager Cavazos, reported that community budget presentations would continue as scheduled. CITY COUNCIL MINUTES 10A-A APRIL 19, 2016 PUBLIC COMMENTS — The following speaker cards were received, but not heard due to loss of quorum: Ashley Collins, Sandra Pocha Pena, James Kendricks, Ilya Tseglia, Robert Tseglia, and Mario Morales. ADJOURNED - 9:16 P.M. - The next meeting of the City Council is scheduled for Tuesday, May 3, 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. Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Community Engagement Program • Budget Approved Fiscal Year 2016-2017 • 2016 General Election • Economic Development Strategic Plan • General Plan Update, tentatively scheduled for February 2018 CITY COUNCIL MINUTES 1 OA- 9 APRIL 19, 2016 1 OA-30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 19, 2016 TITLE: ORDINANCE - SECOND READING: AMENDING CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE REGARDING UNARMED GUARDS; ESTABLISHING REGULATORY SAFETY PERMIT APPLICATION DEADLINES; AND PROHIBITING ISSUANCE OF REGULATORY SAFETY PERMIT APPLICATIONS TO NARCOTIC REGISTRANTS {STRAT GIG -,PLAN NO 5 CITY MANAGER RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO (Z2J6e4 eWa FILE NUMBER On April 5, 2016, the following ordinance was introduced for first reading and City Council authorized publication of title by a vote of 5-0 (Pulido and Tinajero absent): ORDINANCE NO. NS-2896 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE REGARDING UNARMED GUARDS; ESTABLISHING REGULATORY SAFETY PERMIT APPLICATION DEADLINES; AND PROHIBITING ISSUANCE OF REGULATORY SAFETY PERMIT APPLICATIONS TO NARCOTIC REGISTRANTS 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-2896 11 A-1 11 A-2 SMS 4/5/16 ORDINANCE NO. NS - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE REGARDING UNARMED GUARDS; ESTABLISHING REGULATORY SAFETY PERMIT APPLICATION DEADLINES; AND PROHIBITING ISSUANCE OF REGULATORY SAFETY PERMIT APPLICATIONS TO NARCOTIC REGISTRANTS Section 1. The City Council of Santa Ana hereby finds, determines and declares as set forth below. A. This ordinance came before the City Council of the City of Santa Ana on April 5, 2016. B. The Request for Council Action for this ordinance dated April 5, 2016, and duly signed by the City Manager, shall, by this reference, be incorporated herein, and together with this ordinance, any amendments or supplements. C. All provisions of the Santa Ana Municipal Code which are restated herein are repeated solely to comply with the provisions of Section 418 of the Charter of the City of Santa Ana. Any such restatement of existing provisions of the Code is not intended, nor shall it be interpreted, as constituting a new action or decision of the City Council, but rather such provisions are repeated for tracking purposes only in conformance with the Charter. Section 2. Section 18-613 of Chapter 18 of the Santa Ana Municipal Code is hereby amended by deleting the last sentence of subsection (a) as follows: 18-613. Operating Standards. (a) At all times the collective is open, a collective shall provide at least one security guard who is licensed, possesses a valid Department of Consumer Affairs "security guard card", and has a valid Santa Ana Business License. Section 3. Section 18-617.01 entitled "Cooperative/Collective registration required." of Chapter 18 of the Santa Ana Municipal Code is hereby amended to change the numbering of this code section and the substance of this section is deleted in its entirety and replaced as follows: Ordinance No. NS-XXX Page 1 of 8 11 A-3 SMS 4/5/16 Section 18-617.1 Cooperative/Collective registration required. (a) Within 30 days after the adoption of this Chapter, the Director of Planning and Building shall prepare Cooperative/Collective registration application forms and a related administrative policy. Each collective interested in operating pursuant to this article may submit an application together with a non-refundable processing fee in an amount established by the City Council. Within 60 days after the adoption of this article, the Director shall stop accepting applications and process all applications received. (b) The Director or his or her designee shall determine whether each application demonstrates compliance with this article. Each application that is in compliance with this article shall be placed on the "Qualified Registration Applicant List" and the Director shall notify the applicant in writing that it is a "Qualified Registration Applicant." (c) Once all applications are processed, the Director shall hold an independent selection process ("lottery") in an open and public location and select 20 applications. The 20 applications chosen through the independent selection process (lottery) will be placed on the "Regulatory Safety Permit ("RSP") Eligibility List." Each applicant on the RSP Eligibility List may then choose to file an application for a RSP pursuant to Section 18-617.2. Applicants identified on the RSP Eligibility List following the February 5, 2015 independent selection process (lottery) must submit a completed RSP application within four (4) months of April 5, 2016 and no later than August 5, 2016eighteen (18) Months -of that date. Failure to submit a completed RSP application by that deadline will disqualify the applicant from the RSP Eligibility List and the Waitlist described in subsection (d). (d) Qualified Registration Applicants will appear on the "Qualified Registration Applicant List" in the order that they are selected during the independent selection process (lottery). This list is the Waitlist. The Waitlist will become active if (1) an applicant on the RSP Eligibility List is disqualified from that List; (2) a location appearing on the RSP Eligibility List becomes available; or (3) a location not appearing on the RSP Eligibility List becomes available. A Qualified Registration Applicant's ability to move from the Waitlist to the RSP Eligibility List is determined by the applicant's proposed medical marijuana collective location and the applicant's position on the Waitlist. (e) A Qualified Registration Applicant that moves from the Waitlist to the RSP Eligibility List must submit a completed RSP application within six (6) months following issuance of a written notice advising the applicant of that opportunity. Failure to submit Ordinance No. NS-XXX Page 2 of 8 11 A-4 SMS 4/5/16 a completed RSP application by that deadline will disqualify the applicant from the RSP Eligibility List and the Waitlist. (f) The Director shall maintain the Waitlist and update it on an annual basis. A Qualified Registration Applicant on that Waitlist must submit a written request each year to maintain its status on the Waitlist. The Director may place new applicants on the Waitlist in the order in which the new registration applications are received. Section 4. Section 18-617.01 entitled "Cooperative/Collective regulatory safety permit" of Chapter 18 of the Santa Ana Municipal Code is hereby amended to change the numbering of this code section and to add subsection (d) as follows: 18-617,11 Cooperative/Collective regulatory safety permit, (d) A Regulatory Safety Permit shall not be issued to an individual or a business entity associated with an individual who must comply with California Health & Safety Code Section 11590. This subsection is applicable to all new registration applications received after April 5, 2016. Section 5. Section 18-617,2 entitled "Medical Marijuana collective -regulatory permit application process." of Chapter 18 of the Santa Ana Municipal Code is hereby amended to add the following language: (a) Any Medical Marijuana Collective desiring a regulatory safety permit required by this article shall, prior to initiating operations and after receiving notice of its successful registration under section 18-617.1 as being on the RSP Eligibility List, must complete and file a Regulatory Safety Permit application to the Chief of Police on a form supplied by the Police Department. The application shall be filed together with a nonrefundable fee as established by resolution of the City Council, to defray, the cost of investigation required by this article. The application shall contain all of the following: (1) The address of the property where the proposed Medical Marijuana Collective(s) will operate; (2) A site plan describing the property with fully dimensioned interior and exterior floor plans including electrical, mechanical, plumbing, and disabled access compliance pursuant to Title 24 of the State of California Code of Regulations and the federally mandated Americans with Disabilities Act; (3) Exterior photographs of the entrance(s), exits(s), street frontage(s), parking, front, rear and side(s) of the proposed property; Ordinance No. NS-XXX Page 3 of 8 11 A-5 SMS 4/5/10 (4) Photographs depicting the entire interior of the proposed property; (5) If the property is being rented or leased or is being purchased under contract, a copy of such lease or contract; (6) If the property is being rented or leased, written proof that the property owner, and landlord if applicable, were given notice that the property will be used as a Medical Marijuana Collective, and that the property owner, and landlord if applicable, agree(s) to said operations; (7) The name, address, telephone number, title and function(s) of each manager, employee, volunteer, etc.; (8) For each manager, employee, volunteer, a fully legible copy of one valid government issued form of photo identification, such as State Driver's License or Identification Card; (9) If the Medical Marijuana Collective is a corporation, a certified copy of the Collective's Secretary of State Articles of Incorporation, Certificate(s) of Amendment, Statement(s) of Information and a copy of the Collective's Bylaws; (10) If the Medical Marijuana Collective is an unincorporated association, a copy of the Articles of Association; (11) The name and address of the applicant's current agent for Service of Process; (12) A copy of the applicant's Board of Equalization Seller's Permit; (13) A copy of the Medical Marijuana Collective Operating Standards, listed in Section 18-613, containing a statement dated and signed by the responsible party on - site staffing under penalty of perjury, that they read, understand and shall ensure compliance with the aforementioned operating standards. (b) The Chief of Police shall have sixty (60) calendar days in which to investigate the application and background of the applicant. The department of building safety and housing, the fire department and the Orange County Health Department shall inspect the premises proposed to be devoted to the collective establishment and shall make separate recommendations to the Chief of Police or designee concerning compliance with the foregoing provisions. Ordinance No. NS-XXX Page 4 of 8 11 A-6 SMS 4/5/16 (c) The Chief of Police or designee, after receiving the application and aforementioned recommendations, shall grant the permit if he finds: (1) The required fee has been paid. (2) The application conforms in all respects to the provisions of this article. (3) The applicant has not knowingly made a material misrepresentation in the application. (4) The applicant has fully cooperated in the investigation of the application. (5) The applicant has not had a regulatory safety permit or other similar license or permit denied or revoked for cause by this City or any other city located in or out of this state within the five (5) years prior to the date of application. (6) The collective as proposed by the applicant would comply with all applicable laws including, but not limited to, health, zoning, fire and safety requirements. (7) The applicant has demonstrated compliance with the California Department of Justice, Office of the Attorney General, "Guidelines for the Security and Non - Diversion of Marijuana Grown for Medical Use" standards. (d) Failure of an applicant listed on the RSP Eligibility List to obtain a Certificate of Occupancy within six (6) months of submitting a completed RSP application will result in disqualification from the RSP Eligibility List and Waitlist. This sub -section applies to RSP applications submitted after April 5, 2016. Section 6. If any section, subsection, sentence, phrase or clause of this ordinance is for any reason held to be invalid or unconstitutional, 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. Ordinance No. NS-XXX Page 5 of 8 11 A-7 SMS 4/5/1 6 Section 7. The City Clerk shall certify the adoption of this Ordinance and shall cause the same to be posted as required by law. ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: -Sandra M. Schwarzmann Senior Assistant City Attorney AYES: NOES: Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers ON Miguel A. Pulido Mayor Ordinance No. NS-XXX Page 6 of 7 11 A-8 SMS 4/5/16 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS-XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana, Date; Clerk of the Council City of Santa Ana Ordinance No. NS-XXX Page 7 of 7 11 A-9 11A-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: ORDINANCE - SECOND READING: REZONING THE AMCAL MULTI HOUSING TWO, LLC PROPERTY LOCATED AT 1438 AND 1440 EAST FIRST STREET FROM GENERAL COMMERCIAL (C-2) TO SPECIFIC DEVELOPMENT NO. 89 (SD-89) (AA NO. 2016-01) AND ADOPTING SPECIFIC DEVELOPMENT NO. 89 (SD-89) FOR SAID PROPERTY {-E IC PLAN . 5,1) CITY MANAGER RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER On April 19, 2016, the following ordinance was introduced for first reading and City Council authorized publication of title by a vote of 7-0: ORDINANCE NO. NS-2897 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REZONING THE AMCAL MULTI HOUSING TWO, LLC PROPERTY LOCATED AT 1438 AND 1440 EAST FIRST STREET FROM GENERAL COMMERCIAL (C-2) TO SPECIFIC DEVELOPMENT NO. 89 (SD-89) (AA NO. 2016-01) AND ADOPTING SPECIFIC DEVELOPMENT NO. 89 (SD-89) FOR SAID PROPERTY 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. � G� 0 - & Maria D. Huizar, Clerk of the Council EXHIBITS: 1. Ordinance No. NS-2897 11 B-2 ORDINANCE NO. NS- AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REZONING THE AMCAL MULTI HOUSING TWO, LLC PROPERTY LOCATED AT 1438 AND 1440 EAST FIRST STREET FROM GENERAL COMMERCIAL (C-2) TO SPECIFIC DEVELOPMENT NO. 89 (SD-89) (AA NO. 2016-01) AND ADOPTING SPECIFIC DEVELOPMENT NO. 89 (SD-89) FOR SAID PROPERTY THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana does hereby find, determine and declare as follows: A. Amendment Application No. 2016-01 has been filed with the City of Santa Ana to change the zoning district designation of certain real property located at 1438 and 1440 East First Street from General Commercial (C-2) to Specific Development No. 89 (SD-89). The Specific Development No. 89 zoning district (SD-89) would allow the development of the AMCAL First Street Family Apartments development project, which would include 69 apartment homes and ancillary onsite community services on a 2.15-acre parcel of land. B. The Planning Commission of the City of Santa Ana held a duly noticed public hearing on March 28, 2016, on Amendment Application No. 2016-01 and recommended that the City Council adopt an ordinance approving Amendment Application No. 2016-01, which is consistent with the General Plan, as amended by General Plan Amendment No. 2016-01. C. This City Council, prior to taking action on this ordinance, held a duly noticed public hearing on April 19, 2016. D. The City Council also adopts as findings all facts presented in the Request for Council Action dated April 19, 2016 accompanying this matter. E. For these reasons, and each of them, Amendment Application No. 2016-01 is hereby found and determined to be consistent with the General Plan of the City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. 11 B-3 Section 2. The City Council has reviewed and considered the information contained in the Mitigated Negative Declaration and Mitigation Monitoring and Reporting Program (Environmental Review No. 2016-14) prepared with respect to this project. The City Council has, as a result of its consideration of the record as a whole and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act (CEQA) and the State CEQA Guidelines, Environmental Review No. 2016-04 meets all requirements of CEQA. Section 3. The real property located at 1438 and 1440 East First Street in Santa Ana is hereby reclassified from General Commercial (C-2) to Specific Development No. 89 (SD-89). An amended Sectional District Map, showing the above described change in use district designation, is hereby approved and attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. Section 4. Specific Development No. 89 (SD-89) attached hereto as Exhibit B and incorporated by this reference as though fully set forth herein is approved and adopted in its entirety. Section 5. This ordinance shall not be effective unless and until Resolution No. 2016- (Environmental Review No. 2016-14 and GPA No. 2016-01) and Ordinance No. 2016- (Amendment Application No. 2016-01) are adopted and become effective. If said resolution and ordinance are for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise does not go into effect for any reason, then this ordinance shall be null and void and have no further force and effect. Section 6. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional, ADOPTED this day of NM Miguel A. Pulido Mayor 11 B-4 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: c_ e Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2016, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 11 B-5 i41,111:m1 Sectional District Map 11 B-6 x'rvuisl CP MI a-��ae9 ®C5,0� cSAI MZ MI '® 92o i RI ,,MI 9L o RI ? Yo R] t CHESTNUT AV Al Ml M� 1.._..lAA7RSY•� ►� in 1y O �= W REx9. iii1 AV Al j MI • Tf. Ra A ��_1 wax[xauav c 1 MI MI 1 R] 1 xdti•axpYrt Q MI xOR ,y M tY.l 1 3 Al ail' - - - - - MI x9 I j NR9MIMeV s W43xiPE nV - 1 !{ L iA[,V MI .xux eoxcwxvn. vex rlNxsx °"$ MI .�eoxcxnxv.v owexrzwmv 1 • • 9 11 11T _ Santa Ana Zoning Designations I Descriptionrone Description Zone r DescriptionDescription Al General Agricultural DT Downtown R4 Suburban Apartment r C1 Community Commercial GC Government Center RE Residential Estate Cl-MD Community Commercial - Museum District Mi Light Industrial SO Specific Development an tam) C2 General Commercial M2 Heavy IndusNal SP Specific Plan „•. C4 Planned Stropping Center O Open Space TV Transit Village n Gl CS Arterial Commercial P Professional UC Urban Center 1••� CDR Corridor RI Single -Family Residence UN1 Urban Neighborhood 1 CR Commercial Residential R2 Two -Family Residence UN2 Urban Neighborhood C-SM Sorts Main Street Commercial DtsMct R3 Multiple-Famiy Residence - 1—+� n• rr 7 N 0 im nw..u•.cax Feet 11 B-7 Exhibit B Specific Development No. 89 (SD-89) 11 B-8 SPECIFIC DEVELOPMENT PLAN NO. 89 AMCAL First Street Family Apartments SECTION 1 — APPLICABILITY OF ORDINANCE The Specific Development zoning district No, 89 (SD-89) for the AMCAL First Street Family Apartments project site is authorized by Chapter 41, Division 26 Section 41-593 et seq. of the Santa Ana Municipal Code, SD No. 89 contains the specific standards and regulations contained in the residential district, as herein amended, for the purpose of establishing land use regulations and standards. All other applicable chapters, articles, and sections of the Santa Ana Municipal Code are in effect unless expressly superseded by regulations contained in this ordinance. SECTION 2 — PURPOSE The Specific Development Plan No. 89 for the AMCAL First Street Family Apartments project consists of standards and regulations established for the purpose of protecting the health, safety, and general welfare of the people of the City of Santa Ana by promoting and enhancing the value of property and encouraging the orderly development of the property. The AMCAL First Street Family Apartments project Specific Development Plan No, 89 (SD-89) sets forth the development and design criteria for a development consisting of approximately 2.15 acres, The purpose of this specific development plan is to pennit flexibility in site planning and design to respond to market conditions while assuring high quality development. SD No. 89 specifically establishes for the property the following: • Permitted uses. • Development standards, including building height limits, required setbacks, parking requirements, landscaping provisions and enforcement policies. • Publicly -accessible plaza requirements • Maximum development intensity. Obiectives The objectives of the AMCAL First Street Family Apartments project specific development plan include provision of the following: Development of a residential project in an area identified by the 2014- 2021 Housing Element as an opportunity area for infill residential projects. 2. Promotion of the City's image as providing high -quality residential projects for individuals and families of all income groups. 11 B-9 EXHIBIT 14 Page 2 of 4 3. A clean and safe environment for the City's residents, workers, and visitors. 4. A visually harmonious development as viewed both internally and externally. 5. Flexibility in development in response to market conditions while achieving overall City and community goals. SECTION 3 — Uses permitted in Specific Development No. 89 The following uses are permitted in the SD-89 district: (a) Multiple -family dwellings (b) Ancillary onsite community -serving or social service uses SECTION 4 — Uses subject to a conditional use permit in Specific Development No. 89 (a) Childcare facilities caring for more than eight (8), but no more than fourteen (14) children. SECTION 5 — Maximum permitted floor area ratio (FAR) The maximum authorized building intensity for the AMCAL First Street Family Apartments project is a floor area ratio (FAR) of 0.75, including residential areas, community -serving areas (e.g., laundry room, office, and community room), and interior corridors. SECTION6 — Minimum lot area in Specific Development No. 89 The developable lot for the project shall have a minimum lot area of 2.15 acres. SECTION 7 — Minimum street frontage in Specific Development No. 89 Developable lots shall have a minimum street frontage of at least 287 feet. SECTION 8 — Building height in Specific Development No. 89 No structure shall exceed 45 feet in height, as measured from the lowest adjacent grade of a structure to the top of the structure. 11 B-10 EXHIBIT 14 Page 3 of 4 SECTION 9 — Development standards in Specific Development No. 89 The AMCAL First Street Family Apartments development shall be built as shown on the approved project plans included as attachments to the SD. The plans shall govern in the event there is a conflict between the SD with the project plans. In addition, the following standards are applicable to the project: (a) Setbacks. (1) A minimum setback of five (5) feet shall be provided between the property line and buildings on Fist Street (2) A rninimurn setback of five (5) feet shall be provided between the side property lines and buildings (3) A minimum setback of ten (10) feet shall be provided between the rear property line and buildings (b) Parking. The minimum oft -street parking requirements for the project are as follows: 1) 119 Total Parking Spaces, of which: a. 50 parking spaces shall be uncovered/surface spaces b. 69 parking spaces shall be provided in garages (c) Pedestrian Walkways and Open Spaee. The project will provide a minimum of 13,930 square feet of open space in the form of common, landscaped open space areas and an interior community room adjacent to the primary onsite resident services office. (d) Walls/Fences. A solid block wall with a minimum height of six feet shall be constructed along the east, south, and west property lines. The block wall shall be designed to contain a decorative cap, regularly -spaced decorative pilasters, and a decorative finish- in accordance to the design provisions contained within the most recent version of the City's design guidelines. (e) Landscaping Detailed landscaping plans shall be submitted to and be approved by the City of Santa Ana Planning Division prior to issuance of a building permit and installed as required in the approved plans. Final. landscape plan design shall conform to the standards and guidelines contained within the most recent version of the City's design guidelines. The landscape plan shall include approximately 15 percent of open space (courtyards, common area amenities, perimeter plaza, and open space) within the project site including the 11B-11 EXHIBIT 14 Page 4 of 4 community room, laundry room, courtyards, paseos, plazas, and community garden. (f) Architectural and Design Features. (1) Exterior materials. Exterior materials and finishes for the project shall comply with the approved materials board submitted for the project during Building plan check. All trash enclosures and similar ancillary structures shall match the texture, material and color of the building. (2) Hardscape materials. Enhanced paving materials shalt be installed at the driveway entrances, the project main entrance and the public park area. The actual paving materials shalt be approved by the Planning Division. (3) Lighting standards/fixtures. The light 'fixtures are to integrate design elements of the building and landscape architecture. Lighting is to be designed to confine the direct rays of the artificial lighting within the boundaries of the development. Specifications of light standards/fixtures and. photometrics plan shall be submitted to Planning Division for approval. (g) Mechanical Equipment, Appurtenances, and Conduits All mechanical equipment and all supporting appurtenances and conduits shall be screened from view inside walls, behind parapets, or through a combination of landscape and hardscape materials. 11 B-12 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON DEVELOPMENT AND TRANSPORTATION CANCELLATION NOTICE The City Council Committee meeting on Development and Transportation scheduled for Thursday, April 7, 2016 at 5:00 p.m. has been cancelled. The next meeting will be held Monday, April 18, 2016 at 5:00 p.m. City Hall Ross Annex Conference Room 1600 20 Civic Center Plaza Santa Ana, California 13A-1 13A-2 CITY OF SANTA ANA COUNCIL COMMITTEE SPECIAL MEETING AGENDA DEVELOPMENT AND TRANSPORTATION COMMITTEE MONDAY, APRIL 18, 2016 5:00 P.M. CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Vicente Sarmiento, Chairperson David Benavides Recording Secretary: Rosa Barela 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. Streetcar Project Update — David Cavazos {Strategic Plan Nos. 6, 1 G; 3, 2C} 2. SMaRT-Santa Ana (Sustainable Mobility and Roadway Transformation) Presentation —Action: Receive feedback — Fred Mousavipour (Strategic Plan No. 6, 1 A, 1 B, 1 C, 1 D, 1 E) 3. Update on the Adult Education Center at Centennial Park - Action: Receive and File — Gerardo Mouet (Strategic Plan Nos. 5, 4A) 4. Third & Broadway Project Update — Action: Receive update from staff and developer and provide direction as needed— David Cavazos & Hassan Haghani (Strategic Plan No. 3, 5A) 5. Fiber Optic Utility Infrastructure / Gigabit Santa Ana — Presentation - Action: Receive and File and Feedback - Fred Mousavipour (Strategic Plan No. 6, 1 C; 1 E; 1 G; 1 I} 6. Creation of a Transportation Specific Commission STAFF COMMENTS COMMITTEE MEMBER COMMENTS FUTURE AGENDA ITEMS 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, I Vicente Sarmiento, Michele Martinez, l Angelica Amezcua, P. David Benavides, Roman Reyna, Sal Tinajero, Mayor i Mayor Pro Tem, Ward 1 Ward 2 Ward 3 j Ward 4 Ward 5 Ward 6 MPufido®sanfia-ana.oro i Vearmlento0sanU—@.orn MMartinezGDsante-ane.ora I AAmezcua(isanra.ana om D6enevidesitlaana eneou RRevovriirworw n o� STlnaiero(asanra-ana ora 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-3 ADJOURNMENT — The next meeting is scheduled for Thursday, July 7, 2016 at 5:00 p.m. The complete Strategic Plan document is available at htta://W wv.santo-ana.oralstrateoic-planning/ DEVELOPMENT & TRANSPORTATION COMMITTEE AGENDA 2 APRIL 18, 2016 13A-4 • Me, AMU COMMITTEE" The regular meeting of the Parks, Recreation and Youth Committee scheduled for April 25, 2016 at 5:30 p.m. has been cancelled. The next regularly scheduled meeting will be held on July 25, 2016 at 5:30 p.m. City Hall Ross Annex Room 1600 20 Civic Center Plaza Santa Ana, California 13A-6 0. M1, CITY COUNCIL MEETING DATE; TITLE: CERTIFICATION AND APPROVAL BY CITY ENGINEER — FINAL TRACT MAP NO, 17636 (1010 SOUTH HARBOR BOULEVARD) (STRATEGIC PLAN NO. 3, 3) r CITY MANAGE WAsLUTM Y «... Receive and file, CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on Vt Reading ® Ordinance on ed Reading ® Implementing Resolution ® Set Public Hearing For—_ CONTINUED TO FILE NUMBER This action informs the City Council of the imminent approval of the subdivielon based upon the Subdivision Map Act and meeting all of the condition of approval set by the City, The City Engineer has received Final Tract Map No. 17636 (City Tract Map No. 2015-02) for 1010 South Harbor Boulevard (Exhibit 1) from the current owner --City Ventures Homebuilding, LLC, a Delaware Limited Liability Company --and is in the process of reviewing the map for final approval. The project site is located within the corridor district of the Harbor Mixed Use Transit Corridor Specific Plan (SP-2). Tentative Tract Map No. 17636 was approved by the City Council on August 4, 2015. Pursuant to Section 34-183 of the Santa Ana Municipal Code, the City Engineer shall approve or disapprove this map within ten days after the May 3, 2010, City Council meeting, 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, ThereAs no fiscal Impact associated with this action. Fr Mousavipour Executive Director Public Works Agency FMIEWG/AC Exhibit 1, Map 17A-1 17A-2 SANTA ANA City Council Pe® Agenda Date: May 3, 2016 ftmI"am Title: F EXHIBIT TRACT MAP NO. 17636 1010 SOUTH HARBOR BOULEVARD OF CURB LINE 17A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: QUARTERLY REPORT OF INVESTMENTS AS OF MARCH 31, 2016 (STRATEGIC PLAN NO. 4, 1D) CITY MAN GER RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER In 1995, the State of California enacted legislation revising the reporting requirements relative to investment of funds by governmental agencies. State statutes require that a quarterly report be submitted within 30 days following the end of the quarter covered by the report; however, our office continues to provide this information to the City Council monthly. The legislation dictates that this quarterly report contain the seven major elements listed below: 1. Type of investments, 2. Date of maturity, 3. Par and dollar amounts invested in each security, 4. Weighted average maturity of the investments, 5. Market value as of the date of the report, 6. Source of the market value information, and 7. Any funds, investments or programs, including loans, under the management of contracted parties. These requirements, which became effective on January 1, 1996, mandate that a statement outlining the ability of the City to meet the budgeted expenditures for the subsequent six months be submitted to the City Council on a quarterly basis. Staff performs an end -of -month expenditure analysis to comply with the expenditure requirement and a statement confirming the ability to meet this requirement in the monthly -and quarter -ending Treasurer's Report. The information is in compliance with State law and the City's Investment Policy. 19C-1 Quarterly Report of Investments March 2016 May 3, 2016 Page 2 The attached Treasurer's Report (Exhibit 1) accurately reflects all pooled investments held on behalf of the City as of March 31, 2016. The following table represents percentage policy limits set by the City's Investment Policy and State Law and respective types, amounts and percentages, as of March 31, 2016. Type of Investment in $ in % COSA Policy Limits State Law Limits Certificate of Deposit (CD) $13,117,622.95 4.24% 30% 30% Federal Farm Credit Bank (FFCB) $57,963,820.00 18.73% None None Federal Home Loan Bank (FHLB) $66,556,403.00 21.51% None None Federal Home Loan Mortgage Corp. (FHLMC) $52,942,775.00 17.11% None None Federal National Mortgage Association (FNMA) $73,437,507.50 23.73% None None Local Agency Investment Fund (LAIF) $45,421,981.02 14.68% None None Sub -Total $309,440,109.47 100.00% None None Cash $15,178,738.86 Total $324,618,848.33 Restricted Cash in $ Restricted Cash $16,082,742.91 Total $16,082,742.91 t Restricted cash is held by Trustee, Bank of New York Mellon and is segregated from cash used for daily operations. The following graph represents percentages within the respective investment types, as of March 31, 2016. City of Santa Ana Investment Portfolio Asset Allocation FNMA March 31, 2016 LAIF D 0 21% ■ Certificate of Deposit (CD) ■ Federal Farm Credit Bank (FFCB) ■ Federal Home Loan Bank (FHLB) ■ Federal Home Loan Mortgage Corp. (FHLMC) ■ Federal National Mortgage Association (FNMA) ■ Local Agency Investment Fund (LAIF) 19C-2 Quarterly Report of Investments March 2016 May 3, 2016 Page 3 Effective Rate of Return Month To Date (MTD) 1.03% Year To Date (YTD) 1,06% STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #4 - City Financial Stability, Objective #1 (Maintain a stable, efficient and transparent financial environment), Strategy D (Develop a fiscal health analysis tool that informs a department of its financial position in order to assist in its decision making process). FISCAL IMPACT There is no fiscal impact associated with this action. 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CITY COUNCIL MEETING 1 MAY 3, 2016, TITLE: REGIONAL ANALYSIS OF IMPEDIMENTS TO FAIR HOUSING CHOICE (STRATEGIC PLAN NO. 5, 1) v],// Z.,-, // CITY MANAG * UMIR49FMON CLERK OF COUNCIL USE ONLY: 02290 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1e0 Reading ❑ Ordinance on 2Id Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve the Regional Analysis of Impediments to Fair Housing Choice and authorize the City Manager to certify that the Regional Analysis of Impediments to Fair Housing Choice represents the City's conclusions about impediments to fair housing choice and actions necessary to identify and address impediments. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its Regular Meeting on April 27, 2016, the Community Redevelopment and Housing__ Commission (CRHC) recommended the approval of the Regional Analysis of Impediments to Fair Housing Choice and to authorize the City Manager to certify that the Regional Analysis of Impediments to Fair Housing Choice represents the City's conclusions about impediments to fair housing choice and actions necessary to address and identify impediments, by a vote of 5:0 (A. Garcia absent). DISCUSSION The City of Santa Ana participates in a Consolidated Plan process to receive Community Development Block Grant (CDBG), HOME Investment Partnership Grant (HOME), and Emergency Solutions Grant (ESG) funding from the U.S. Department of Housing and Urban Development (HUD). The federal regulations for the Consolidated Plan require that grantees conduct an Analysis of Impediments to Fair Housing Choice (AI), take appropriate actions to overcome the effects of impediments identified through that analysis, and maintain records reflecting the analysis and actions. An Al is a document that analyzes local and regional policies, procedures, and practices within a community that may limit a person's ability to choose their residence free from discrimination, and addresses actions that may be taken to overcome these discriminatory housing policies, procedures, and practices. While the requirement to complete an Al must be fulfilled by individual grantees, HUD encourages regional collaboration for this planning effort. In Orange County, 16 entitlement cities 19D-1 Analysis of Impediments to Fair Housing Choice May 3, 2016 Page 2 (Anaheim, Buena Park, Costa Mesa, Fountain Valley, Fullerton, Garden Grove, Huntington Beach, La Habra, Lake Forest, Mission Viejo, Newport Beach, Orange, Rancho Santa Margarita, San Clemente, Santa Ana, and Tustin), have elected to prepare a regional Al. The benefit of a regional Al is that it allows for a broader perspective on issues that may be impacting housing choice and/or mobility within the region as well as potential solutions and/or strategies. The regional Al provides an overview of laws, regulations, conditions or other possible obstacles that may affect an individual or a household's access to housing in a community. It also presents local and regional demographic profiles, assesses the extent of housing needs among specific groups, identifies existing barriers or impediments that may limit housing choice, and proposes actions to overcome those barriers. The Regional Analysis of Impediments to Fair Housing Choice document was available for public review from March 9th through April 11th 2016 at the Clerk's office and on the City's website. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #1, (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this action. Robert Cortez Special Assistant to the City Manager City Manager's Office JB/SV/NV Exhibit: 1. Analysis of Impediments to Fair Housing Choice 19 D-2 OVA :Ily111MI Analysis of Impediments to Fair Housing Choice Report at: http://www.santa-ana.org/cda/documents/DRAFTFORPUBLICCOMM ENT-SANTAANA-Al.pdf 19 D-3 19 D-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: PARK RANGER PROGRAM UPDATE (STRATEGIC PLAN NO. 1, 1) r CITY MAWAGER RECOMMENDED ACTION Receive and file Park Ranger Update. DISCUSSION CLERK OF COUNCIL USE ONLY: F.M.100071wk 0 As Recommended ❑ As Amended ❑ Ordinance on tat Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER The Police Department assumed responsibility for the Park Ranger Program on April 18, 2015. Since then, the Police Department has been working towards fully staffing the program with qualified, fully trained and highly motivated Park Rangers. The Police Department has assigned one full-time Park Liaison Officer to the program. In addition, the one existing part-time Park Ranger from Parks and Recreation completed his required POST re -qualification class on December 18, 2015 and has completed the background investigation process. This Park Ranger began his 12-week training program on February 2, 2016 and was reassigned to the Police Department effective February 10, 2016. Previously, the Police Department successfully hired one part-time Park Ranger, who has since been separated. There are currently two part-time Park Ranger vacancies. The Police Department continues to actively recruit Park Ranger applicants from the Orange County Sheriff's Department (OCSD), Los Angeles County Sheriff Department (LASD), San Bernardino County Sheriff Department (SBSD), Riverside County Sheriff Department (RSD), California Commission on Peace Officer Standards and Training (POST), area police' academies (Golden West, Rio Hondo, Orange County), and various police officer associations. In an effort to increase recruitment results, the Police Department has identified 911 Media to advertise the part-time Park Ranger job opportunity on the Peace Officers Research Association of California (PORAC) online job posting website. The posting is expected to go live in early May 2016. To date, the Personnel Services Department has received 348 applications for the Park Ranger positions. There were 61 applicants who possessed the minimum qualifications required by the job description. Of the 61 applicants that met the minimum qualifications, 12 remain in the recruitment process. One applicant is in the background investigations process; 8 applicants are scheduled for the June 2016 Physical Agility Test; and 3 applicants will be scheduled for oral interviews in June. The remaining 49 candidates failed a component of the recruitment process. 19E-1 Park Ranger Program Update May 3, 2016 Page 2 STRATEGIC PLAN ALIGNMENT This item supports the City's efforts to achiev (Modernize the Community Policing Philosophy and traffic / pedestrian/bicycle safety). FISCAL IMPACT There is no fiscal associated with this item. Carlos Rojas Chief of Police Santa Ana Police Department e Goal #1 — Community Safety, Objective #1. to improve customer service, crime prevention 19E-2 REQUEST FOR COUNCIL ACTION 0000 CITY COUNCIL MEETING DATE: MAY 3, 2016 WORKSPUBLIC OF IMPROVEMENTPROJECTS - MONTHLY CAPITAL REPORT•R APRIL 2016 (STRATEGIC PLAN • rjl*107 1614Z1014 Receive and file. CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 114 Reading ❑ Ordinance on 2 d Reading ❑ Implementing Resolution ® Set Public Hearing For CONTINUED TO FILE NUMBER The April 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 #6 - 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). E119 There is no fiscal Impact associated with this item. Fr4d Mousavipour Executive Director Public Works Agency FM:Io Exhibit: 1. 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" a 44 a-9 R.R d o A a A A uN u 44 y V u Q am u A eB.5vc s o' fry- E g 991, v 4 =gam 2 ct 'i c'Y8 '8 _. �,N "E c.c- E rc a.' _ NE u u : o VC = ai q`m a' c g a Jag 3 9 c tl S A O: 55 n q a C; K m^ 19F-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: SENIOR MOBILITY PROGRAM SERVICE PLAN WITH ORANGE COUNTY TRANSPORTATION AUTHORITY {STRATEGIC PLAN NO. 5,41211 CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED E As Recommended As Amended ❑ Ordinance on lot Reading El Ordinance on 2ntl Reading E Implementing Resolution E Set Public Hearing For CONTINUED TO FILE NUMBER Approve the Senior Mobility Program Service Plan and authorize its submittal to the Orange County Transportation Authority. DISCUSSION On March 15, 2016 the City Council approved an agreement amendment with the Orange County Transportation Authority (OCTA) to modify the existing scope. Since then, OCTA has indicated that a Service Plan (Exhibit 1) in the format developed by OCTA needs to be approved by the City Council before OCTA staff can draft an agreement amendment to present to the OCTA board for approval. Once approved by the OCTA board, the agreement amendment will be brought back to the City Council for approval at a future council date. OCTA developed the Senior Mobility Program for the purpose of improving transportation services for seniors in the region. Under this service plan, the Parks, Recreation and Community Services Agency provides transportation services for residents 60 years of age and older for senior center classes/nutrition programs, shopping, personal care, special events, social/recreation activities. All trips must be within Orange County or within 10 miles of the County border if the trips are medical in nature. The current term of the agreement is for 5 years and expires on June 30, 2016. The agreement is subject to extension for another 5 year period, through June 30, 2021, at the discretion of OCTA. As required by OCTA's Senior Mobility Program Guidelines recently enacted, once approved, the new service plan will ensure that the modified scope of services remains effective through any extension period. 19G-1 Agreement Amendment with Orange County Transportation Authority Senior Mobility Program March 15, 2016 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (Support neighborhood vitality and livability), Strategy B (Improve neighborhood quality by locating or providing access to complementary services and public facilities, including access to healthy food options (community gardens, farmers' markets, corner markets, etc.) in neighborhoods). FISCAL IMPACT This is no fiscal impact associated with this action. Gerardo Mouet Executive Director Parks, Recreation and Community Services Agency EXHIBIT: 1. Service Plan 19G-2 MSenior Mobility Program ocra Agency Service Plan Jurisdictions and agencies participating in the Orange County Transportation Authority (OCTA) Senior Mobility Program (SMP) must complete the following Service Plan in order to receive SMP funding. The Service Plan must be developed in accordance with SMP Guidelines, included as Attachment 1, and submitted to OCTA for review. Upon review from OCTA, the Service Plan must be formally adopted by the agency's council or governing body and approved by the OCTA Board of Directors. Any modifications to SMP services will require submittal of a new Service Plan. Participant Information: Agency City of Santa Ana Program Contact Juan L. Lara Phone Number 714-571-4259 Service Description: 1. Program goals and objectives: Date April 7, 2016 Email jlara@santa-ana.org Provide transportation services to Santa Ana residents 60 years of age and older. Assist participants with accessing programs, services and activities that enhance .their niialiN of lifo 2. Indicate how SMP service will be operated: (Please check all that apply) F✓ Directly Operated Contract Service Provider Volunteers Subsidized Taxi Program Other (Please describe) 19G-3 3. Eligible trips provided under the Senior Mobility Program are limited to the following categories. Please indicate the categories of service to be provided by your program: (check all that apply) ❑✓ Senior Center ❑✓ Nutrition ❑ Medical Personal Care Shopping Social/Recreational (please list locations) Local Museums, Parks, Beaches, Libraries,Theaters and County Fairs. 4. SNIP Guidelines restricts trips outside of Orange County to medical trips within approximately 10 miles of the Orange County border. Do you intend to provide medical trips outside of Orange County? 0 yes (�) No If yes, please list the trip purpose and destinations: (e.g., medical trips to the VA Hospital in Long Beach) 5. Fare structure: Not Applicable 6. Number of vehicles: 3 7. Projected annual ridership: 200 —� 8. Source(s) of 20 percent match funding: City General Fund 19G-4 Program Requirements: 1. Jurisdiction/Agency shall follow competitive procurement practices in selection of vendors for all services which it does not provide using its own work force. Any Request for Proposals (RFP) for services shall specify the use of vehicles meeting Americans with Disabilities Act (ADA) accessibility standards. 2. Jurisdiction/Agency will perform, or ensure that a contracted vendor performs, maintenance of all vehicles used in the Senior Mobility program, including, at a minimum: a) Daily Pre -Trip Inspections that meet or exceed the guidelines provided in the attached Pre -Trip Inspection Checklist (Attachment 2) b) Scheduled preventative maintenance that meets or exceeds the guidelines provided in the attached PM Checklist, including the maintenance of all accessibility features of the vehicles. c) Maintain maintenance records for each vehicle for five (5) years and, if required, cooperate fully in annual motor coach carrier terminal inspections conducted by the California Highway Patrol. 3. Jurisdiction/Agency will ensure that its operators, or its contracted vendor's operators, are properly licensed and trained to proficiency to perform duties safely, and in a manner which treats its riders with respect and dignity. Disability awareness and passenger assistance will be included in this training. 4. Jurisdiction/Agency will establish and implement an alcohol and drug program that complies with 41 U.S.C, sections 701-707, (the Drug Free Workplace Act of 1988), and will produce any documentation necessary to establish its compliance with sections 701-707. 5. Jurisdiction/Agency will submit a monthly report to OCTA's Community Transportation Services Department as illustrated in Attachment 3. 6. Jurisdiction/Agency will participate in OCTA marketing and outreach efforts to encourage use of fixed route transit service by older adults. 7. Jurisdiction/Agency will note OCTA sponsorship in any promotional material for service funded under this agreement and will display an OCTA Senior Mobility Program logo on vehicles used in this program (excluding taxis). S. Jurisdiction/Agency will ensure that it maintains adequate oversight and control over all aspects of services that are provided by a contracted vendor. IN WITNESS WHEREOF, has formally adopted the Senior Mobility Program Scope of Work as written above. AGENCY REPRESENTATIVE OCTA REPRESENTATIVE Name: Executive Director Name: Title: Executive Director Title: 19G-5 19G-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 19, 2016 TITLE: APPROPRIATION ADJUSTMENT TO IMPLEMENT THE ORANGE COUNTY PARTNERSHIP TO IMPROVE COMMUNITY HEALTH GRANT PROJECT {STRATEGIC PLAN NO. 5, 4B} CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1"Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED T06)Aaa 4 R0 14 FILE NUMBER Approve an appropriation adjustment recognizing Orange County Partnership to Improve Community Health grant allocation in the amount of $145,000 into the Emergency and Health Fund revenue account and appropriating the same in the Emergency and Health Fund expenditure account for2015-2016. DISCUSSION In May 2015, the City Council approved an Agreement with the Community Action Partnership of Orange County to implement the Orange County Partnership to Improve Community Health (PICH) initiative. The PICH initiative is a program supported by a Centers for Disease Control and Prevention grant with funding allocated annually for up to three years. The goal of the program is to address leading risk factors for major causes of death and disability in the United States, including poor nutrition and physical inactivity. The requested appropriation adjustment is to recognize grant funds allocated for Year 2 of the PICH initiative. Projects in Santa Ana will focus on increasing pedestrian walkability in the downtown corridor through the installation of traffic calming improvements, bike racks, wayfinding markers, and intersection enhancements. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 — Community Health, Livability, Engagement & Sustainability, Objective #4 — Support neighborhood vitality and liability, Strategy #B — Improve neighborhood quality by locating or providing access to complementary services and public facilities, including access to health food options in neighborhoods. 20A-1 Agreement with Community Action Partnership to Implement Partnership to Improve Community Health Grant Project April 19, 2016 Page 2 FISCAL IMPACT The Orange County PICH grant award of $145,000 (Federal Award Identification Number U58DP005861) will be recognized into the Emergency and Health Fund revenue account (No. 12217002-52001) and appropriated into the Contract Services -Professional account (No. 12217600-62300) and Miscellaneous Operating Expenses account (No. 12217600-63001) for expenditure in FY 2015-16 as follows: ACCOUNT NO. FY 2015-16 12217600-62300 $90,000 12217600-63001 $55,000 TOTAL: $145,000 F:tM Fred Mousavipour Executive Director Public Works Agency FM/EWG/CW APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez ExecutiveDirector Finance & Management Services Agency 20A-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 19, 2016 TITLE: COOPERATIVE AGREEMENT WITH THE CITY OF COSTA MESA FOR THE SANTA ANA DELHI DIVERSION PROJECT (NONGENERAL FUND) (PROJECT NO. 16-6467) (STRATEGIC PLAN NO. 6, 1G) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _ 000 p ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO Q&f I P,016 FILE NUMBER 1. Recognize a Mitigated Negative Declaration for the Santa Ana Delhi Diversion Project. 2. Authorize the City Manager and Clerk of the Council to execute a Cooperative Agreement with the City of Costa Mesa that advances funds in an amount not to exceed $1,100,000 for construction of the portion of the Santa Ana Delhi Diversion Project within the limits of City of Costa Mesa and require reimbursement of $600,000 to the City of Santa Ana by January 31, 2017, subject to nonsubstantive changes approved by the City Manager and City Attorney. Amend the Fiscal Year 2015-2016 Capital Improvement Project to increase the Delhi Diversion Project budget by $1,100,000. 4. Approve an appropriation adjustment to recognize a $600,000 Expense Reimbursement from City of Costa Mesa and $500,000 from Federal Clean Water Protection Enterprise prior year fund balance, and appropriate $1,100,000 in the Federal Clean Water Protection Enterprise Fund. DISCUSSION The Santa Ana Delhi Diversion Project (Delhi Project) is a regional collaboration between Santa Ana, Costa Mesa, Newport Beach, County of Orange, and the Orange County Flood Control District. The goal of the Delhi Project is to improve the water quality in Newport Bay and increase regional groundwater supplies. Completion of the Delhi Project will also help Santa Ana meet federal storm water program requirements mandated by the California State Water Resources Control Board. 20B-1 Cooperative Agreement with the City of Costa Mesa Santa Ana Delhi Diversion April 19, 2016 Page 2 The Delhi Project will divert trash and debris flow from the Santa Ana Delhi Channel into a containment area while conveying dry weather flows into an Orange County Sanitation District (OCSD) trunk sewer main. The OCSD trunk sewer main serves an Orange County Water District (OCWD) advanced water purification system ("Groundwater Replenishment System") which helps replenish OCWD aquifers benefitting the public. OCWD participation in the project will assist in accomplishing its goal to increase flows in the OCSD system and increase source water for groundwater replenishment. In accordance with Section 15074(b) of the California Environmental Quality Act (CEQA), before any action can be taken on a project, the decision -making body of the lead agency must first consider the environmental impacts of the project. Since the City of Santa Ana is the lead agency for the Delhi Project, Council approval of the environmental impact findings is required. A Mitigated Negative Declaration has been prepared for this project (Exhibit 1). The process is summarized in the Environmental Impact section below. The City of Costa Mesa is currently advertising for bids to construct its Bristol Street Median Project within the City of Costa Mesa. The project is scheduled to start in May 2016. However, a portion of the Delhi Project is within the city limits of Costa Mesa and will conflict with the Bristol Street Median Project. The Delhi Project is several months away from advertising and is not scheduled to start until early 2017. To mitigate this conflict, staff recommends building the underground portion of the Delhi Project in conjunction with Costa Mesa's Bristol Street Median Project. By including this work in Costa Mesa's project, the Delhi Project (and, by extension, the City of Santa Ana) will experience significant savings in construction management costs, mobilization costs, street reconstructions costs, traffic control costs, as well as construction time savings. To realize these cost savings and to allow Costa Mesa to complete their time -sensitive, grant - funded Bristol Street Median Project, the City of Santa Ana and the City of Costa Mesa desire to enter into a Cooperative Agreement (Exhibit 2). This agreement outlines a funding exchange in which Santa Ana will provide funds to Costa Mesa, in an amount not to exceed $1,100,000. These funds are to be used exclusively to construct the portion of the Santa Ana Delhi Diversion Project that is in conflict with the Costa Mesa Bristol Street Median Project. The advance is comprised of the City of Santa Ana's share of the construction cost for the Delhi portion ($500,000) and the City of Costa Mesa's share ($600,000). The Cooperative Agreement requires Costa Mesa to reimburse Santa Ana for its $600,000 share by January 31, 2017. The City of Santa Ana's Capital Improvement Program for Fiscal Year 2015-2016 currently identifies a total budget of $343,050 for Preliminary Engineering expenditures. The budget increase of $1,100,000 is needed to fund the cost to construct the portion of the Santa Ana Delhi Diversion Project that will be completed along with the Costa Mesa Bristol Street Median Project. Approval of the appropriation adjustment will allocate the necessary funds for the completion of this portion of the project. 20B-2 Cooperative Agreement with the City of Costa Mesa Santa Ana Delhi Diversion April 19, 2016 Page 3 A separate Cooperative Agreement will establish funding obligations for all agencies participating in the Delhi Project. It is anticipated that the Delhi Project Cooperative Agreement will be finalized and approved by all parties involved in June 2016. Expenditures for the portion of the Delhi Project constructed in Costa Mesa will be credited toward Santa Ana and Costa Mesa's respective future obligations. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act (CEQA), a Mitigated Negative Declaration (MIND) has been prepared for the Santa Ana Delhi Channel Diversion Project (Exhibit 2). As noticed in the Orange County Register on January 27, 2016, the public review period for the MND was from January 27, 2016, to February 25, 2016. Documentation was available for viewing on the City website, the Public Works Counter in City Hall, the Santa Ana Main Library, and the Orange County Public Library, Mesa Verde Branch. Written comments on the MIND were received from Orange County Public Works, Department of Transportation (Caltrans), Orange County Water District, John Wayne Airport, and the Santa Ana Regional Water Quality Control Board. The comments did not present issues that were substantive in nature or resulted in changes to any MIND findings. All comments have been addressed in the Response to Comments document on the MIND. The proposed project would have a less than significant impact on the environment. As planned, the Delhi Project would eliminate dry weather flows in the Santa Ana Delhi Channel to help improve water quality in downstream receiving waters including Upper Newport Bay. FISCAL IMPACT With the approval of the appropriation adjustment, revenues in the amount of $1,100,000 will be recognized in the Federal Clean Water Protection Enterprise Fund as follows: $600,000 in the Expense Reimbursement from City of Costa Mesa account (No. 05717002-57013) and $500,000 in the Prior Year Fund Balance account (No. 05717002-50001) for appropriation into the Federal Clean Water Protection Enterprise Fund Capital account (No. 05717640-66220) for expenditure in Fiscal Year 2015/2016. The reimbursement in the amount of $600,000 from the City of Costa Mesa will be received in FY 2016-2017. r1- Cooperative Agreement with the City of Costa Mesa Santa Ana Delhi Diversion April 19, 2016 Page 4 APPROVED AS TO FUNDS & ACCOUNTS: Are"MousAvipour Francisco Gutierrez Executive Director Executive Director Public Works Agency Finance & Management Services Agency FM/EW G/TC Exhibits: 1. Mitigated Negative Declaration for Santa Ana Delhi Channel Diversion Project 2. Cooperative Agreement with City of Costa Mesa SANTA ANA DELHI CHANNEL DIVERSION PROJECT RESPONSE TO COMMENTS ON INITIAL STUDY/MITIGATED NEGATIVE DECLARATION Prepared for: City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 March 2016 Prepared by URS Corporation 999 Town and Country Rd Orange, CA 92868 Contact: Joseph Long, PE 714-352-1528 Table of Contents 1.0 Introduction.................................................................................................................. 1 2.0 Response to Comments............................................................................................... 3 2.1 Comments from Orange County Public Works (Flood Programs Environmental Resources, and Trails)................................................................................................... 3 2.2 Comments from Santa Ana Regional Water Quality Control Board ................................ 8 2.3 Comments from Orange County Water District (OCWD)................................................ 9 2.4 Comments from John Wayne Airport(JWA)..................................................................10 2.5 Comments from Department of Transportation (Caltrans)............................................10 Attachments A Comment Letters on the IS/MND B Updated Watershed Drainage Map C Revised Figures 5 and 6 with labels for Golf Course and Pedestrian Bridge D Revised Page 3-1 showing OCFCD as a Project Sponsor IF 1.0 INTRODUCTION URS prepared an Initial Study/Mitigated Negative Declaration (IS/MND) for the proposed Santa Ana Delhi Diversion Project (Project) which evaluated the environmental effects of the Project in accordance with the California Environmental Quality Act (CEQA Guidelines). The Project is intended to remove dry -weather channel flows from the Santa Ana Delhi Channel watershed and divert said flows into the Orange County Sanitation District's regional collection system for treatment prior to discharge into the ocean or to be utilized as source water for the regional Ground Water Recharge System. The primary intent of the Project is to protect Upper Newport Back Bay from additional pollutant loading generated by flows from the Santa Ana Delhi Channel watershed. The proposed Project consists of three major components: 1) dry -weather diversion; 2) floatable debris removal system; and 3) pumping facilities to the regional sewer collection system. The Project also includes a 1.6 mile pipeline in Bristol Street to the regional sewer in Baker Street in the City of Costa Mesa. The proposed Project will be located within the Newport Beach Golf Course, adjacent to the east side Aerial Overview Santa Ana Delhi Diversion Project Location of the Santa Ana Delhi Channel approximately 900 feet upstream of the Irvine Avenue. The Project is being developed with cooperation between the Cities of Santa Ana, Newport Beach, and Costa Mesa, Orange County Public Works (OCPW) and the Orange County Flood Control District (OCFCD) (Project Stakeholders). The Project is viewed as a multi -functional benefit and regional water quality improvement project associated with the current and future NPDES requirements and specifically in accordance with the proposed trash amendment to the existing Municipal Separate Storm Sewer System (MS4) permit requirements. The IS/MND concluded that construction and operation of the Project would not result in significant adverse impacts to the environment. In accordance with the CEQA Guidelines, the IS/MND was circulated for public and agency review for a period of 30 days. This review period began on January 27, 2016 and ended on February 25, 2016. Public notice of availability was published in the Orange County Register on January 27, 2016. The Notice of Availability was also provided to the Orange County Clerk's office. The IS/MND was available for review at: • City of Santa Ana Public Works Counter • City of Santa Ana Public Library • Orange County Public Library — Mesa Verde Branch (in Costa Mesa) • City of Santa Ana Public Works Agency website: http://www.ei.santa-ana.ca.us/pwa/ 20B-7 The IS/MND was sent to the State Clearinghouse (SCH) for distribution to state agencies and was assigned SCH # 2016011069. The SCH sent copies of the IS/MND to the following state agencies for review and comment: State Agencies Receiving the IS/MND for Review State Agencies Providing Comments California Coastal Commission No Department of Fish and Wildlife, Region 5 No Department of Parks and Recreation No Department of Water Resources No Caltrans District 12 Yes Division of Aeronautics No California Highway Patrol No Air Resources Board No State Water Resources Control Board, Division of Financial Assistance No State Water Resources Control Board, Division of Drinking Water No State Water Resources Control Board, Division of Water Rights No Regional Water Quality Control Board, Region 8 Yes Native American Heritage Commission No State Lands Commission No Additionally, URS on behalf of the City of Santa Ana sent the IS/MND to the following local stakeholders for review and comment: Local Stakeholders Receiving the IS/MND for Review Local Stakeholders Providing Comments City of Newport Beach No City of Costa Mesa No Orange County Flood Control District Yes Orange County Watersheds No Orange County Sanitation District No Orange County Water District Yes Newport Bay Conservancy No Surfrider Foundation — Newport Beach Chapter No Orange County Coastkeeper No John Wayne Airport Yes All comments received on the MND are included in Attachment A. Responses to comments are provided in Section 2.0. IF 2.0 RESPONSE TO COMMENTS 2.1 COMMENTS FROM ORANGE COUNTY PUBLIC WORKS (FLOOD PROGRAMS ENVIRONMENTAL RESOURCES, AND TRAILS) - FEBRUARY 24, 2016 2.1.1 Flood Programs 1. Comment: Request the IS/MND consistently address the County/ OCFCD as one of project proponents along with the Cities of Santa Ana, Newport Beach and Costa Mesa. Response: Comment noted. All references to the Project Proponents should include County/OCFCD. 2. Comment: Change reference to Watershed Protection Group in Section 1.0 to Environmental Resources. Response: Comment noted. The name change is acknowledged. 3. Comment: Correct typo, reference are listed in Section 6.0, not 7.0. Response: Comment noted. 4. Comment: Please verify acreage of Santa Ana Delhi Channel (F01) catchment area. Response: OCFCD provided a new watershed drainage area map that shows a FO1 watershed area of 10,900 acres. This new map is provided as Attachment B of this Response to Comment document. 5. Comment: Please verify drainage boundaries of Santa Ana Delhi (F01), Santa Ana Gardens (F02) and Paularino (F03) shown in the Figure 1 of the 1YIND versus the FOI Proposed Diversion Structure Watersheds map provided by the OCFCD to the City of Santa Ana. Response: OCFCD provided a new watershed drainage area map showing boundaries for FOl, F02 and F03. This newer map is included as Attachment B and would supersede Figure 1 in the IS/MND. 6. Comment: Based on the new drainage area map provided, please verify the contributory acreages of the Cities of Santa Ana, Costa Mesa, Newport Beach, Irvine and Unincorporated Orange County. Response: Based on the new drainage area map provided by OCFCD, the contributory acreages of the Cities of Santa Ana, Costa Mesa, Newport Beach, Irvine and Unincorporated Orange County are: 6983, 3019, 128, 159 and 611 acres, respectively. 7. Comment: The proposed diversion should not worsen existing hydraulic conditions of FOI. Existing and post project hydraulic analysis need to be performed to evaluate the project's impact to FOI and mitigation measures proposed in consultation with OCPW if there are any adverse impacts. Response: The project is designed in accordance with the OC Flood Design Manual to meet all requirements for maintaining the flood control capacity of the channel. Hydraulic analyses have been performed by URS in coordination with OCFCD and provided in the Hydraulic r14• Study on file with OCFCD. The Hydraulic Study describes the analyses performed on the channel, diversion structure, and local storm drain inlet systems. The level of flood protection offered by FO1 has not been affected. No additional flood areas have been created by the proposed structure. S. Comment: The description of Element 2 (Debris Containment System) specifies what happens to flows/debris up to 2 feet in depth and flows/debris above 3 feet in depth but under 7 feet. Provide an explanation of what happens to floating debris and flows within the range of 2-3 feet of depth. Response: At no point are flows fully retained by the diversion structure. For clarification, the following description of operational flow ranges is provided. All flows less than 20 cubic feet per second (cfs) will be redirected into the facility by the cross -channel weir to be treated via an inclined (Coanda) screen and returned to channel through a transfer culvert within the off -channel diversion facility (HEC-RAS Bypass Culvert). Flows exceeding 20 cfs will exceed the flow capacity of the transfer culvert and begin to flood the off -channel diversion facility and pass through trash nets for floating debris treatment until a point such that sufficient downstream head has been built to overtop the cross channel weir. At this point, flows and floating debris will be skimmed by the resting reinforced boom into the off -channel diversion facility until a channel water surface of approximately 18 inches has been reached. Once a water surface of 18 inches has been reached, the boom will begin to float up to a water surface of 6 feet 6 inches (approximately a 2-year water quality event). The boom will slum and redirect the top portion of flows for floating debris into the off channel diversion facility up until this set release point has been reached. After a water quality event water surface has been attained, the boom will release from the downstream support while remaining fixed to the upstream support. Floating litter and debris directed into the off -channel diversion facility will be retained by the trash nets. Concurrently, the trash nets will collapse after a water quality event water surface has been attained in order to prevent damage from the 100-year flood control event water velocities. A secondary coarse bar screen has been provided at the exit of the off -channel diversion facility to retain pollutants that have entered the off -channel diversion facility but have either bypassed the trash nets or exceeded the trash net storage capacity during a water quality event. 9. Comment: Please verify maintenance frequencies described in different sections of the IS/MND for consistency. Response: Long term maintenance, which includes removal of accumulated debris, sediment, and floatables within the diversion facility, is expected to be on a 30-day maintenance cycle, after each rain event, or as required. 10. Comment: Please state in the IS/MND and Operations & Maintenance Plan detailing all required maintenance activities, responsibilities, and the frequencies associated with all three project elements. All permits including those from Regulatory Agencies should be shared with the OCFCD/County before they are finalized and become part of the O&M Plan. 205--10 Response: Operation and maintenance activities, responsibilities and frequencies of each project element are identified in the table below. The Project Stakeholders named in the Memorandum of Understanding (MOU) that is currently under development will be responsible for ensuring that all stakeholders are informed of the regulatory permit process and provided an opportunity for review/comment as applicable. Project Element Operation and Maintenance Responsibility Frequency Activity Element t - Removal of accumulated debris, OCFCD Every 30 days, after each In Channel sediment, floatables from the rain event, or as required. Diversion Structure floatable debris boom Also, prior to Oct. 1 and after April 30. Reset the debris boom OCFCD After each storm event that exceedsthe2-year storm event water surface Element 2 — Removal of accumulated debris, OCFCD Every 30 days, after each Channel Debris sediment, floatables from rain event, or as required. Removal System - Coanda screen and debris Also, prior to Oct. 1 and containment area after April 30. Cleaning of CDS unit OCFCD Every 6 months Element 3 — Inspection of pumps and wet OCFCD Every 6 months Pumping Facilities wells Replacement of pumps OCFCD As needed (25-year minimum expected life cycle) 11. Comment: The access road has to be moved within the golf course in a manner that does not impact operation of the golf course. Response: During project construction, the access road will be temporarily closed off, but the bridge over the channel to the Front Nine will remain open. Long-term, the project has been designed so that the re -aligned portion of the access road will be outside the golf course existing lines of play. 12. Comment: Please add text regarding the project footprint requirements of the pipeline and other features outside the County R/W as appropriate. Response: The pipeline will be L6 miles long and placed in a 5-foot wide trench in the existing paved Bristol Street right-of-way. Pipeline construction plans will be reviewed and approved by the City of Costa Mesa. 13. Comment: The existing access road is not open for public use at this time. Please revise text as appropriate. Response: It has been confirmed by Jeff Dickman of OCPW that the existing access road is part of the Santa Ana Heights Regional Riding and Hiking Trail, a county master -planned trail, and open for public use. The purpose for the trail is to connect the equestrian stable at the OC Fairgrounds to Upper Newport Bay and to two other regional routes leading to Peters 20B-11 Canyon Regional Part, Mason Regional Park and Irvine Coast Wilderness Park. Trail users include walkers, joggers, runners, hers, mountain bicyclists and equestrians. 14. Comment: Suggest labeling the "Back and Front of the Ninth hole" and the pedestrian bridge on Figures 5 and 6 for anyone not familiar with golf terminology. Response: Figures 5 and 6 have been revised to include labels for these features, and are included as Attachment C of this Response to Comments document. The `Back Nine" is the Newport Beach Golf Course's official name for the South East portion of the course which contains the reservoir (take). The "Front Nine" is the official name for the North West portion of the course. The two halves are separated by the Santa Ana Delhi Channel which has a pedestrian bridge spanning the two halves of the full course. 15. Comment: Page 2-17, first paragraph reference the public recreation trail. Please delete all references to trails in the IS/MND. Response: See Response to Comment 13. 16. Comment: As shown in Table 2.4-1 (page 2-18 of the IS/MND), please identify where the 13,380 sq. ft. permanent maintenance easement and 4,300 sq. ft. sewer easement will be located (e.g. within the streets, JWA or County property?). Response: Easements will be within the Newport Beach Golf Course as shown in Figures 5 and 6 (Attachment C). 17. Comment: Page 3-1, under item No. 5 Project Sponsor, please clarify here and throughout the IS/MND that OCFCD is a Project Sponsor. Response: Comment noted. It is acknowledged that OCFCD is a Project Sponsor along with the Cities of Santa Ana, Newport Beach and Costa Mesa. Section 3.1 has been revised to list OCFCD as a Project Sponsor and included in Attachment D of this Response to Comments document. 18. Comment: It should be shown with analysis that the proposed in -channel diversion facility and appurtenances will not affect the existing flood protection level provided by the flood control facility. Response: See Response to Comment #7. The project will not affect the existing flood protection level provided by the flood control facility. 19. Comment: Please confirm the submerged depth of the pumps so that the IS/NIND and the project plans are consistent. Response: The pump station wet well has a bottom invert of 32 feet below grade. During normal dry weather operation, sump pumps shall be submerged between 2 and 8 feet of water depth during pump cycling. During wet weather operation, wet well water surface will be equal to channel water surface. 20. Comment: Agreements between the OCFCD/County and project partners are required in order to define the terms and conditions under with OCFCD/County will accept modifications to the channel and/or accept/share right-of-way, maintenance 209-12 responsibilities and associated costs before construction starts and permits can be issued for work within OCFCD/County right -of way. Response: Comment noted. Project Stakeholders are currently developing a MOU for project operation and maintenance activities. 21. Comment: Please add the Preliminary Design Report including supporting technical report(s) under "Appendices" on page ii of the IS/MND. Response: Comment noted. It is acknowledged that the Preliminary Design Report could have been included as a technical appendix to the IS/MND. However, the Preliminary Design Report has been modified as part of final design and therefore some of the design portions of the report are no longer current. 2.1.2 Environmental Resources Division 1. Comment: Reference to OCPW Watershed Protection Group in Section 1.0 should be changed to OCPW Environmental Resources Division. Response: Comment noted. 2. Comment: In Section 2.4.2, Project Operations, the storm season is defined as October 16 — April 14 and the non -storm season as April 15 through October 15. To be consistent with the maintenance schedule under the County's local municipal storm water permit and related municipal/industrial and construction site inspections and maintenance that are to be conducted during the storm and non -storm seasons, the timeframes should be defined as October 1 to April 30 and May 1 to September 30 respectively. Response: Comment noted. The Proj ect's operation and maintenance schedule will be redefined in accordance with the County's local municipal storm water permit program's definitions for the storm and non -storm season. This will be October 1 to April 30 for the storm season and May 1 to September 30 for the non -storm season. 2.1.3 Comments from OCFCD/SAR/Trails 1. Comment: Over 15 years ago, the County of Orange built a portion of the Santa Ana Heights Regional Riding and Hiking Trail, a county master planned dirt trail. The trail is currently open along the east side of the channel from Irvine Avenue upstream to Santa Ana Avenue. The trail is open from sunrise to sunset for use by walkers, joggers, runners, bicycle riders and equestrians. • The proposed project must not interfere with the public's use of this trail or alter the existing decompose granite trail tread, which is the hallmark of the County/s natural —surface trails • Any alteration, detour, temporary closure or reconstruction of the Santa Ana Height Regional Riding and Hiking Trail must be approved in writing by the County prior to the start of work. • Applicant will be responsible for any repairs to the decomposed trail tread, signage, bollards, gates and other trail -related amenities. 20B-13 Response: Comment noted. The project will require temporary closure of the trail during construction of the channel diversion facilities for approximately 120 days. After construction, the trail will be restored to existing conditions using decomposed granite. The City of Santa Ana will seek approval of the trail reconstruction plans from OCPW prior to the start of work. 2.2 COMMENTS FROM SANTA ANA REGIONAL WATER QUALITY CONTROL BOARD — FEBRUARY 25, 2016 1. Comment: The Project design should consider the impacts of removing all low flows at the diversion structure to downstream aquatic ecosystems, including a freshwater emergent wetland that exists in the section of the Santa Ana -Delhi Channel downstream of the Mesa Street ,Bridge. In this location, freshwater pools form above the tidal influence that wildlife utilizes. Species observed in this location include western pond turtle and California least tern, a California species of special concern and federally - listed endangered species, respectively. As such, Project proponents should determine avoidance, minimization or mitigation resulting from Project impacts to the listed and other freshwater marsh species established in the areas downstream of the project site. United States Fish and Wildlife Service staff expressed concern over the reduction of channel flows into Upper Newport Bay that would result from the project and possible impact to the salt -water marsh located downstream of the channel confluence with the Bay. The Project proponents should respond to the USFWS concern prior to implementing the Project and consider Project options to avoid potential adverse impacts to the downstream salt marsh. Response: Portions of Final Design for the Project were based off of recommendations made by the Santa Ana Regional Water Quality Control Board in the Santa Ana Delhi Channel Watershed Water Quality Surrnnary (Shibbeiu, 2009). This summary recommended that the channel low -flow notch be blocked during the dry season (See Table 16 of Section 5.0). Final Design of the project included blocking the trapezoidal low -flow "notch" during all weather events via a cross -channel weir. Up to 20 cubic feet per second (efs) of flows blocked by the proposed diversion structure will be screened via an inclined screen (Coanda) type BMP to remove trash and debris. Up to 3 cfs may be pumped from a Transfer (Bypass) Culvert to be discharged into the regional sewer collection system; all flows exceeding this capacity will be returned to channel. The Bypass Culvert is designed such that up to 20 cfs of annual flows will be returned to channel after receiving screening treatment to remove trash and other debris. Also, flows in the channel downstream of the Project (e.g. below the Mesa Street Bridge) will not be affected by the Project and will continue to flow in this downstream charnel reach. These flows enter the channel from local storm drain inlets that include at least (1) 36", (2) 42", and (3) 18" storm drain system inlets and contribute to channel flows downstream of the Proj ect. To address USFWS' concern regarding reduction of channel flows into Upper Newport Bay, operation of the Project pumps to divert flows to the regional sewer collection system (Element 3) could be modified, including pumping for a shorter duration, or if necessary shutting down the pumps at certain times to provide low flows that the USFWS and the SARWQCB find agreeable for discharge into the Upper Newport Bay. 2. Comment: Project implementation could result in increased erosion in the earthen downstream sections of the channel. The project would remove sediment from dry weather flows along the earthen section of the channel from Mesa Street to Upper Newport Bay. The lack of sediment deposition could encourage greater scouring during wet weather flows. Board recommends conducting a hydraulic study of the channel examining sediment transport prior to determining whether to construct the project. Response: OCFCD is currently aware of erosion issues along the earthen section of the channel from Mesa Street to Upper Newport Bay and is currently developing a channel restoration project to address these issues. Erosion issues result from upstream portions of the channel that are fully hardened in a fully urbanized watershed with comparatively minor sediment loading from the Delhi Watershed to Newport Bay Watershed (Shibberu, 2009). It is estimated that of the 74.7 tons of combined material removed annually from Santa Ana Delhi sub -watershed based on period 2012-2014 (OCFCD), 33.3% consisted of sediment which amounts to 24.6 tons of sediment. It is possible that 24.6 tons of sediment may be fully retained by the proposed diversion structure and removed by maintenance operations. This retained 24.6 tons of sediment constitutes 0.04% of the overall TMDL limit of 62,500 ton per annum for the Newport Bay Watershed (Shibberu, 2009) and would not require a hydraulic study of the channel examining sediment transport. During wet weather, water is not capable of pooling several feet deep behind the diversion structure before it is released downstream. Flows less than 20 cfs will be diverted through an off -channel diversion facility for screening treatment and returned to channel via a Bypass Culvert. Flows exceeding 20 cfs, but less than that of a 2-year water surface will pass through both the off -channel diversion facility trash nets, and main channel. Only the top 18 inches of flows are to be skimmed for floating litter and debris by a floating boom that rises to match the 2-year water surface. The boom will partially release after a 2-year water surface has been reached to maintain the 100-yearflood control capacity of the channel provided by both the off -channel diversion facility and the main channel at the proposed project site. At no point are flows fully contained by the facility, only 3 cfs of dry -weather flows may be pumped from the Bypass Culvert if not returned to channel. 2.3 COMMENTS FROM ORANGE COUNTY WATER DISTRICT (OCWD) — FEBRUARY 25, 2016 1. Comment: OCWD operates a non -potable recycled water supply system called the Green Acres Project that delivers recycled water to irrigation and industrial users. A portion of the Green Acres Project pipeline is located in the vicinity of the proposed Santa Ana Delhi Channel Diversion Project area. OCWD requests that the applicant consider potential impacts to this pipeline as the project is designed and constructed. Response: Comment noted. Project design plans include provisions for maintaining clearance of the Green Acres Project pipeline. 20B-15 2.4 COMMENTS FROM JOHN WAYNE AIRPORT (JWA) - FEBRUARY 25, 2016 1. Comment: Homes border the golf course that could be impacted by excessive odors as well as people who play golf along the channel. The MND should include a clear description of how odor issue will be mitigated or eliminated. Response: IS/MND Section 4.3.1.e (page 4-15) addresses potential odor impacts of the project. The section states that the screening of trash may result in the build-up of trash which may be a source of odors. Removal of accumulated trash within the channel is expected to be on a 30-day maintenance cycle, after each rain event, or as required. If collected trash presents a source of odors, the atypical source of trash would be removed or the frequency of cleaning would be increased to eliminate the source of odors. 2. Comment: JWA appreciates that project maintenance language provided in the MND allows for more frequent clean -out of the diversion facility as needed. Response: Comment noted. 3. Comment: JWA requests that the HIND discuss whether any trees will be impacted by the project and recommends that the trees be saved if possible, or that other trees be replanted. Response: Existing non-native trees along the fence line of the golf course will be removed to accommodate the relocated access road. Replacement of trees, if desired, can be addressed in the MOU being prepared by the Project Stakeholders. 4. Comment: In several MND sections, there is reference to "County of Orange Airport Land Use Commission." This should be changed to "County of Orange/John Wayne Airport", since County of Orange/John Wayne is the property owner with authority to grant easements for the project, not the Commission. Response: Comment noted. 2.5 COMMENTS FROM DEPARTMENT OF TRANSPORTATION (CALTRANS) -FEBRUARY 23, 2016 1. Comment: Caltrans requests that the applicant submit Environmental Review Documents to the Local Development/Intergovernmental Review Branch prior to request for permit. Response: On January 26, 2016, URS submitted a hard copy of the IS/MND to Caltrans District 12 in advance of the Encroachment Permit application. Staff in Caltrans District 12 Environmental Unit received this copy of the IS/MND as well as relevant portions of the Project plans for review (e-mail exchange with Ed Dolan, Caltrans Environmental Unit, 02/20/16). Also, the SCH sent the IS/MND to Caltrans District 12 for environmental review as part of the IS/MND 30-day circulation period. 2. Comment: The City of Santa Ana must obtain a fee exempt Encroachment Permit prior to commencement of work within the State Right of Way. Also, the City's contractor will also have to apply for a Double Permit to perform the work. 20B'°16 Response: Comment noted. The City of Santa Ana is in the process of applying for an Encroachment Permit and is aware of the Encroachment Permit procedures outlined in the Caltrans comment letter. 20B-17 Attachment A Comment Letters on the IS/MND FublicWorks Integrity, Accountability, Service, Trust Shane L. Silsby, Director February 24, 2016 Mr. Tyrone Chesanek, Principal Civil Engineer City of Santa Ana, Public Works Agency 20 Civic Center Plaza Santa Ana, California 92701 NCL-16-011 Subject: Notice of Intent to Adopt a Mitigated Negative Declaration for the Santa Ana Delhi Channel Diversion Project Dear Mr. Chesanek: The County of Orange has reviewed the Notice of Intent to Adopt a Mitigated Negative Declaration for the Santa Ana Delhi Channel Diversion Project and offers the following comments: Flood Proerams: 1. Page 1-5, Section 1.0, P paragraph of the IS/MND states that "The City of Santa Ana in association with the Cities of Newport Beach and Costa Mesa is proposing a low flow diversion project.." Please add County/OCFCD as one of the project proponents to be consistent with the rest of the document. 2. Page 1-5, Section 1.0, 3rd paragraph: Please change "Watershed Protection Group" to "Environmental Resources". 3. Page 1-6, Section 1.2, last sentence: Please correct typo — references are listed in Section 6.0 (not 7.0). 4. Page 2-1, Section 2.2, V and 2nd paragraphs indicate that the total tributary area to Santa Ana Delhi Channel (F01) is 10,158 acres. Our records show F01 has a catchment area of about 11,000 acres. Please verify and revise as appropriate. 5. Page 2-5, Figure 1: It is noted that the watershed boundaries of Santa Ana Delhi (1701), Santa Ana Gardens (F02), and Paularino (F03) Channels have some discrepancies compared to the drainage map (i.e., F01 Proposed Diversion Structure Watersheds rev.pdf) provided to the City of Santa Ana (City). Please verify drainage boundaries and revise as appropriate. 300 N. Flower Street Santa Ana, CA 92703 www.00publlcworks.com P.O. Box 4048, Santa Ana, CA 92702-4048 714.667.8800 1 Info@OCPW.00gov.com 20B-19 6, The drainage map referred to in comment item 5 above also includes contributory drainage acreages from the Cities of Santa Ana, Costa Mesa, Newport Beach, Irvine, and Unincorporated Orange County. These acreages differ from those reported on page 2-1, Section 2.2, 2nd paragraph of the IS/MND. Please verify and revise as appropriate. 7. Page 2-7, Section 2.4.1 indicates that the proposed project includes an in -channel diversion structure that will utilize a semi -rigid floatable boon and a one foot high broad crested weir that spans the entire channel. The proposed diversion facility should not worsen existing hydraulic conditions of F01. Existing and post project hydraulic analyses need to be performed to evaluate the proposed project's impact to F01 and mitigation measures proposed in consultations with OC Public Works/Infrastructure Programs/Flood Program Support (FPS), if there are any adverse impacts. 8. Page 2-8, Element 2, 20d paragraph states, "Primary containment will be the storage location of debris and trash collected by the system for channel dry weather flows and flows up to 2 feet of depth" and "Floating debris carried by storm evets greater than 3 feet of depth but under 7 feet of depth will be redirected into the facility by Element 1 and retained by secondary containment chamber." It is unclear what happens to floating debris and flows within the range of 2-3 feet of depth. Please review and add explanation as appropriate. 9. Page 2-8, Element 2, 3`d paragraph states, "At minimum debris captured will be removed from debris storage area every 90 days. For optimum performance debris captured will be removed prior to beginning of each storm season and at conclusion of storm season." Please see also page 2-10: Storm Season Operations and Estimated Trash Removal Operation; page 2-19: Long Term Maintenance Operations; and page 4-3, 2"d paragraph. Please verify maintenance frequencies described in different sections of the IS/MND to ensure consistency. 10. Please state in the IS/MND that an Operations & Maintenance Plan detailing all required maintenance activities, responsibilities, and the frequencies associated with all three project elements: in -channel diversion structure, channel debris removal system, pumping facilities will be prepared. All permits including those from Regulatory Agencies should be shared with OCFCD/County before they are finalized and become part of the 0&M Plan. 11. Page 2-10, General Maintenance Operations, the IS/MND states, "However in special circumstances, such as pump removal for replacement, temporary access may be required." The access road has to be moved within the golf course in a manner that does not impact operation of the golf course. 12. Page 2-10, Section 2.4.3, Project Footprint Requirements: This paragraph seems to address the diversion footprint of the project only. It does not discuss the project related to the pipeline and other features outside of County R/W. Please review and add text as appropriate. 13. Page 2-10, Section 2.4.3 states, "The existing access road, currently open for public recreational purposes, will need to be re-established as part of the development of the project." The existing access road is not open for public use at this time. Please revise the text as appropriate. 300 N. Flower Street, Santa Ana, CA 92703 P.O. Box 4048, Santa Ana, CA 92702-404B www.ocpublimorks.com 714.667.8800 4 Info@OCPW.oWov.com 20B-20 14. Page 2-11, Vt paragraph: There is a reference to 'Back and Front of the Ninth hole" and the pedestrian bridge. These features should be labeled on Figures 5 and 6, If being reference within the text of the IS/MND since reference Is "golf terminology" that everyone may not be familiar with. 15. Page 2-17, :0' paragraph states, 'ihe access ramp to the proposed facility will be gated separately from access road for use by OCFCD for general maintenance and public recreation trail." Please see page 2-8, last paragraph regarding trail issue. There is no existing public trail within the project site. Please delete all references to trails from the IS/MND. 16. Page 2-18, Table 2.4-1: "Permanent Maintenance Easement Needed (Square Feet) 13,380" and "Sewer Easement Needed (Square Feet) 4,300." Please identify where these easements are. Are they within streets, John Wayne Airport or County property? 17. Page 3-1, Section 3.1, Item No. 5 Project Sponsor's Name and Address: This Item omits OCFCD as a sponsor. Definition of Sponsor needs to be clarified and the documents revised as appropriate. 18. Page 4-38, Section 4.9.1, item c, "Elements of the diversion facilities will be constructed within the concrete -lined Santa Ana Delhi Channel and will not affect the flood control capacity, drainage pattern of the area or alter the course of the channel." Please see also page 4-38, item d and page -39, item h. It should be shown with analysis that the proposed in -channel diversion facility and appurtenances will not affect the existing flood protection level provided by the flood control facility. Please see comment no. 7 above also. 19. Page 4-48, Section 4.12.1.a states, "These pumps will be completely submerged to a depth of 35 feet below grade." The plans show 32' below grade. Please verify and revise as appropriate. 20. Agreements between the OCFCD/County and project partners are required in order to define the terms and conditions under which OCFCD/County will accept modifications to the channel and/or accept/share right-of-way, maintenance responsibilities and associated costs before construction starts and permits can be issued for work within OCFCD/County right-of-way. 21. Please add the Preliminary Design Report including supporting technical report(s) under "Appendices" on page ii of the IS/MND. If you have any questions or need clarification please do not hesitate to contact Mehdi Sobhani at (714) 667-3998 or Penny Lew at (714) 647-3990. Environmental Resources: 1. Section 1.0, introduction (page 1-5): The reference to OC Public Works Watershed Protection Group in the third paragraph should be changed to OC Public Works Environmental Resources Division. 300 N. Flower Street, Santa Ana, CA 92703 www.ocpublloworks.com P.O. Box 4048, Santa Ana, CA 92702-4048 20B-21 714.667.8800 1 lnfo@OCPW.00gov.com 2. Section 2.4.2, Project Operations (pages 2-9 to 2-10): This section breaks down project operations during the non -storm season and storm season. The document defines the storm season as October 16 to April 14 and the non -storm season as April 15 through October 15. In order to be consistent with local municipal stormwater permits and related municipal/industrial/construction site inspections and maintenance that are to be conducted during the storm or non -storm seasons, the timeframes should be defined as October 1 to April 30 and May 1 to September 30, respectively. Flood/SAR/Traiis: 1. Over 15 years ago, the County of Orange built a portion of its Santa Ana Heights Regional Riding and Hiking Trail, a county master -planned dirt trail. The trail is currently open along the east side of the channel from Irvine Avenue upstream to Santa Ana Avenue. The trail is open from sunrise to sunset for use by walkers, joggers, runners, mountain bicycle riders and equestrians. The trail is planned to connect the Orange County Fairgrounds to Upper Newport Bay Nature Preserve, the Peters Canyon — Irvine Coast Regional Riding and Hiking Trails and the Mesa Drive Trail. • The proposed project must not interfere with the public's use of this trail or alter the existing decomposed granite trail tread, which is a hallmark of County's natural -surface trails. • Any alteration, detour, temporary closure or reconstruction of the Santa Ana Heights Regional Riding and Hiking Trail must be approved in writing by the County prior to the start of work. • Applicant will be responsible for any repairs to the decomposed trail tread, signage, bollards, gates and other trail -related amenities. If you have any questions or need clarification please do not hesitate to contact Jeff Dickman at (714)647-3937, Sincerely, Laree to so, Manager, Planning Division OC Pu ' Works Service Area/OC Development Services 300 North Flower Street Santa Ana, California 92702-4048 Laree.alonso ocpw.oc&ov.com cc: Mehdi Sobhani, Manager, OC Public Works/Flood Programs Chris Crompton, Manager, OC Public Works/Environmental Resources Jeff Dickman, OC Engineering, OC Public Works/Flood/SAR/Trails 300 N. Flower Street, Santa Ana, CA 92703 P.O. Box 4048, Santa Ana, CA 92702-4048 www.ocpu blicworks. corn 714.667.8800 1 Info@OCPW.ocgov.com 20B-22 Water Beards Santa Ana Regional Water Quality Control Board February 25, 2016 Mr. Tyrone Chesanek, City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 PE, Principal Engineer Emdu 0, 9er,. JN. _..... � MAIT"k R rer Review of California Environmental Quality Act Mitigated Negative Declaration: Ana -Delhi Channel Diversion Project Dear Mr. Chesanek: Thank you for the opportunity to comment on the mitigated negative declaration (M ' D) for the proposed Santa Ana Delhi Diversion Project (Project). The stated purpose o the Project is to eliminate dry weather flow and floating debris in the Santa Ana -Delhi Channel to help improve water quality in Upper Newport Bay. The City proposes to construct in an unincorporated area of Orange County a dry weather diversion stru ture within the Santa Ana Delhi Channel adjacent the Newport Beach Golf Course. Whe operating, the Project will remove dry weather flows, trash, debris, and low flows du ing the wet season up to 3.0 cubic feet per second. In addition, the Project proposes th construction of a 1.6 miles long pipeline to carry the diverted flows to an Orange Co jnty Sanitation District regional collection system located on Baker Street in the City of C ost Mesa. The MND states that the City of Santa Ana, in association with the Cities of Newpc Beach and Costa Mesa, has proposed the diversion project to address surface wa quality issues. The Cities propose to address water quality issues in accordance v the Orange County Municipal Separate Storm Sewer System permit as well as the several total maximum daily loads (TMDLs) developed for Upper Newport Bay. A primary intent of the Project is to address the current selenium TMDL while also addressing TMDLs for bacteria, toxics, metals, and nutrients, and the recently app statewide trash amendment. Regional Board staff appreciates that this Project appears likely to improve water in Upper and Lower Newport Bay by reducing the loading of pollutants to the Bay. requests consideration of the following comments on the MND when designing, constructing, and implementing this Project. 1. The Project design should consider the impacts of removing all low flows at he diversion structure to downstream aquatic ecosystems. As described in the 993 draft Environmental Impact Report (EIR) #527 "Santa Ana -Delhi System", a d Santa Ana Delhi Diversion Project - 2 - February 25, 2016 easily observed when on -site, a freshwater emergent wetland exists in the section of the Santa Ana -Delhi Channel (channel) downstream of the Mesa Street Bridge and the proposed Project site. In this location, fresh water pools form above the tidal influence that wildlife utilizes. California Department of Fish and Wildlife species of special concern and Federal Endangered Species Act listed species have been reported utilizing the freshwater marsh. The United States Geologic Survey biological survey team and others have periodically identified western pond turtle (Actinemys marmorata pallida), a California Department of Fish and Wildlife species of special concern, in this section of the channel. The California least tern (Stemula antillarum brown), federally listed as endangered, feeds in the freshwater sections of the channel as reported in the 1993 EIR and by local wildlife experts. As such, the Project proponents should determine avoidance, minimization or mitigation resulting from Project impacts to the listed and other freshwater marsh species established in the areas downstream of the Project site. In addition, United States Fish and Wildlife Service (USFWS) staff expressed concern° over the reduction of channel flows into Upper Newport Bay that would result from the implementation of this Project, and possible impacts to the salt- water marsh located downstream of the channel confluence with the Bay. Recently, USFWS staff provided Regional Board staff with a documene that describes the benefits of adequate nutrients to a healthy salt -water marsh. The Project proponents should respond to USFWS' concern prior to implementing the Project, and consider Project options to avoid potential adverse impacts to the downstream salt marsh. 2. The implementation of the Project could result in increased erosion in the earthen downstream sections of the channel. Implementation of the Project would remove sediment from dry weather flows along the earthen section of the channel from Mesa Street to the Bay. The lack of sediment deposition could encourage greater scouring during wet weather flows, but the MND does not discuss this possibility. Board staff recommends conducting a hydraulic study of the channel examining sediment transport prior to determining whether to construct the Project. The MND states that during wet weather, water may be allowed to pool several feet deep behind the diversion structure before it is released downstream. The Project proponents should consider the effects of these wet weather releases to the downstream sections of channel and the habitat. In addition, the Project proponents should evaluate whether allowing routine smaller releases versus Personal communication with USFWS staff Chris Medak. z Zedler, 1993, "Canopy Architecture of Natural and Planted Cord grass Marshes: Selecting Habitat Evaluation Criteria". 20B-24 Santa Ana Delhi Diversion Project - 3 - February 26, 2016 sudden releases of these flows from the diversion structure would reduce the possibility of adverse impacts. The MND stated that a Clean Water Act Section 401 Water Quality. Standards Certification (401 Certification) would likely be issued by the Regional Board for this Project. The United States Army Corps of Engineers has consistently considered the Santa, Ana Delhi Channel Waters of the United States, which will require the Project applicant to request and obtain a 401 certification prior to constructing this Project. The Project proponents must consider appropriate measures and Best Management Practices (BMPs) to incorporate into the Project to meet water quality standards. These measures and BMPs should be included in the 401 Certification applications. If you have any questions, please contact Dave Woelfel at David.woelfelO).waterboards.ca.aov or (951) 782-7960. Sincerely, l)l Wanda M, Cross Senior Environmental Scientist Regional Planning Section cc: United States Fish and Wildlife Service — Chris Medak California Department of Fish and Wildlife — Kevin Huft City of Newport Beach — Bob Stein 20B-25 omstton=_ PHILIP L. ANTHONY DENIS R. BILODEAU, P.E. !URBAN BRANDMAN SHAWN BEWANE !AN M. FLORY CATHY GREEN BINA NGUYEN ROMAN A. REYNA STEPHEN R. SHELDON ROGER C. YOH, P.E. ORANGE COUNTY WATER DISTRICT .v.,,., ._Di Tyrone Chesanek, PE Principal Civil Engineer City of Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92701 OF IVC President CATHY GREEN First Vice President DENIS R. BILOOEAU, P.E. Second Vice President PHILIP L. ANTHONY General Manager MICHAEL R. MARKUS, P.E., D.WRE RE: Mitigated Negative Declaration for Santa Ana Delhi Channel Diversion Project The Orange County Water District (OCWD) was established by the State of California in 1933 to manage the Orange County Groundwater Basin. Water produced from the basin is the primary water supply for approximately 2.4 million residents in Orange County. OCWD operates a non -potable recycled water supply system, called the Green Acres Project. A dedicated set of pipelines delivers recycled water to irrigation and industrial users. A portion of the Green Acres Project pipeline is located in the vicinity of the proposed Santa Ana Delhi Channel Diversion Project area. Please see the attached map indicating the location of the pipeline. We request that you consider potential impacts to this pipeline as you design and build the proposed project. If you have any questions regarding the Green Acres Project pipeline, please contact Ben Smith of OCWD at 714-378-3211. Thank you for the opportunity to submit these comments. Sincerely Michael R. Markus, P.E., D.WRE, BCEE, F.ASCE General Manager Attachment v4t 1� RT ORANGE COUNTY carry A. Rondinella, A.A.E./C.A.E. Airport Director 3160 Airway Avenue Costa Mesa, CA 92626 - 460a 949252.5171 949.252,5178 fax www.ocair.com February 25, 2015 Tyrone Chesanek City of Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92702 Subject: NOI to adopt MND for Santa Ana Delhi Channel Diversion Project Dear Mr. Chesanek: Thank you for the opportunity to review the initial study for the Santa Ana Delhi Channel Diversion Project located in the Santa Ana Delhi -Channel and the adjacent Newport Beach Golf Course. John Wayne Airport (JWA) requests that the following comments be addressed: i . The initial study does not discuss the potential for odor associated with the project. There are homes that border the golf course that could be impacted by excessive odors, as well as people who play golf along the channel. The Mitigated Negative Declaration (MND) should include a clear description of how odor issues will be mitigated or eliminated. 2. The MND does include a long term maintenance schedule. Removal of accumulated debris, sediment, and floatables within the diversion facility is expected to be on a 30-day maintenance cycle, after each rain event, or as required. We appreciate that the maintenance language does allow for more frequent cleanout if needed. 3. Figure 5 of the MND shows that the project footprint is overlaying a number of trees. We request that the MND discuss whether any trees will be impacted by the proposed project. The MND states there will be no agricultural impacts and landscaping details will be determined during final design. If any trees need to be removed, we recommend that the trees be saved if possible, or that other trees be replanted. 4. The underlined language in the sections noted below should be changed from "County of Orange Airport Land Use Commission" to "County of Orange/John Wayne Airport." The Airport Land Use Commission is not a property owner and has no authority related to this project. Page 2-11 (Section 2.4.4) Easements: "As a part of'the overall Project, the proposed Facility will require a permanent easement for operations. Use of the permanent easement will vary based an location and function of the proposed facility elements. Preliminary boundaries can be seen in Figures 5 and 6. These easements will be on Newport Beach Golf Course and would be granted by the Countof Oran eg Airport Land Use Commission which owns the golf course property." Page 2-19 (Section 2.7) Project Approvals: "The City, as Lead Agency for the project, has discretionary authority over the project. To implement this project, the following discretionary permits/approvals are u�si .9n m �N1,1 NSF rl- Page 2 JWA Continents Santa Ana Delhi Channel Diversion 2,25.16 required at a minimum: • Certification of the CEQA document by the City of Santa Ana • Clean Water Act Section 404 Permit from the U.S. Army Corps of Engineers • Clean Water Act Section 401 Water Quality Certification from the Santa Ana Regional Water Quality Control Board • California Fish and Game Code Section 1602 Streambed Alteration Agreement from the California Department of Fish and Wildlife • NPDES General Construction Activities Storm Water Permit — Notice of Intent (NOD form for construction activities that disturb one acre or more of soil. • Dry Weather Urban Discharge Permit from the Orange County Sanitation District 0 Encroachment Permit from County of Orange Flood Control District N Easements from County -of OrangeAirportLand Use Commission Page 3-2 (Section 3.1): 10. Other public agencies whose approval is required (e.g., permits): U.S. Army Corps of Engineers - Section 404 Permit • Santa Ana Regional Water Quality Control Board - Section 401 Water Quality Certification • State Water Resources Control Board - Notice of Intent (NOD for NPDES General Permit for Storm Water Discharges Associated with Construction Activities • Calif. Dept. of Fish and Wildlife - Section 1602 - Strearnbed Alteration Agreement • Orange County Sanitation District - Dry Weather Urban Discharge Permit • County of Orange Flood Control District - Encroachment Permit • County of Orange Airport Land Use Commission - Easements Thank you for the opportunity to comment on the MND. Please contact Len Chourn, Land Use Manager at (949) 252-5123 or via email at Lchourn should any questions arise regarding these comments. Sincerely, L. G. Serafini Deputy Airport Director, Facilities 20B-29 5M31_]1_CALUfQRNIA—CAI 1LQ.(.{NI.A STATH T2ANSPORI'Al'IpN AGEPICY __.__--____ .____ EDMUNUC BROWN h., Qmwo DEPARTMENT OF TRANSPORTATION DISTRICT 12 ° • 3347 MICHELSON DRIVE, SUITE 100 IRVINE, CA 92612-8894 PHONE, 949 724-2086 Seriou Dmight ( ) Serious drought. FAX (949) 724-2592 Help save water:' 'ITY 711 www.dot.ca.gov February 23, 2016 Mr. Tyrone Chesanke PE File:1GR/CEQA City of Santa Ana SCH#: 2016011069 Planning Division Log #: 4621 20 Civic Center Plaza SR-73, SR-55,1405 Santa Ana, CA. 92701 Dear Mr. Chesanke: Thank you for the opportunity to review and comment on the Santa Ana Delhi Channel Diversion Project Mitigated Negative Declaration. The City of Santa Ana in association with the Cities of Newport Beach and Costa Mesa is proposing a low flow diversion project in the Santa Ana -Delhi Channel that is intended to capture and divert low -flow urban discharges into the sanitary sewer system to address surface water quality issues in accordance with the Orange County Municipal Separate Storm Sewer System (MS4) permit (Order No. 118-2009-0030, Amended by Order No. R8-2010-0062) as well as the Total Maximum Daily load (TMDL) for selenium discharge to the Upper Newport Bay. The proposed Santa Ana Delhi Diversion Project (Project) will remove dry weather flows and lows flows during the wet season from the Santa Ana Delhi Channel and divert the flows to the Orange County Sanitation District (OCSD) sewer collection system for treatment prior to discharge into the ocean or utilization as source water for the OCSD/Orange County Water District (OCWD) regional Ground Water Replenishment System. The proposed Project consists of three major components: l; dry -weather diversion component; 2) floatable debris removal system; and 3) pumping facilities, force main, and pipeline connection to the OCSD sewer system. Caltrans Local Development -Intergovernmental Review program reviews impacts of local development to the transportation system, including the State Highway System. The Department works to ensure that local land use planning and development decisions include the provision of transportation choices, including transit, intercity rail passenger service, air service, walking and biking, when appropriate. The Department advocates community design (e.g. urban infill, mixed "Provide a safe, suslainable,�n a17 FJnt transpurlafion sysuan if) enhance CaLJ6vW'Ilb lllvabdil Mr. Tyrone Chesanke PE February 23, 2016 Page 2 use, transit oriented development) that promotes an efficient transportation system and healthy communities. The Department of Transportation (Department) is a responsible agency on this project and has the following comments for your consideration. Local Development Intergovernmental Review: Please submit Environmental Review Documents to Local Development/Intergovernmental Review Branch prior to request for permit. Permits: As indicated on the Initial Study/ Mitigated Negative Declaration that The City of Santa Ana in association with the Cities of Newport Beach and Costa Mesa is proposing a low flow diversion project in the Santa Ana -Delhi Channel that is intended to capture and divert low -flow urban discharges into the sanitary sewer system at SR-73 and Irvine Avenue/Bristol Street in Orange County, California. 2. The City of Santa Ana must obtain a fee exempt Encroachment Permit prior to commencement of work within the State Right of Way. City of Santa Ana's contractor will also have to apply for the Double Permit to perform the work. If City's contractor has not been exempt from permit fees in the Cooperative Agreement, a deposit of $4100 will be needed at the time of Double Permit Application submittal. 3. If the cost of work within the State R/W is belowbrie Million Dollars the Encroachment Permit process will be handled by Caltrans Permits Branch, otherwise the permit should be authorized through Caltrans Project Development. 4. Allow 2 to 4 weeks for a complete submittal to be reviewed and for a permit to be issued. When applying for Encroachment Permit, please incorporate Environmental Documentation, SWPPP, Hydraulic Calculations and Reports, Traffic Control Plans (If lane closure required), Geotechnical Analysis, Materials specifications, and all relevant design details including design exception approvals. 5. For specific details on Caltrans Encroachment Permits procedure, please refer to Caltrans Encroachment Permits Manual. The latest edition of the Manual is available on the web site: http://www.dot.ca.gov hu/traffons/develo sery ermits, Provide a safe, sustainable, integrated and eff tdent lrndw•partnrion system In enhance Cal2, ^,.04Ind linabd y" Mr. Tyrone Chesanke PE February 23, 2016 Page 3 Please continue to keep us informed of this project and any future developments that could potentially impact State transportation facilities. If you have any questions or need to contact us, please do not 'hesitate to call Aileen Kennedy at (949) 724-2239. Sincerely, !� j/ w-e'" G MAUREEN El_. HARAKE Branch Chief, Regional -Community -Transit Planning District 12 c: Phi Dinh, Hydraulics Farid Nowshiravan, Permits Grace Pina Garrett, NPDES Scott Morgan, Office of Planning and Research Prowde a safe, sustainable, integrated and efficiem transportation sysletn to enhance Caljfonda's econonry and livability" 20B-32 Attachment B Updated Watershed Drainage Map 20B-33 -NiFLD074C f 01 F fop oeed Diversmn Stmotom Watiami a Golf YilGolf Course E_Gttn L�erc V,o'e AA4e �qusjn* R�orr:�i } I Park RMa€ Square kbgttad k'artie Aille Squarree Golf Course # 1 i L N� Fountain Vallev o w Country Ciul L 0 0 Y � Y coir to r,1e,3., Coui Fairi b ll piark 'Y,:,€,: Fx,T�I D may^ --Vic loria8 t-- 0 F02 1 F03 F03 r FACILITYNUMBER FAGUWNAME JURISDICTION ACRES F01 SANTAANA-DELHI CHANNEL COSTA MESA 1,260 F01 SANTAANA-0ELHI CHANNEL NEWPORTBEACH 128 1,01 SANTAANA-0ELHI CHANNEL SANTAANA 4,266 F01 SANTAANA-DELHI CHANNEL Unincorporated 300 F01501 AIRPORT STORM CHAN N EL COSTA MESA 3W FOU01 AIRPORT STORM CHAN N EL IRVINE 159 FOB01 AIRPORT STORM CHANNEL SANTAANA T8 FOIS01 AIRPORTSTORM CHANNEL Unincorporated 2T1 F02 SANTA ANA GARDENS CHANNE COSTA MESA 96 F02 SANTA ANA GARDENS CHANNE SANT F03 PAULARINO CHAN NEL COST 0 Ir F01 E 1'tl'1 sl 01501 IF01 S01jf I tie ,_,_, v ,/ 9 er PROPOSED r,k DIVERSION proi STRUCTURE .N 4i Repooi Park iW W T1F+t'W ..•. WuPpurf Raq 2 i Q Watershed Drainage Areas 4 Tn '' SANTAANA COSTA MESA A ANA 2,639 F A MESA 1,286 20 TOTAL 10,900 IRVINE NEWPORT BEACH Unincorporated Yap Net ort V..I Attachment C Revised Figures 5 and 6 with Labels for Golf Course and Pedestrian Bridge 20B-35 NSI ACCESS Ti THROUGH _ _(FOR WES 55+00.00 y TO CCFCD ACCESS Rf AT IRVINE AVE. EXISTING RIGHT OF WAY PROPOSED MAINTENANCE EASEMENT PROPOSED TEMPORARY CONSTRUCTION EASEMENT LINE OF PLAY PROPOSED ACCESS ROAD QUANTITIES NEW OCFCD MAINTENANCE EASEMENT: 13,380 SOFT (0.31 AC) F7 L- LI +20 FT OFFSET EAST FROM EXISTING RAN: STATIONS 56+50.00 TO 60+70.00 (420 FT )(ROAD) +50 FT OFFSET EAST FROM EXISTING RAN: STATIONS 56+50.00 TO 58+16.00 (166 FT) (PUMP STATION) TEMPORARY CONSTRUCTION EASEMENT: 15485 SOFT (0.37 AC) (MINUS MAINTENANCE EASMENT) +25 FT OFFSET WEST FROM EXISTING RAN: STATIONS 56+00.00 TO 58+75.00 (275 FT) (WEST CHANNEL WALL WORK) +75 FT OFFSET EAST FROM EXISTING RIW: STATIONS 56+85.00 TO 58+75.00 (275 FT) (PUMP STATION & CHANNEL WALL) +MISC CORNER FOR EX' I I PRIVATE I I t210' — _•_ — - — �_ — — - — - — — -:_ — _•~ Pam- - e y- - `7— v - I FC;FNn EXISTING RIGHT OF WAY PROPOSED 14" FORCE MAIN PROPOSED SEWER EASEMENT -s- EXISTING 8"SEWER PIPE r_ZZ211 PROPOSED 147 FORCE MAIN } 215' QUANTITIES NEW SEWER EASEMENT: 4,300 SOFT (0.10 AC) `20 FT OFFSET EAST FROM NORTH-EAST PROPERTY LINE 20B-37 FIR Attachment D Revised Page 3.1 showing OCFCD as Project Sponsor KFIJEMOO Santa Ana Delhi Channel Diversion Project Initial Study/Mitigated Negative Declaration 3.0 Initial Study Checklist 3.1 Background 1. Project Title: Santa Ana Delhi Channel Diversion Project 2. Lead Agency Name and Address: City of Santa Ana Department of Public Works 20 West Civic Center Plaza Santa Ana, CA 92701 3. Contact Persons and Phone Number: Tyrone Chesanek 20 West Civic Center Plaza Santa Ana, CA 92701 714-647-5045 TChesanek Santa-ana•ore 4. Project Location: The proposed project is located with the Santa Ana Delhi Channel and Newport Beach Golf Course, situated southwest of the CA-55 and State Route 73 interchange. The diversion facilities are located adjacent to the east side of the Santa Ana Delhi Channel, approximately 600 feet upstream of Irvine Avenue and within unincorporated Orange County. The proposed sanitary sewer line in Bristol Street extends 1.6 miles to Baker Street and is located within the City of Costa Mesa. 5. Project Sponsor's Name and Address: City of Santa Ana Dept. of Public Works: 20 W. Civic Center Plaza, Santa Ana, CA 92701 City of Costa Mesa Dept. of Public Services: 77 Fair Drive, Costa Mesa, CA 92626 City of Newport Beach Dept. of Public Works: 100 Civic Center Dr. Newport Beach, CA 92660 Orange County Flood Control District: 300 N. Flower St., Santa Ana, CA 92703 6. General Plan Designation: • Facilities in Santa Ana Delhi Channel: Unincorporated County of Orange, designated Public Facilities • Facilities at Newport Beach Golf Course: Unincorporated County of Orange, designated Open Space • Pipeline to OCSD in Bristol Street: City of Costa Mesa, Public Street 7. Zoning: N/A 8. Description of the Project: See Section 2, Project Description 9. Surrounding Land Uses and Setting: See Section 2, Project Description 20B-39 3-1 ri- -1 COOPERATIVE AGREEMENT BETWEEN THE CITY OF SANTA ANA AND THE CITY OF COSTA MESA FOR THE CONSTRUCTION OF THE SANTA ANA DELHI DIVERSION FORCED SEWER MAIN UNDER BRISTOL STREET FROM BAKER TO NEWPORT BEACH BOULVARD This cooperative agreement ("Agreement") is made and entered into this day of , 2016, by and between the CITY OF COSTA MESA, a municipal corporation ("COSTA MESA"), and the CITY OF SANTA ANA, a municipal corporation ("SANTA ANA"). RECITALS: A. WHEREAS, the City of Santa Ana, Orange County Flood Control District, the County of Orange, the City of Newport Beach, the City of Costa Mesa, and the Irvine Ranch Water District are all parties to a separate agreement for the construction, maintenance, and operation of the Santa Ana Delhi -Diversion Channel Project ("Diversion Channel Project"); which is a collaborative effort to address regional water quality issues, and B. WHEREAS, one aspect of the Diversion Channel Project's proposed plan is to install, operate, and maintain forced sewer main pipelines within public street right-of-way of COSTA MESA, and C. WHEREAS, COSTA MESA agreed to contribute to the Diversion Channel Project a lump sum amount of $600,000, and D. WHEREAS, in a separate and different Diversion Channel Project, COSTA MESA work. in the median on Bristol Street with: Median Project"), and project to begin before construction of the will hire its own contractor to perform certain n the city of COSTA MESA (`Bristol Street E. WHEREAS, to benefit the Diversion Channel Project in terms of time and cost savings, COSTA, MESA is agreeable to having its contractor for the Bristol Street Median Project, perform that portion of the Diversion Channel Project which calls for forced sewer main pipelines to be installed within Bristol Street between Balser Street to Newport Boulevard; as shown in Exhibit A, and F. WHEREAS, COSTA MESA desires, therefore, that COSTA MESA'S lump sum financial obligation to the Diversion Channel Project be offset by the cost of work performed by its contractor on the Bristol Street. Median Project related to installing the forced sewer main pipeline, and G. WHEREAS, SANTA ANA is agreeable to advancing to COSTA MESA the funds required to cover the costs incurred by COSTA MESA to pay its contractor on the Bristol Street Median Project to install the forced sewer main pipeline ("Advanced Expended Funds"); Page 1 of 12 Exhibit 2 20B-41 as specified in Exhibit B; and H. WHEREAS, COSTA MESA shall reimburse SANTA ANA without interest the Advanced Expended Funds on or before January 31, 2017, and I, WHEREAS, the Diversion Channel Project is being designed by SANTA ANA, including that portion to be constructed and installed by COSTA MESA'S contractor on the Bristol Street Median Project, as shown in Exhibit "A," attached hereto and incorporated by this reference, and J. WHEREAS, for purposes of regulatory environmental review, SANTA ANA is the lead agency on the Diversion Channel Project and COSTA MESA is the lead agency on the Bristol Street Median Project, and K. WHEREAS, that portion of the Diversion Channel Project that is being constricted and installed by COSTA MESA'S contractor as part of the Bristol Street Median Project is declared by SANTA ANA to be categorically exempt tinder Section 15301 of the California Environmental Quality Act (CEQA) Guidelines — Class 1(c), (Existing Highways and Streets, Sidewalks; Gutters, Bicycle and Pedestrian Trails, and similar Facilities). NOW, THEREFORE, the parties agree as follows: A. COSTA MESA Rights and Dutics: COSTA MESA shall be the lead, agency for construction of the Bristol Median Project and shall incorporate into said project, construction of that portion of the Diversion Channel Project to be constructed and installed by COSTA MESA'S contractor on the Bristol Street Median Project, as shown in Exhibit "A" ("Forced Sewer Main Pipeline") COSTA MESA shall provide all constriction management. COSTA MESA shall be solely responsible for the administration and performance of the contract awarded to the contractor for the constriction of the Bristol Median Project and Forced Sewer Main Pipeline. COSTA MESA shall use the Advanced Expended Funds, in the amount not to exceed $1,100,000.00, for the sole purpose of paying for construction and construction management costs associated with installation of the Forced Sewer Main Pipeline. No work on the Forced Sewer Main Pipeline shall commence until the Santa Ana -Delhi Charnel Diversion Project Agreement D15-013 has been approved by all of the Funding Partners, within that agreement. In the event that the Agreement D15-13 is not approved by all of the Funding Partners or, after approval it is later determined that the Diversion Channel will not go forward for any reason, COSTA MESA shall reimburse SANTA ANA the $1,100,000.00 within forty five (45) calendar days of said determination; provided however, if such a determination is made after COSTA MESA's contractor has already completed work on the Forced Sewer Main Pipeline, then COSTA MESA shall withhold from reimbursement the actual costs of Page 2 of 12 20 B-42 construction/installation of the Forced Sewer Main Pipeline; and if such determination is made before construction begins, but after COSTA MESA'S contractor bid for and was awarded the contract, then COSTA MESA shall withhold from reimbursement the costs inured by its contractor to secure the award of contract for the Forced Sewer Main Pipeline work that will not be going forward and for related claims by the contractor. 2. COSTA MESA shall reimburse SANTA ANA, without interest, the COSTA MESA's portion of the Advanced Expended Funds of $600,000 on or before January 31, 2017. 3. Change orders associated with the Forced Sewer Main Pipeline must receive the written approval of the City Engineer of SANTA ANA prior to implementation, which approval shall not be unreasonably withheld. SANTA ANA shall have a minimum of five (5) working days to review and approve change orders. 4. COSTA MESA shall provide SANTA ANA final record drawings for the Forced Sewer Main Pipeline portion of the Bristol Median Project within sixty (60) days of the completion and acceptance of construction. B. SANTA ANA Rights and Duties: 1. SANTA ANA shall have the right to enter and inspect the Forced Sewer Main Pipeline and the Bristol Median Project at all times for the purposes of overseeing COSTA MESA; lead agency functions and the work being performed by COSTA MESA's contractor, provided however, SANTA ANA shall indemnify, defend, and hold harmless COSTA MESA from any and all claims of damages or injury to SANTA ANA representatives while on the project premises 2, SANTA ANA shall transfer and eive to COSTA MESA within thirty (30) days of the effective date of this Agreement, the Advanced Expended Funds totaling One Million and One Hundred Thousand Dollars ($1,100,000.00). 3. SANTA ANA shall review all requests for progress payments for the Forced Sewer Main Pipeline; and shall approve or disapprove said request with five (5) business days of receipt of same by SANTA ANA. SANTA ANA shall timely provide necessary information and/or documents to substantiate its disapproval of a progress payment request. C, JOINT RIGHTS AND DUTIES: 1, Responsibilities, Obligations and Mutual Indemnity: a. GOVERNING LAW & VENUE - This Agreement shall be governed by and construed tinder the laws of the State of California. In the event of any legal action to enforce or interpret this Agreement, the sole and exclusive venue shall be a court Page 3 of 12 20 B-43 of competent jurisdiction located in Orange Comity, California, and the Parties hereto agree to and do hereby submit to the jurisdiction of such court, notwithstanding the provisions of Code of Civil Procedure Section 394. The Parties agree to waive any and all rights to request that an action be transferred for trial to another County. b. NOTICES - Any notice or other written instrtnuent required or permitted by this Agreement to be given to any Party shall be deemed received when personally served or transmitted by facsimile, or forty-eight (48) hours after being deposited in the U.S. Mail, postage prepaid, First Class or certified, and addressed as follows: City of Santa Ana City of Costa Mesa Tyrone Cheswick BaltazaT Me'ia Principal Civil Engineer Acting City Engineer 20 Civic Center Plaza, M-22 P.O. Box 1988 Santa Ana, CA 92702 Public Services 77 Fair Drive, 4th Floor Costa Mesa, CA. 92626 a ATTORNEYS' FEES - In the event suit is brought by any Party to enforce the terms and provisions of this Agreement, or to secure the performance hereof, each Party shall bear its own attorneys' fees. FORCE M.AJEURE - Except for the payment of money, no Party shall be liable for any delays or other non-perfornance resulting from circumstances or causes beyond its reasonable control, including, without limitation, fire or other casualty, Acts of God, strike or labor dispute, war or other violence, acts of third parties not within either Party's reasonable control or any law, order or requirement of any governmental agency or authority, d. WAIVER - A waiver of a breach of the covenants, conditions or obligations under this Agreement by either Party shall not be construed as a waiver of any succeeding breach of the same or other covenants, conditions or obligations of this Agreement. e. MODIFICATION — Any alterations, changes or modifications to this Agreement shall be in the form of a written amendment, which shall be signed by each Party. f. ASSIGNMENT - No Party shall assign its performance of this Agreement, nor any part thereof, without the prior written consent of the non -assigning Party. Any assignment made in violation of this section shall be null and void. g. INDEMNIFICATION BY SANTA ANA: SANTA ANA shall indemnify, defend and hold COSTA MESA, its officers, agents and employees, harmless from any expense, liability or claim for death, injury, loss, damage or expense to persons or property which may arise or is claimed to have arisen as a result of any acts performed by SANTA ANA, its officers, agents, or employees, with respect to the Project, save and except to the extent such expense, liability or claim is proximately Page 4 of 12 caused in whole or in part by any negligence of the SANTA ANA, or by their respective officers, agents or employees, or by any act or omission for which SANTA ANA, or their respective officers, agents or employees are liable without fault. h. INDEMNIFICATION BY COSTA MESA; COSTA MESA shall indemnify, defend and hold SANTA ANA, its officers, agents and employees, harmless from any expense, liability or claim for death, injury, loss, damage or expense to persons or property which may arise or is claimed to have arisen as a result of any acts performed by COSTA MESA, its officers, agents, or employees, with respect to the Project, save and except to the extent such expense, liability or claim is proximately caused in whole or in part by any negligence of the COSTA MESA, or by their respective officers, agents or employees, or by any act or omission for which COSTA MESA, or their respective officers, agents or employees are liable without fault. i. TERMINATION - Either Party may terminate this Agreement upon the other ParWs failure to comply with any term or condition of this Agreement, as long as the terminating party is not in default of any term or condition of this Agreement. To initiate termination, the terminating party must provide the defaulting party with a written "Notice of Termination" stating its intent to terminate and describing all terms and conditions with which the defaulting party has failed to comply. If the defaulting party has not remedied the default or not initiated good faith efforts to remedy its default within thirty (30) days after receiving the Notice of Termination, this Agreement will automatically terminate. This Agreement may also be terminated upon the written mutual consent of both parties. j. ENTIRE AGREEMENT - This Agreement constitutes the entire understanding and agreeinent between the Parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. RECOMMENDED FOR APPROVAL: RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency Ernesto Munoz, P.E. Public Services Director Page 5 of 12 20B-45 IN WITNESS WHEREOF, COSTA MESA has caused this agreement to be executed by its Mayor and attested by its Clerk, and SANTA ANA has caused this Agreement to be executed by its City Manager and attested by its Clerk, all therounto duly authorized by the COSTA MESA City Council and the SANTA ANA City Council, respectively. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:C_ �— Jos S doval. C ref Assistant City Attorney APPROVED AS TO FORM: Tom Duarte City Attorney CITY OF SANTA ANA, a Municipal corporation of the State of California By: David Cavazos City Manager ATTEST: Maria D. Huizar Clerk of the Council CITY OF COSTA MESA, a California municipal corporation IN Torn Hatch Chief Executive Officer ATTEST: Brenda Green City Clerk Page 6 of I2 pqpljimpl hill OOOOOOOOU�O�® Mom 000©c�ocza �gp i4qq6 3� SAN All J z u 01 �w a sz ® e s z s N 464 CHLIPo AT 4B+5Q.00 .. � ✓� '� 1 J `�'i�' �' � it q d 9 `.DOil .n 141 i^i µ4gJ I I I ' r I j I a 1 R 1 1 o1M4Y..'e' Mm o- 11 ' c p Y a r d 1 I so is Y, f a i ae - —1-- I " Ya / 3 I �..........._L._... ....-........... 3�'® gmg@@omgogpopo$o$E ©®©r�000AoAo060430a0 �,¢�„� ,�° ❑ �'OQ gcg 9d9 @3@ � gRg �9 fipp6 q9q � � g5yya,, ss p§p �rzrzM1 �4 Yi gq q� pz @y��aaSs9 6' pAps�${kEg�g"� >m ,�mm eda'�� && A p RR `s°� ���y z �nrd� C dal a zpa1� n� "q 6 gEl�a W ROJECT NO. X X 3RNi RDELHI CHANNEL DIVERSION M N WPORT BLVO O K i•S i �B�g �G�84k'�&��b9g lP839$4b@ u e 0080000000�1d©� Ci]G�10���® ,� Co Z x W A 0 rA 60 5 .041 ..... ..... .. ... ..... ..... ... .. ED I pl M --- MumII ... ............. . .. 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L - , . , c 10 i + a 'Pi �M Hjlvlw ...... ..... ---- ---- --- - -- - + . . . ...... .... ..... .... ..... ...... ..... ...... ...... .... ..... . .... .. ii it 7M i Mill oomownoo -----NWAV,r -JL:, � L WLJ zn ZN Ya U,, z q I Z 2 i EXHIBIT It ADVANCED EXPENDED FUNDS ANALYSIS ENGINEERS ESTIMATE Bxl _ Description Unit Quantity Unit Price Extended Cost Item 1 14" PVC Force Main LF 3774 $222 $837,828 2 Gravity Sewer Manhole LS 1 $12,000 $12,000 3 16" VCP Gravity Sewer Main LF 72 $150 $10,800 4 84" Trunk Main Manhole LS 1 $1 500 $1,500 Connection 5* Pothole Utilities Not Shown In EA 10 $350 $3,500 The Contract Documents 6* 14" PVC Siphon EA 10 $6,000 $60,000 M" PVC Forced Main Installed 7* Deeper Than 1-Foot But Less LF 500 $50 $25,000 Than 3-Feet Engineers Estimate $950,628 Contingency $t49,372 Project Estimated Total $1,100,000 FUNDING SOURCE SUMMARY City of Santa Ana $ 500,000 City of Costa Mesa $ 600,000 Total Project Funding Advanced by City of Santa Ana $1,100,000 20B-52 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 19, 2016 TITLE: AGREEMENT WITH MICHAEL BAKER INTERNATIONAL FOR PROFESSIONAL ENGINEERING SERVICES (PROJECT 16-6608) (STRATEGIC PLAN NO. 6, 1F) CITY MAN5k6ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 18` Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO (DI 6,,001� FILE NUMBER 1. Authorize the City Manager and Clerk of the Council to execute an agreement with Michael Baker International to provide professional engineering services for a one-year term beginning April-20, 201-6', through with provision for two one-year term extensions exercisable by the City Manager and the City Attorney, in an amount not to exceed $236,956 over the life of the agreement, subject to nonsubstantive changes approved by the City Manager and City Attorney. * May 4, 2016 —May 4, 2017 2. Approve an appropriation adjustment recognizing $150,000 in current year funds received from fees collected and interest earned in the Local Drainage Area Fund 221, 222, and 223 revenue accounts, and appropriating the same amount into the respective Local Drainage Area Fund 221, 222, and 223 expenditure accounts. DISCUSSION An update to the Storm Drain Master Plan was completed in 2015. The updated master plan recommends various below -grade improvements, such as the installation of new storm drain pipes and upsizing existing storm drain pipes. Those recommended improvements provide for the ultimate build -out of storm drains, offering citywide drainage protection. The cost for total build -out is $626 million, which is not being considered at this time. Staff is recommending a supplementary study which focuses on alleviating flooding in localized watersheds. The additional analysis would identify alternative infrastructure consisting of low impact development alternatives to costly storm drain improvements. It is anticipated that such a study would provide a menu of improvements, technology, and devices which could be applied citywide at a reduced cost. Staff would then pursue grant opportunities for these alternative improvements to supplement the existing below -grade storm drain system where feasible. 20C-1 Agreement with Michael Baker International for Professional Engineering Services April 19, 2016 Page 2 A Request for Proposals (RFP No. 16-02) for Storm Drain Master Plan Phase 2 was released and posted on the City website on February 3, 2016 with proposals due on February 23, 2016. Two proposals were received and subsequently reviewed by a four -member committee comprised of Public Works Agency staff. The evaluations were based on experience, qualifications, project understanding, scheduling, past performance, and the overall proposal. The final rankings are as follows: Rank Firm Score 1 Michael Baker International 90.8 2 Stantec Consulting Services Inc. 79.5 The proposal by Michael Baker International contains an adequate man-hour effort to complete the required services, and the firm's rates are reasonable and within industry standards. The proposal was found to provide the best value and is appropriate for the project because of the firm's strong qualifications and project understanding, along with the proposed scope of work and corresponding fee schedule in the amount of $236,956. Therefore, staff recommends that Michael Baker International be retained to provide professional engineering services for a total contract amount not to exceed $236,956 (Exhibit 1). 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 #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), 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 $150,000 were budgeted in FY 2015/16 and are being appropriated with this action. An additional $86,956 will be budgeted and appropriated in FY 2016/17 CIP in Local Drainage Area Fund 207. With the approval of the appropriation adjustment, funds available by fiscal year are tabulated by Local Drainage Area Fund as follows (Project 16-6608): 20Ci-2 Agreement with Michael Baker International for Professional Engineering Services April 19, 2016 Page 3 Area No. Account No. FY Spendinn Plan FY Amount Area 1 22117660-66220 2015-16 2015-16 (April -June) $ 30,000 Area 1 22217660-66220 2015-16 2016-17 (July -June) $ 20,000 Area II 22217660-66220 2015-16 2016-17 (July -June) $ 50,000 Area III 22317660-66220 2015-16 2016-17 (July -June) $ 50,000 Area No. 7 20717660-66220 2016-17 2016-17 (July -June) $ 86.956 Public Works Agency FM/EWG/ML Exhibits: 1. Agreement $ 236,956 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 20C-3 20C-4 CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this 4ch day of May 2016, by and between Michael Baker International ("Consultant") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The City desires to retain a Consultant having special skill and knowledge in providing Engineering Services for the Storm Drain Master Plan Phase 2 Project. The Strom Drain Master Plan Update Phase 1 was completed in 2015. B. For this purpose, the City issued A Request for Proposal dated February 3, 2016, No. 16-02, by which the City invited proposals for the Project. Following evaluation by the City of all the proposals that were submitted, Consultant was selected to complete the project. 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 the Exhibit A and incorporated by reference 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 and incorporated by reference to this Agreement. The total sum to be expended under this Agreement shall not exceed Two Hundred Thirty Six Thousand, Nine Hundred and Fifty -Six Dollars ($236,956.00) during the term of this Agreement. b. Payment by City shall be made within thirty days (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work that fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. Page 1 of 9 20C-5 3. TERM The term of this Agreement shall commence on May 4, 2016 and terminate on May 4, 2017, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended for an additional two (1) year period upon a writing executed by the City Manager and the City Attorney 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to its employees and shall be responsible for all applicable withholding taxes. 5. OWNERSHIP OF 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 under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents & 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. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's negligent 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 Page 2 of 9 20C-6 bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence and $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insured provisions. 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 California State law, 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in fall force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City. (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. (iv) Consultant shall supply City with fully executed additional insured endorsement. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to 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. Page 3 of 9 20C-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 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 §2782.8, the above indemnity shall be limited, to the extent required by Civil Code §2782.8, to claims that arise 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. 9. RECORDS 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 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. Page 4 of 9 20C-8 10. CONFIDENTIALITY If Consultant received 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 and disclosed 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, sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Cleric of the Council City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana, CA 92701 Fax 714-647-6956 With courtesy copies to: Fred Mousavipour Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-36) P.O. Box 1988 Santa Ana, CA 92702 Fax 714-647-5622 Page 5 of 9 20C-9 And City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 To Consultant: Santa Ana, CA 92702 Fax (714) 647-6515 Michael Baker International 14725 Alton Parkway Irvine, CA 92618 Office 949-472-3505 www.mbakerintl.com 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. A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant regarding the subject matter herein, 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 and will serve to fully supersede existing Agreement. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, that terms or conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, Page 6 of 9 20C-10 promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any parties 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. TERMINATION This Agreement may be terminated by the City with thirty (30) days written notice of termination to the Consultant. a. As a condition of such payment, the City may require Consultant to deliver to the City all the work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this Agreement. 16. NON 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. JURISDICITON - 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. Page 7 of 9 20C-11 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 Sates, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions, Said inability shall be cause for termination of this Agreement. 19. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced' herein and attached hereto shall be incorporated as if frilly 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. CITY OF SANTA ANA ATTEST: MARIA D. HUIZAR Cleric of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney , By: SANDOVAL hie Assistant City Attorney DAVID CAVAZOS City Manager Page 8 of 9 20C-12 RECOMMENDED FOR APPROVAL: CONSULTANT: FRED MOUSAVIPOUR Michael Baker, International Executive Director Public Works Agency By: Tax ID# Page 9 of 9 20C-13 Ll i i. . INTERNATIONAL 5taarns gain Master Plan / Phase 2 ( RFP No. 16-02 -01` February 23, 2016 Mindy Ly, P.E. Project Manager City of Santa Ana Public Works Agency 20 Civic Center Plaza; 3r0 Floor Reception, Ross Annex Santa Ana, CA 92701 Re: Storm Drain Master Plan Phase 2, RFP No.: 16-02 Dear Ms. Ly Michael Baker International, Inc. (Michael Baker) is pleased to provide this proposal to the City of Santa Ana (City) for the Storm Drain Master Plan Phase 2 project. We have thoroughly examined and are familiar and concur with the services and responsibilities and provisions required in this RFP. Having recently completed the Phase 1 update, the Michael Baker team is capable of effectively and efficiently performing quality work to achieve the City's objectives. Our qualified team will use their familiarity with the project history, experience with Orange County, and expert performance in flood modeling to immediately begin performing the services required for this project in a timely manner. The Michael Baker team's expertise and capability in the fields of storm drain design, hydrology and hydraulics, master plan preparation, storm water quality, low impact development (green infrastructure retrofitting) and grant application coordination offers you a comprehensive team all under one roof. This will ensure project scope components are coordinated seamlessly and innovative solutions are identified and thoroughly vetted while maintaining line -of -sight for available funding opportunities. On behalf of Michael Baker, a corporation that has completed more than 20 drainage master plans in the last decade, including the City of Santa Ana's Phase 1 Master Plan, we will provide the City with alternative infrastructure solutions that meet low impact development goals and will serve as a useful tool for years to come. Respectfully, Michael Baker International, Inc. John McCarthy, PE, CFM Principal -in -Charge Page I 1 INTERNATIONAL 20C-15 Storm [gain Master Plan Phase 2 1 Rt P No. 16-02 Profile As part of our commitment to the water resources field, Michael Baker has a specialized staff of over 40 local engineers dedicated to flood control engineering, storm water management and water quality services in California, providing the City of Santa Ana a team with tremendous depth of resources and experience. Supporting these local resources, Michael Baker offers one of the largest engin( design, and construction management firms in the counts professional staff of more than 6,000 employees in 90 of nationwide. Demonstrated Storm Drain Master Plan Experience We bring to this project the technical capabilities needed develop an effective drainage master plan, along with a t successfully working with the City, the County of Orange, local communities, public agencies, and stakeholders to incorporate their concerns and issues into the development of innovative and effective project solutions. This team is proficient at employing state-of-the-art modeling tools, data management, and "green" infrastructure retrofitting for high quality and cost effective surface water storage solutions. z �"'�.s.1". ,r ��^_'_ga ew z'�-. E ) t` �3na2 �� .f � x w�wk s�� • : •- -•••• �� YAK-"�St sPr'z"3 .'-c� � � ''T fi,�'i �'. �` M�. it aii s � •• N •, �:• � • �_ �„�isy? �,-:.� �' ,r.+.�zs t`i �H-.0 �. is: � ,���z} � ,•_ is •StormtDrain• National Pollutant Discharge City City of Redlands, Master Drainage Plan©©■ Elimination e ents to help secure City4buena Park, Stor—m—Drain Master Plan■©■funding assistance. Our wide City-ofCounty of Orange - San Diego Creek Master Plan of Drainage variety of experience includes Rancho Palos Verdes Master Plan of Drainage —Moo siting, designing, and .naheim — Storm Drain Master Plan BEE implementation of BMPs forMEN water quality treatment. The Michael Baker Team has a ••• yamMEE cl ear understanding of the requirementsregulated Ar WIN NOW 011611011W •,f retrofit locations. Page l 2 INTERNATIONAL 20C-16 G1— Storm Drain Master Plan 1 Phase 2 ( RFP No. 16-02 Iraanization r �4 � at The Michael Baker Team for the Storm Drain Master Plan Phase 2 is comprised of the same local experts in hydrology/hydraulics, stormwater management, stormwater quality, regulatory compliance, low impact development and capital project grant funding coordination who recently assisted the City during the 2013-2015 Phase 1 update. City of Santa Ana Public Works Department Mindy Ly, PE Project Manager FT Wan :. 1 Key Personnel Rebecca Kenney, PE j Project Manager �"� "�� Rebecca will provide hands-on document development and serve as the primary point -of -contact for this project. With more than 20 years of experience in Orange County, Rebecca is a 40%o Availability knowledgeable Project Manager in Orange County storm drain infrastructure and requirements, having recently managed the City of Santa Ana's 2013 Storm Drain Master Plan Update. She is well qualified and excited to continue managing and coordinating this effort, and brings with her a proven experience in delivering complex storm drain infrastructure projects on time and within budget. Her recent experience includes having completed multiple drainage master plans in Orange County, as well as supporting large scale master planned communities in hydrologic and stormwater quality analysis. Relevant Experience includes: ♦ City of Santa Ana - Storm Drain Master Plan Update ♦ County of Orange — San Diego Creek Master Plan of Drainage ♦ City of Anaheim — Storm Drain Master Plan ♦ Streetcar Stormwater Retrofit ♦ Rancho Palos Verdes Storm Water Master Plan ♦ Irvine — Heritage Fields Drainage and Water Quality Master Plans ♦ City of Buena Park — Storm Drain Master Plan Page 1 3 INTERNATIONAL. 20C_17 Q Storm Chain Master Plan , Phase 2 1 RFP No. 16-02 John McCarthy, PE, CFM I Principal -in -Charge iiJohn will have executive oversight of the team and project and C is will serve as the alternate contact should the Project Manager be unavailable. He will help plan to the work and assure sufficient 75%Availability resources are allocated to accomplish the scope items within the L15!0 City's established schedule. His experience is concentrated in the field of flood control and environmental engineering focusing on hydrology/hydraulics, master planning, water quality, and storm drain system design. John is highly knowledgeable about Orange County design requirements, having been responsible for the successful delivery of storm drain master planning and design projects throughout the County for more than two decades. These projects have included complex hydrology, flood control, storm drain design, and facility design. Relevant Experience includes: ♦ City of Santa Ana - Storm Drain Master Plan Update ♦ County of Orange — San Diego Creek Master Plan of Drainage ♦ Orange County Flood Control On -Call Contract ♦ Redlands Drainage Master Plan ♦ Mid -County Parkway Drainage Master Plan, Riverside ♦ City of Anaheim — Storm Drain Master Plan ♦ City of Buena Park — Storm Drain Master Plan ♦ Midway City Street and Storm Drain Master Plan and Improvements Mujahid Chandoo, PE I Hydrology and Hydraulic Modeling *§ �Iv"iIL Ili! ee%'- Mujahid will lead the development of the advanced 2D °c '76 hydraulic model of the existing drainage system. His �" experience includes the preparation of various master plans 75%Availability within Southern California using advanced 1D and 2D hydraulic "" """ "" modelino for surface and sub -surface flood analvsis, as well as the use of Geographical Information System (GIS) hydro applications to accurately identify and collect data for storm drain infrastructure and facilities. He is proficient in the use of stormwater management modeling, including XP-SWMM, Bentley CivilStorm, Watershed Modeling System (WMS) and Advanced Engineering Software for complex hydrology including detention basin routing, flood hydrographs and facility design throughout Southern California. Relevant Experience includes: • City of Santa Ana - Storm Drain Master Plan Update ♦ County of Orange — San Diego Creek Master Plan of Drainage ♦ City of Anaheim — Storm Drain Master Plan ♦ Redlands Drainage Master Plan ♦ Streetcar Stormwater Retrofit ♦ Rancho Palos Verdes Storm Water Master Plan ♦ City of Buena Park — Storm Drain Master Plan Page 1 4 INTERNATIONAL 20C-18 e y 2� Dan Apt, CPESC, CPSWQ I Low Impact Development/Retrofitting Dan will be responsible for analyzing low impact development opportunities and implementing BMP research, design, and other stormwater retrofit management systems into the master plan. Over his 21 year career, he has identified regional structural BMP retrofitting opportunities into numerous studies, master plans, and designs to address water quality throughout Southern California. This experience includes managing the development of the Statewide California Low Impact Development Manual, available on the CASQA website. His extensive experience also includes municipal NPDES stormwater permit compliance assistance. He is an expert in navigating state regulatory agencies, such as the State Water Resources Control Board, several Regional Water Quality Control Boards, the U.S. Environmental Protection Agency and many others. Relevant Experience includes: ♦ City of Santa Monica - Sustainable Water Master Plan ♦ Orange County BMP Retrofit Opportunities Study ♦ Orange County Stormwater Permit Implementation Assistance ♦ Orange County Watershed Planning and Engineering Grant Application Assistance. ♦ Heritage Fields Drainage and Water Quality Master Plans ♦ Forbes Road/Oso Creek Trail Improvements Grant Assistance • Orange County Stormwater Management and Program Development Implementation & Training ♦ Statewide California Low Impact Development Manual Jeremy Hohnbaum, PE, QSD/QSP, LEED AP 0 Low Impact DevelopmentlRetrofitting Jeremy will be responsible for providing design concepts for both structural and non-structural stormwater solutions, including Best Management Practices for low impact development green" infrastructure retrofitting and hydromodification. He has more than 10 years of experience in both flood control and stormwater quality management, having prepared SWPPPs, erosion control plans, hydrologic/hydraulic analysis, and Pollutant Load Reduction Modeling (PLRM) throughout Southern California. Recent Experience includes: ♦ City of Santa Monica - Sustainable Water Master Plan ♦ Orange County Watershed Planning and Engineering ♦ Orange County Stormwater Permit Implementation Assistance ♦ San Bernardino County Retrofit Study ♦ Forbes Road/Oso Creek Trail Improvements Grant Assistance ♦ City of Palo Alto — Southgate Neighborhood Storm Drainage and Green Street Improvements Page 1 5 INTERNATIONAL 20C-19 Joyce Hunting i Grant Assistance 4 r e e e e e [ability C Joyce is an expert in the preparation and implementation of grant applications for various stormwater, restoration, conservation and water/wastewater treatment projects and studies. Her extensive experience also includes performing as a liaison between the technical team, client representatives, and the lead agency on regulatory discussions. Recent Experience includes: ♦ City of Elk Grove, Stormwater Program Regulatory Compliance Grant Preparation • Tuolumne Land Trust, Clavey River Ecosystem Program Watershed Assessment and Grant Application ♦ Colusa Basin Drainage District, the Resources Agency, Sacramento River Restoration Project, Grant Applications ♦ Yuba Sutter Regional Conservation Plan and Grant Applications Pr®iect Undersfandi The City of Santa has recently completed a comprehensive city-wide Storm Drain Master Plan Phase 1 (2015 SDMP) prepared by Michael Baker. The 2015 SDMP performed hydrology in accordance with the Orange County Hydrology Manual and City of Santa Ana design criteria. The primary objective of the 2015 SDMP was to provide recommendations on flooding issues relating to the existing storm drain facilities. Analysis for the entire City was divided into seven (7) regional watersheds. Most of the city storm drain facilities tie into OCFCD regional channels. These channels have high water surface elevations or are deficient which significantly impact the local storm drain hydraulics. The storm drain hydraulics for the 2015 SDMP used a hydrodynamic modeling utilizing the Bentley CivilStorm software. The Phase 2 SDMP will enhance the calculations and the capital improvement plan identified in the 2015 SDMP with more detail analysis including hydrology methodology and alternative flood storage infrastructure. Michael Baker's intimate knowledge of the existing models will facilitate our review of the drainage systems. In order to avoid major infrastructure improvements and provide the City with the most economic and feasible solutions to alleviate flooding to the existing deficient storm drain system, the City is interested in exploring a variety of Low Impact Development (LID) strategies which will reduce and/or eliminate future flooding. Our team understands the City has expressed interest in specific LID strategies including but not limited to underground detention and retention systems located within public parks and other open spaces in order to avoid major reconstruction of existing storm drain facilities. These LID strategies will focus on minimizing and/or eliminating the need to increase existing storm drain infrastructure while providing multiple beneficial uses such as ground water recharge, enhanced water supply through stormwater harvesting, and stormwater quality treatment. Along with these strategies, if desired by the City, Michael Baker will identify additional LID strategies such as green streets that have been successful in previous projects throughout California. Some identified projects may serve as future alternative compliance projects for the City, as currently Orange County is exploring an alternative compliance program with assistance from Michael Baker. e rn ie�ri=s�•ra aa. Page 1 6 I NT EN N AT I0 N A L 20C-20 pIlmsfyfPi*€�I ° Storm Drain Master Plan Phase 2 j RFP No. 16-02 As Michael Baker identifies potential drainage alternatives to reduce City flooding hazards, efforts to coordinate with all impacted agencies and stakeholders will be made. It is the goal to find solutions that consider all stakeholders' objectives including synergistic solutions which enhance water quality and provide environmental benefits. The goals of the study include: • Reduce flow discharge using the expected value hydrology method • Identify locations for storm drain improvements (based on revised hydrology and/or LID projects) • Identify locations for LID improvements • Research funding opportunities • Prepare list of Priority Projects • Cost Analysis As part of the effort to identify potential feasible and creative strategies to reduce flooding within the City, hydrology will be re-evaluated using an expected value method. Expected value hydrology method will be performed for each drainage basin within the project Master Planned area in accordance with Orange County Hydrology Manual in providing protection levels for existing facilities. Identification of potential locations to implement underground storage facilities and other LID strategies will begin with a high level approach identifying all of the City owned open space and recreational areas. According to the general plan land use, the City has approximately 806 acres designated as open space. These areas will be prioritized based on their ability to implement relatively larger detention systems that will have the most capacity to store and attenuate runoff, and where the most cost effective LID systems can be implemented. Where these open space areas are limited other creative LID solutions will be considered in order to mitigate flooding. These locations will be ranked based on potential storage capacity and location within the City. Locations within the City which are prone to flooding will have a higher priority than those which currently experience little to no flooding. Once we have identified potential locations for the proposed strategies, a feasibility analysis will be conducted to evaluate soil conditions, site constructability constraints, costs, as well as water quality and environmental benefits. After the feasibility analysis is complete, a hydrologic and hydraulic analysis will be completed for the priority sites in order to determine the potential reductions in flooding each of the proposed facilities are capable of providing. Rational method and small area hydrograph hydrology for the expected value method will be calculated for the 5-, 10-, 25-, and 100-year storm return periods, using the AES software program. Recommended facility improvements will be evaluated for the most feasible ultimate facilities based on revised hydrology and alternative infrastructure improvements. Michael Baker will review the available capacities (or constraints) associated with the existing downstream County regional drainage systems to identify opportunities to better utilize these systems or determine project impacts. Alternatives shall also consider the use of stormwater detention basins to reduce peak flows to the available capacity of the existing systems. Stage -storage -discharge rating curves will be developed for priority project detention basin locations. These storage areas could be underground storage chambers, multi -use recreation facilities etc. Basin routing for discharge mitigation will be performed to understand the impacts of such facilities. Page 1 7 INTERNATIONAL 2 0 C_2 1 - t I Storm Crain Master Plan ' w Phase 2 j RFP NO, i 6-02 Once the technical analysis is completed for the proposed facilities a cost benefit analysis will be prepared. This will summarize capital as well as life cycle costs, storage capacity and/or runoff reduction, as well as water quality, environmental benefits, and other benefits (i.e. social benefits) associated with each of the alternatives. The cost benefit analysis will include a triple bottom line sustainability analysis including social, economic, and environmental costs and benefits. This information will be necessary to complete the applicable grant applications. Once the relevant technical information has been evaluated, our team will work with the City to research, select, and complete grant applications using similar strategies used in previous successful grant applications. These strategies will focus on the hazardous and deficient conditions currently existing throughout the City and explain the critical nature for implementing the proposed strategies. Incorporating triple bottom line benefits into the application will be key to explaining the synergies the proposed LID strategies will have while providing public safety through flood mitigation. Our team will also provide ongoing support to direct the City Staff on the grant application processes. If requested by the City, critical flooding locations may be evaluated using more advanced modeling techniques, such as coupled 1- and 2-dimensional modeling, to better understand the area flooding conditions, potential benefits and most feasible solution. Advanced methods can be used to evaluate locations where surface flows and subsurface facility flows interact in an unsteady manner. Surcharging and backwater in subsurface facilities and overland flow in topographically flat areas commonly occurs. Michael Baker had great success in coupling dynamic and non -dynamic modeling for the City of Redlands, City of Tustin, City of Laguna Woods, and the County of Orange. Our extensive experience in advanced modeling has given us the knowledge and understanding to identify what key elements of a drainage system would benefit, and would not benefit from dynamic modeling. Page 18 INTERNATIONAL 20C-22 Stormer Plan t ;cope of Work Based on the City's requests in the RFP and our experience with similar projects, we recommend the following scope of work: TASK 1 — Review and Research Task 1.1 Review Phase 1 City Storm Drain Master Plan (2015 SDMP) Michael Baker will review the City of Santa Ana Storm Drain Master Plan (2015 SDMP). Data review will include location of known flooded areas, design criteria, hydrology methodology, hydraulic analysis, and prioritization criteria. This task can be completed efficiently since the Michael Baker staff are familiar with the watershed, methodology and constraints within the City of Santa Ana local and regional drainage systems. Task 1.2 Review of Facilities Michael Baker will perform a qualitative review of the priority proposed storm drain system from the 2015 SDMP and identify locations for alternative drainage improvements. This task will require an above- ground field assessment and inspection of existing City owned facilities (parks, City owned vacant lands, schools if desired, etc.). This inventory will include drainage facilities (storm drain lines and channel) throughout the City. Michael Baker will work directly with the City to identify and re-evaluate the priority improvement projects previously identified in the 2015 SDMP. The investigation will identify locations for potential LID flood storage improvements facilities. The collected data will be mapped using GIS and provided to the City. To facilitate the inspection process, Michael Baker will coordinate with the City and the local communities impacted by the field review prior to performing the work. Coordination may include notifying residents and providing educational information about the value of data being collected. A memo summarizing the 2015 SDMP methodology and guidelines will be prepared for City review. This document will serve as an initial reference framework for future decisions as work progresses and unique opportunities are encountered for flood reduction. Deliverables: 1. Inventory Log of All Data Collected 2. Technical Memo highlighting potential projects and alternative solutions TASK 2A— Alternative Improvements Expected Value Conversion Task 2A.1 2015 SDMP Proposed Facility Evaluation Michael Baker will re-evaluate the proposed drainage systems identified in the 2015 SDMP including the recommended improvements list and develop a table highlighting the construction constraints and cost - to -benefit comparison for each project. Construction constraints will be a high-level analysis based on the available utility data provided by the City and street classifications. Project benefits will be valued based on locations of flooding history and theoretical estimation from the hydraulic modeling based on the tributary drainage area to each system. A tabulated matrix will be provided that summarizes this task. Page 1 9 INTERNATIONAL 20C_23 storm train Master PlanPhase 2 j RFP No. 16-02 G)JI Task 2A.2 Expected Value (EV) Hydrology Michael Baker will modify the approved hydrology (10-, 25- and 100-year high confidence) models developed previously in the 2015 SDMP. The Advanced Engineering Software (AES) add -on program will be utilized to globally change all soil types to B and all rainfall data for the respective storm event in accordance with the Orange County Hydrology Manual. The AMC for each model cannot be changed globally; therefore, each individual file will be updated manually. The locations and watersheds for alternative drainage improvements identified in Task 1 will use this EV hydrology for facility sizing. Similar to the process performed in the 2015 SDMP, the rational method hydrology will be converted to small area hydrograph. Michael Baker will test one area as agreed to with the City, to determine if expected value analysis is worthwhile. Once the area has been tested, the results will be discussed with the City prior to commencing all the expected value modeling. Task 2A.3 SD Alternative Formulation/ Feasibility Analysis Based on the expected value hydrology from Task 2A.2, Michael Baker will develop preliminary alternatives formulation for storm drain hydraulics. Michael Baker will perform a system optimization study, focusing on a "watershed solution", not just multiple local solutions. The EV hydrology (Task 2A.2) is anticipated to produce less discharge than the High Confidence (HC) hydrology used in the 2015 SDMP Phase 1. The evaluation will utilize the 2-dimensional surface flow coupled with the 1-dimensional storm drain model in XP-SWMM to fully analyze the potential for reductions in proposed pipe sizes from the master plan. The existing condition hydraulics will be updated with the revised expected value discharges and will be used as a baseline to build the proposed alternative improvements. The fee estimated for this task is based on updating the hydraulics for all watersheds in the baseline (existing) and proposed conditions. The proposed conceptual improvements will focus on either: (1) increasing the hydraulic capacity through enlarged drainage facilities or storm drain extension, (2) constructing a diversion system, or (3) constructing detention storage for flow reduction and water quality benefits (Task 2A.3). All "diversions" will be local, not regional. Potential concept alternatives will be proposed so as to not divert flows from one watershed to another, unless approved by the County. Michael Baker will perform a hydraulic analysis of the conveyance "capacity" of the existing City backbone storm drain and proposed facility systems including subsurface storm drains identified in the 2015 SDMP. Preliminary horizontal and vertical alignments will be developed for the recommended facilities. The lengths and elevation data will be used for detailed hydraulic analysis and cost estimating purposes. The water surface data and hydraulic information will be summarized in tabular format for each reach or element of the facility to allow easy use and review. A technical memorandum will be prepared that summarizes the results of the alternatives analysis. The memorandum will serve to reference the methodology, design assumptions, guidelines, and criteria developed for the identification and evaluations of the drainage alternatives. Task 2A.3 Cost Estimate Page 1 10 I N T E NN AT I0N AL 20C-24 Pr Storm Drain Master Pien � � � Phase 2 RFP No. 16-02 sI Similar to the SDMP Phase 1, Cost estimates will be performed for the identified most feasible drainage alternatives based on the recommendations in the above tasks and the City concurrence. A preliminary estimated cost of construction will be generated from the quantity estimate using approved unit costs from the City. Unit costs will be based upon the most current cost information for recent similar projects in the area compiled by Michael Baker and approved by the City. The total project costs for each alternative will then be estimated which include line items for project design, survey, geotechnical, administration and construction support. In addition, intangible costs for alternative systems will be investigated, such as environmental mitigation, if these are determined to be critical for a particular system. Major physical constraints will be included in the estimate such as (1) land acquisition, (2) street paving and traffic control, (3) utility relocation or protection, and (4) compliance with the current NPDES MS4 permit. Deliverable: 1. 2015 SDMP Proposed Evaluation Matrix 2. Expected Value Hydrology 3. SD Alternative Summary, Tables and Maps 4. Quantity and Cost Estimate Tables TASK 2B — Alternative LID Improvements Task 213.1 LID Project Update Based on Task 1.2, Michael Baker will investigate, create, and evaluate an extensive list of potential facilities and methods which will reduce the volume of stormwater runoff and flooding throughout the City. The evaluation will consist of analyzing the feasibility of incorporating LID solutions such as above and below ground detention and retention basins, with the goal of downsizing local facilities and reducing and/or eliminating flooding within City Streets. Along with these larger detention and retention basins, Michael Baker will also evaluate the potential for groundwater recharge through retention and infiltration, stormwater harvest and use for landscape irrigation, as well as impervious surface reduction through green street design. The selection and evaluation process will need to incorporate design strategies that will fit within the requirements outlined in the grant applications to help the City position itself for grant success. Task 28.2 Hydrology Update and Basin Routing Analysis Rational method hydrology will be updated to accommodate the proposed LID facility locations. The hydrology models created in Task 2A will be used to obtain the 10- and, 25-year storm expected value flow hydrographs for basin routing. Loss rates in accordance with OCHM will be required for the generation of small area hydrographs. Basin routing analysis will be performed to mitigate discharges conveyed in the existing drainage systems. The LID solutions such as detention basin locations as identified in Task 1 will be used for the routing analysis. These storage areas could be traditional detention basins, multi -use recreational facilities, underground storage tanks, etc. Only the expected value 10- and 25-year storm events will be analyzed. Basin rating curves for each location will be developed based on the area and storage type. Task 213.3 SD System Evaluation - - - - Page 111 INTERNATIONAL 2 0 C_2 5 0 Storm Drain Master Flan Phase 2 j FtFP No. 16-tD2 , a, Michael Baker will use the revised flowrates based on Task 2B.2 to evaluate the effect on the storm drain hydraulics. The existing condition hydraulics will be used as a baseline to build the proposed alternative improvements. Final drainage solution alternatives will be prepared for City review and acceptance. Task 213.4 Cost Estimate Michael Baker will perform capital and life cycle cost estimates for the identified most feasible LID drainage alternatives based on the recommendations in the above tasks and the City concurrence. A similar approach as outlined in Task 2A.3 will be used. Task 213.5 Proposed LID Exhibits Once the selected sites and LID improvements are prioritized, Michael Baker will develop conceptual exhibits showing the location for each of the highest priority proposed sites and where each project resides relative to high priority flooding areas. These exhibits will contain an aerial background and a preliminary outline for the proposed facility along with its related storm drain system tying showing how it ties into the existing storm drain system. Task 213.6 Present to the City Staff Once we have developed exhibits and cost estimates for each of the high priority potential sites our team will present the LID alternatives to the City. This presentation will include a summary of how the device will function, potential site constraints, constructability concerns, costs, evaluation on the multiple benefits each alternative provides including reduction in local flooding, any environmental or water quality benefit it may provide, economic benefits, social benefits, and the overlap it has in relation to grant requirements. Deliverable: 1. Technical Memorandum Summary 2. LID Alternative Map Exhibits 3. Cost Estimate TASK 2C — Cost Comparison and Prioritization Task 2C.1 Cost Comparison Michael Bakerwill compare the cost of the drainage improvements based Task 2A and Task 2B. A matrix will be prepared which will summarize the pros and cons and recommended alternative(s). Task 2C.2 Prioritization Matrix Michael Baker will prepare a priority matrix for proposed recommended improvement projects identified in Task 2C.1. Potential projects will be grouped in priority order based on current capacity deficiencies, constraints (such as if a downstream project must be completed before an upstream project), and opportunities (such as planned roadway improvement or redevelopment projects). Areas of high susceptibility to flooding and/or priority water quality treatment will be ranked highest along with areas based on infrastructure safety and revenue generation. Present worth cost estimates will be shown for each project identified. Key issues for each project will also be noted, such as major utility conflicts, construction issues, permits and property acquisition requirements, as well as other City concerns. Deliverable: uan�n rias�riaa� Page 1 12 INTERNATIONAL 20C-26 Storm Drama Master Playa Phase 2 1 RFP No. 16-02 � 1. Technical Memorandum with Cost Comparison 2. Prioritization maps and exhibits TASK 3 — Research Grant Opportunities Michael Baker will research various Federal and State grant opportunities available to fund the LID improvements designed to capture and retain storm drain at -grade and/or above -grade drainage diversion -detention. Our team will utilize strategies used in past grant successes throughout this analysis to increase the City's potential to receive grant funding. Research and strategies will also include looking at transportation grants for implementation of green streets, to maximize opportunities for funding water quality improvements. Although the timing of the grant solicitation may not fit with the project, the Proposition 1 Grant Funding will be evaluated as the latest opportunity offered by the SWRCB forfunding LID implementation projects. By researching and analyzing the various available grant opportunities listed in Attachment 4 of the RFP Appendix, as well as other available opportunities, we will identify the alternatives with the highest potential of receiving a grant. This will allow the City to focus on the projects that are most worthy of receiving funding. Deliverable: 1. Summary of projects including project description, scope of work, and potential grant eligibility. TASK 4 — Evaluation and Recommendations Task 4.1 Prioritization SD Improvements Based on the storm drain evaluation, analysis and grant research and applicability, Michael Baker will prioritize and recommend infrastructure improvements that reduces and/or eliminates flooding within the City. A matrix evaluating and ranking each project using a specified weighting scheme will be provided. The weighting criteria will be presented to the City prior to implementing for the Phase 2 SDMP. Deliverables: 1. Draft Prioritization Matrix 2. Final Prioritization Matrix Task 4.2 Phase 2 Master Plan of Drainage Report Michael Baker will develop a Phase 2 Master Plan report that documents the detailed evaluation of the existing recommended projects (from the 2015 SDMP), alternative storm drain improvements based on expected value hydrology and feasible LID locations for runoff storage. Project costs, constraints and benefits will be shown for the recommended projects. Michael Baker shall give presentations to the City on the development and use of hydrologic and hydraulic models and their results. Submittals for the Phase 2 Master Plan document will consist of a Draft submittal and a Final submittal. For the Draft submittal, Michael Baker will provide two (2) printed, and one (1) PDF copy of the submittal for City review. Final Report submittal will consist of four (4) copies of the Report, two (2) copies of the Appendix, and one CD containing all files. The final drainage exhibits associated with the master plan of drainage include the following Updated Drainage Concept Maps (8.5"xl1") Page 1 13 INTERNATIONAL AO^_A+ �� ] Steam gain Master Plan / Phase 2 I RFP No. 16-Q2 • Watershed Hydrology Map (Basins and Drainage Areas) • Storm Drain Deficiency Exhibits • Proposed Drainage Systems Map Facility maps will indicate the recommended sizes and lengths for the backbone infrastructure. The drainage index map will be prepared at 1"=600' scale. Maps will be created using the GIS shapefiles generated during the project and electronic copies of all maps will be provided in PDF format. Deliverables: 1. Master Plan of Drainage Report 2. Maps and Exhibits 3. Technical Appendix 4. Recommended Priority Projects 5. Grant Applications TASK 5 — Meetings and Coordination Task 5.1 Project Review Meetings and Coordination Michael Baker will attend meetings and provide consulting services with the City and other agencies as directed by the City relevant to the development of the Phase 2 SDMP. Michael Baker will participate in monthly progress meetings and prepare meeting agendas and minutes for the meeting. The purpose of the meetings will be to review the progress of work and provide direction regarding the development of the SDMP. Deliverables: 1. Kick-off Meeting 2. Task 1 Meeting 3. Task 2A, 2B and 2C Meetings 4. Draft Report Meeting 5. Final Meeting 6. Meeting Agendas 7. Meeting Minutes 8. Project Schedule Task 5.2 Quality Control and Quality Assurance Michael Baker shall prepare and implement a quality control program for the duration of the project. The program will document the responsibilities and processes used to ensure a quality project is provided to the City. This task shall include the preparation of a project specific plan, oversight by the QA/QC manager, and the independent technical reviews prior to project submittals. Gage 1 14 INTERNATIONAL 20C-28 i C,3tarV Storm grain Master Plan Phase 2 I RFP No. 16-02 E. RELEVANT PROJECT EXPERIENCE The following representative projects demonstrate our team's capability working together on similar storm drain master plans, watershed management projects, green initiatives retrofitting, and grant assistance for public funding. Storm Drain Master Plan Update j Santa Ana, CA (2015) Michael Baker analyzed the City's drainage system to ensure consistency and capacity with Orange County requirements and prepared a hydrology study for 2-, 10-, 25-, and 100-year storm events. The capacity of the existing storm drainage was evaluated based on the Orange County design criteria to determine system capacity sufficiency utilizing a CivilStorm hydrodynamic hydraulic model. A comprehensive list of needed storm drainage improvements was then generated. Michael Baker performed a hydraulic analysis to size sufficient storm drain lines based on the hydrology study results. The team also provided an Esri ArcGIS geodatabase of city storm drain facilities, including storm drain pipes, city -owned drainage channels, manholes, catch basins, and culverts. Drainage Master Plan I Redlands, CA (2014) Michael Baker has completed a Master Plan of Drainage for the City of Redlands to update their drainage infrastructure and to identify regional drainage solutions to the City's historical flooding issues. The heavily developed and historical downtown portion of Redlands has been plagued by several large flood events over the past few decades, some resulting in more than 3-feet of water. As part of this Drainage Master Plan, a linked 1-dimensional/2-dimensional model was developed using XPSWMM to evaluate surface and subsurface conveyance capacities. This comprehensive model allowed the team to run multiple scenarios rapidly to identify the existing system weaknesses, and to recommend appropriate improvements. A 3-D animation of the results of the flood modeling was prepared to help stakeholders understand the flood hazards and the benefits of the proposed improvements. Michael Baker separated the proposed improvements into a priority ranking system. The City will use this system to identify which facilities to improve first. Highlights: ♦ Citywide Santa Ana Storm Drainage Master Plan • Hydrologic and Hydraulic Analysis ♦ Consistency with Orange County Standards ♦ Geodatabase of City Storm Drain Facilities Highlights: ♦ Citywide Drainage Master Plan ♦ Storm Drain Facility Inventory • Hydraulic Analysis using XPSWMM ♦ Existing Flood Hazard Mapping ♦ Educating Stakeholders using 3-d Animation ♦ Green infrastructure 0 The project also included the identification and integration of "green infrastructure" to be incorporated into the master plan. A comprehensive study of the City's drainage areas and land uses was performed to identify potential areas for green initiatives. A series of practical green initiatives were developed and incorporated into the document to provide water quality treatment and surface water capture and recharge opportunities within the City. The master plan was recently endorsed by the City's Public Works Commission and unanimously adopted by the City Council. Page 1 15 INTERNATIONAL 20C-29 A Kt� Implementation Assistance I County of Orange (Ongoing) Michael Baker is assisting the County with permit renewal, ongoing implementation, and development of the Orange County Municipal NPDES Storm Water Program by providing support to the county and meeting key primaryobjectives, including continued compliance under the Santa Ana Region and San Diego Region permits. Michael Baker has provided support, as necessary, during the permit renewal process implementing the requirements of the Fourth Term permits through revision of existing programs, and development of new programs/materials to ensure compliance. Highlights: ♦ NDPES Permit Implementation Assistance ♦ System Prioritization ♦ BMP Retrofit ♦ Watershed Analysis ♦ GIS Modeling C "'i5i� g Rehr (7 4 z 5= Water Quality Management Plan Assistance I County of Orange (Ongoing) Highlights: Michael Baker is assisting the County with WQMP related services including ♦ NDPES Permit preparation of regulatory plans, technical guidance documents and annual Implementations ♦ System Prioritization reports for Low Impact Development (LID) and hydromodification ♦ BMP Retrofit implementation; assessment of economic impacts of LID and hydromodification implementation, development of case studies and training as t, of i programs for cities and the development industry; providing support to Rrc answer city and development industry questions; development of regional 55=0 tools (e.g. mapping and modeling) to simplify preparation of project WQMPs; conducting outreach and coordination with various planning, engineering and development industry groups; and conducting assessments of LID and hydromodification effectiveness. Recent tasks have included providing WQMP and hydromodification help desk support, performing WQMP inspections, providing pre -wet season construction site inspection training, updates of the South Orange County Hydromodification Management Plan, and development of a non -priority project technical memorandum to provide a revised process for non -priority projects. Southgate Neighborhood Storm Drainage and Green Street Improvements Highlights: I City of Palo Alto (2014) ♦ Drainage Analysis Michael Baker Michael Baker's services included ♦ oca on identification and evaluation of optimal BMP Evaluation locations; development of final plans, ♦ Use of Integrated specifications, and cost estimates for green Watershed street elements; and public involvement. The Assessment Tool for purpose of the project was to address the Restoration (iWATR) storm drainage deficiencies within the yQrtofP'185td Southgate neighborhood, improve�ge5ie'els) stormwater quality through LID techniques,�15393 and reduce potable water usage. Several green street drainage elements were considered, including rain gardens in the planter strips, underground infiltration galleries, permeable paver's usage, and bioretention bulb outs. Page 1 16 20C-30 e�Stcar�n Drain Master Plan Phase 2 j RFP No. 16-02 Sustainable Water Master Plan j County of Santa Monica (2014) Michael Baker assisted the city in the feasibility of capturing stormwater and using it for irrigation in several city parks and conveying some of the captured water to the city's urban runoff recycling facility. Services included GIS rainfall analysis and gray water demand analysis, identification of potential stormwater capture locations at a local and regional level, and evaluation of the feasibility of stormwater reuse. Using iWATRO, a GIS-based watershed analysis tool that Michael Baker developed to identify and evaluate potential best management practice locations, Michael Baker identified the optimal locations for capturing stormwater in the parks. Forbes Road/Oso Creek Multi -use Trail ( County of Laguna Niguel (2015) Highlights: ♦ Stormwater Capture Analysis using iWATR BMP location tool • Stormwater Conveyance Analysis ♦ Rainfall Analysis Highlights: • Grant Application Michael Baker prepared final plans, Assistance specifications, and estimates for a multi -use ♦ Flood Analysis and �.... trail alongthe western edge of Forbes Road, i� eswz. a� cs�Es:aa, 9 Flood Control between its terminus at the Three Flags Improvements Commercial Center to the north and the ♦ ASCE Orange Metrolink Commuter Rail Transit Station to the County Project 44, south. The multi -use trail includes a 12-foot Award Winner for wide pervious asphalt section adjacent to a 10- Bikeway and Trails. foot wide DG section. The AC trail serves as the Orange County Flood Control District's maintenance road for the Oso Creek Channel. The project funding source requires that the project f n ' II implement water quality features within the project limits. As such, the e project includes a bio-retention parkway approximately 650 feet long by 15 3 - feet wide. Additional improvements include hardscape enhancements, such as boulders and cobble stone, decorative crosswalk designs, street furniture and related bike and equestrian amenities, decorative fencing, and street/trail way -finding and interpretive signage. Project Horseshoe Bend Levee and Ecosystem Improvement Project, 2014 Integrated Regional Water $3.5M Management (IRWM) Grant Solicitation, Beth Island Municipal Improvement District 2015 Yuba Sutter Resource Conservation Plan, Sutter County, CA $550,958 2014 Yuba Sutter Resource Conservation Plan, Suffer County, CA $725,000 2011 Yuba Sutter Resource Conservation Plan, Suffer County, CA $422,958 Sleepy Hollow Detention Basin Retrofit, 2012 IRWM Grant Solicitation, City of Elk Grove, CA $223,000 - - - - - Page 1 17 INTERNATIONAL 2 0 C_3 1 20C-32 A ° M ' Storm brain Master Flan Phase 2 C RFP No. 16-02 F. SCHEDULE D Task Task Name '.Duration 'Start Finish Made 1 44 Award Date 1 day Tue 4/19/16 Tue 4/19/16 2 Go Task 1: Review and Research 25 days Wed 5/4/16 Tue 6/7/16 3 Review Phase 1 City Storm Drain Master 10 days Wed 5/4/16 Tue 5/17/16 _ Plan (2015 SDMP) 4 'y Review of Facilities 15 days Wed 5/18/16 Tue 6/7/16 5 mac„. Task 2A; Alternative Improvements Expected 181 days Wed 6/8/16 Wed 2/15/17 Value Conversion 6 17'� 2015 SDMP Proposed Facility Evaluation 20 days Wed 6/8/16 Tue 7/5/16 7 Expected Value (EV) Hydrology 15 days Wed 7/6/16 Tue 7/26/16 8 `a SD Alternative Formulation/ Feasibility Analy45 days Wed 7/27/16 Tue 9/27/16 9 t Cost Estimate 16 days Wed 9/28/16 Wed 10/19/11 o 70, Training 11 days Wed 2/1/17 Wed 2/15/17 11 ',1� Task 28: Alternative LID Improvements 111 days Wed 6/8/16 Wed 11/9/16 12 LID Project Update 5 days Wed 6/8/16 Tue 6/14/16 13 : Hydrology Update and Basin Routing Analysis 10 days Wed 7/27/16 Tue 8/9/16 14 a SD System Evaluation 20 days Wed 9/28/16 Tue 10/25/16 15 " Cost Estimate 8 days Wed 10/26/1E Fri 11/4/16 16 Proposed LID Exhibits 5 days Wed 10/26/lETue 11/1/16 17a Present to the City Staff 1 day Wed 11/9/16 Wed 11/9/16 18 t Task 2C: Cost Comparison and Prioritization 10 days Mon 11/7/16 Fri 11/18/16 19 It Cost Comparison 5days Mon 11/7/16 Fri 11/11/16 20 q Prioritization Matrix 5 days Mon 11/14/1E Fri 11/18/16 21 Task 3: Research Grant Opportunitues 8 days Mon 11/21/11 Wed 11/30/1 22 Research Grant Opportunities 8 days Mon 11/21/1E Wed 11/30/1i 23 :,`;. Task 4: Evaluation and Recommendations 37 days Thu 12/1/16 Fri 1/20/17 24 : Prioritization SD Improvements 15 days Thu 12/1/16 Wed 12/21/1 25 phase 2 Master Plan of Drainage Report 22 days Thu 12/22/16 Fri 1/20/17 26 Meetings and Coordination 226 days Wed 4/20/16 Wed 3/1/17 27 Project Review Meetings and Coordination 226 days Wed 4/20/16 Wed 3/1/17 28 - Quality Control and Quality Assurance 226 days Wed 4/20/16 Wed 3/1/17 29 Draftfil Meeting 1 day Mon 1/30/17 Mon 1/30/17 30 _ Final Report 1 day Tue 2/28/17 Tue 2/28/17 31 1 Final Meeting 1 day Wed 3/1/17 Wed 3/l/17 'Mayl July 4/10 5/8 6/5 7/3 Task External Tasks - - Manual Task Split .., External Milestone ,. Duration -only Project: SantaAna PHII DMP_Sch Milestone ♦ Inactive Task Manual Summary I Date: Mon 2/22/16 Summary Inactive Milestone Manual Summary Project Summary Y - - - - - Inactive Summary Start -only INYRRNAYIONAL 20C-33 20C-34 N TE R N ATI0 NAL. di + = Toll iloM J/.YL�N \ v4\'Y ,wA 'rl" e, { Sturm Drain Master Plan 34) Phase 2 1 ftFP No. 15-02 Rebecca Kinney, PE I Project Manager F 9Z tkrX t '; Ms. Kinney has extensive experience in all phases of stormwater management projects including planning, design, and construction. Her recent experience has focused on development of Master Plans of drainage, which focus on storm drainage facility sizing, stormwater NPDES compliance, stream stability, and floodplain management. Her planning experience includes large master planned communities, and municipal planning, as well as supporting hydrologic and stormwater quality analysis as a basis for CEQA documentation. Ms. Kinney has prepared Water Quality Management Plans, Stormwater Pollution Prevention Plans, and CEQA water quality technical studies. Ms. Kinney is experienced in channel restoration design work including hydrologic and hydraulic modeling and PS&E work. She has also served as a regulatory agent for the application of 404 Corps of Engineers, 401 California Regional Water Quality Control Board, and 1601/1603 California of Department of Fish and Game permits. She received Wetland Delineation training by the Wetland Training Institute. Her knowledge of both engineering and environmental requirements make her an asset to any multi -disciplinary team. Relevant Experience includes: Santa Ana Storm Drain Master Plan, Santa Ana, California. City of Santa Ana. Project Manager. Responsible for stormwater engineering and project management to update the city's storm drain master plan. The city has an established drainage system with some segments over 50 years old and other segments recently constructed. Michael Baker analyzed the main line drainage system and prepared a hydrology study along with maps for the entire city boundary and for individual sub -areas for 2-, 10-, 25-, and 100-year storm events. The capacity of the existing storm drainage was evaluated to determine system capacity sufficiency using a hydrodynamic hydraulic model. A comprehensive list of needed storm drainage improvements was then generated. Michael Baker performed a hydraulic analysis to size sufficient storm drain lines and provided an ESRI ARCGIS geodatabase of city storm drain facilities, including storm drain pipes, city -owned drainage channels, manholes, catch basins, and culverts. Michael Baker used the Bentley software hydrodynamic hydraulic model CivilStorm, which uses hydrographs with in the hydraulic model to determine adequate pipe sizing. San Diego Creek Master Plan of Drainage, Orange County, California. County of Orange. Project Manager. Responsible for stormwater engineering and project management to update and extend the San Diego Creek Master Plan hydrology from the confluence with Peters Canyon Wash to the Upper Newport Bay; a total watershed area of 120 square miles. Michael Baker's services included review and update of the watershed maps, rational method analysis, hydrograph parameter development, hydrograph analysis, and preparation of the master plan report. Storm Drainage Master Plan, Buena Park, California. City of Buena Park. Engineer. Provided stormwater engineering services to prepare a citywide drainage master plan. Michael Baker's services included field investigations, video surveys, storm drain mapping, hydrodynamic modeling, regulatory compliance analysis, best management practice (BMP) retrofit recommendations, geodatabase update, and master plan report preparation. xftfwch m,^n f.v I Rvsu meg N TE R N A T IU N A L 20C-37 t � 1" IStorm Drain Master Plan at ! Phase 2 j RFP No. 75-02 Rancho Palos Verdes Storm Water Master Plan, Rancho Palos Verdes, California. City of Rancho Palos Verdes. Task Manager. Provided drainage planning management for the overall Stormwater Master Plan for the City. The flood control portion of the report includes the use of the XP- SWMM model for both hydrology and hydraulics. The Rancho Palos Verdes Storm Water Master Plan includes the development of a GIS database for the storm drain inventory including a Facility Mapping Tool which is being utilized to gather field data and keep the City informed of Michael Baker's field work schedule and finding. Data gathering for the project includes filling in missing as - built data such as inverts and facility naming. The hydrology and hydraulics modeling is being completed utilizing GIS, XPSWMM, and XPWSPGW. This master plan includes the integration of stormwater quality retrofit opportunities. The Master Plan will ultimately provide the City with a comprehensive "living" storm water master plan. The master plan also includes a project prioritization scheme and a Capital Improvement Plan. Heritage Fields Drainage and Water Quality Master Plans, Irvine, California. Fivepoint Communities (formerly Heritage Fields El Toro, LLC). Designer. Provided drainage master plan task management. Michael Baker provided regional hydrology, master planning of backbone facilities, and GIS mapping for the overall Heritage Fields project. The project encompasses 850 acres of the former El Toro Marine Corps Air Station and borders the Great Park. It will provide approximately 1,100 residential dwelling units together with two golf courses, riparian corridors, lake features, and trail connections. The master plan of drainage included six regional watersheds (Marshburn, Bee Canyon, Agua Chinon, Borrego, Serrano, and Upper San Diego Creek) passing through the project site and a master plan of water quality for all districts of Heritage Fields Master Plan of Storm Drainage for North and West Santa Ana River Tributary Areas, Anaheim, California. City of Anaheim. Project Manager. Responsibilities included stormwater engineering for the City of Anaheim to prepare an updated comprehensive storm drainage master plan for the North and West Santa Ana River tributary areas. The new plan was based on previous studies for the areas, updated to account for current hydrology methods, new hydrology modeling In areas without existing studies, improvements to the storm drain and tributary channel systems, and the latest land use planning. The new plan will model existing storm drainage systems from as -built plans and identify deficiencies in the existing street sections and storm drain systems based on the results of the hydrology and hydraulic analyses. Alternatives to improve existing deficiencies and recommended improvements and cost estimates will be developed. McFarland General Plan Safety Element, Local Hazard Mitigation Plan, and Master Plan of Drainage, McFarland, California. City of McFarland. Task Manager. Performed as task manager for the preparation of a Master Plan of Drainage for the City. Michael Baker updated the general plan safety element and developed a local hazard mitigation plan (LHMP) and master plan of drainage (MPD) for the city pursuant to the requirements of the Disaster Mitigation Act of 2000. The LHMP includes identification and profiling of the city's identified natural hazards, vulnerability assessment, mitigation strategies, and plan implementation and maintenance, and involves public participation during the planning process, including public workshops and outreach. IM,xthnwrrts 1 Rr,cwows INTER RATIO NAr 20C-38 ' ^k'.- Storer Drama Master Planvor Phase RFPNo. 1C Jahn McCarthy, PE, CFM I Principal -in -Charge Mr. McCarthy is experienced in the development, final design, and construction of flood control and drainage projects for public works and private sector projects. His experience Is concentrated In the field of stormwater management, including: hydrology studies, floodplain analysis, drainage master plan studies and runoff management plans, detailed hydraulic analyses, and improvement plan preparation. He has prepared stormwater runoff and drainage master plans for public and private sector clients, Including the cities of Irvine, Tustin, Yucaipa, Victorville, and Azusa; counties of Orange, Riverside, and Ventura; and various private sector clients throughout California. Mr. McCarthy specializes in the development of complex flood control and runoff management solutions for both public and private sector projects. He also has extensive experience in flood control and storm drain facility design, including flood channels, storm drain pipes, debris and detention basins, and ecosystem restoration projects. Relevant Experience includes: Santa Ana Storm Drain Master Plan, Santa Ana, California. City of Santa Ana. Principal in Charge. Responsibilities included project team and resource management oversight for the update the city's storm drain master plan. The city has an established drainage system with some segments over 50 years old and other segments recently constructed. Michael Baker analyzed the main line drainage system and prepared a hydrology study along with maps for the entire city boundary and for individual sub -areas for 2-, 10-, 25-, and 100-year storm events. The capacity of the existing storm drainage was evaluated to determine system capacity sufficiency using a hydrodynamic hydraulic model. A comprehensive list of needed storm drainage improvements was then generated. Michael Baker performed a hydraulic analysis to size sufficient storm drain lines and provided an ESRI ARCGIS geodatabase of city storm drain facilities, including storm drain pipes, city -owned drainage channels, manholes, catch basins, and culverts. Michael Baker used the Bentley software hydrodynamic hydraulic model CivilStorm, which uses hydrographs with in the hydraulic model to determine adequate pipe sizing. Drainage Master Plan, Redlands, California. City of Redlands. Principaldn-Charge. Responsible for overseeing project. Michael Baker developed a drainage master plan for the city to update its drainage infrastructure and to identify regional drainage solutions to the city's flooding issues. Michael Baker's services included hydraulic modeling, planning, best management practice (BMP) identification and evaluation, and stakeholder coordination. Master Plan of Drainage Update, Yucaipa, California. City of Yucaipa. Principal -In - Charge. Responsible for project management for engineering services to update the city's drainage master plan. The update included the development of new hydrologic calculation of peak flow rates along Wilson and Wildwood Creeks with the City limits. The update included the incorporation of existing and future stormwater detention basins proposed for the watersheds. Michael Baker identified the configuration of the existing facilities and basins based on available as -built plans and data, prepared preliminary stage -storage and stage -discharge relationships for the proposed basins, and performed an optimization study to develop the most cost effective system to meet the city's standards. !i ri G,rrnfl P.lr LS � k:'en i,u`,p5 I W'fERNATIDNAL 20C-39 lid Storrn Drain Master Plan /i Phase 2 I RFP No. 16-02 � pd. x� e N Orange County Flood Control On -Call Contract, Orange County, California. County of Orange. Project Manager. Responsible for project management for flood control planning and engineering services to support flood control. The projects included: San Diego Creek Master Plan Update; Local Drainage Manual Update; Santiago Creek Scour Analysis Plan Check; San Diego Creek Restoration Plans and Operations and Maintenance Manual; Foothill Basins Restoration Plans and Operations and Maintenance Manual; Santa Ana River Reach 9 SARI Line Protection; San Juan Creek Phases 4, 5, and 6 and Trabuco Creek Phase 8; and Edinger Channel - 3D Structural Analysis for Reinforced Concrete Box. The projects included flood control, water quality, and wildlife corridor or habitat conservation and protection. Michael Baker also provided services to obtain resource agency permits. Heritage Fields Drainage and Water Quality Master Plans, Irvine, California. Fivepoint Communities (formerly Heritage Fields El Toro, LLC). Project Manager. Responsible for managing the team to provide regional hydrology, master planning of backbone facilities, and GIs mapping for the overall Heritage Fields project. The project encompasses 850 acres of the former El Toro Marine Corps Air Station and borders the Great Park. It will provide approximately 1,100 residential dwelling units together with two golf courses, riparian corridors, lake features, and trail connections. The master plan of drainage included six regional watersheds (Marshburn, Bee Canyon, Agua Chinon, Borrego, Serrano, and Upper San Diego Creek) passing through the project site and a master plan of water quality for all districts of Heritage Fields. Northern Sphere Master Plan of Drainage, Unincorporated Orange County, California. Irvine Community Development Company. Project Manager. Responsible for developing a master plan of drainage for the Northern Sphere Area in unincorporated Orange County. Michael Baker prepared updated hydrology calculations based on the current land uses for the project area with a tributary drainage area of approximately 3,600 acres. Michael Baker also assessed existing and proposed condition hydrology and developed regional and master plan level drainage improvements for project implementation and mitigation of project impacts. Southern California Logistics Airport (SCLA) Storm Drain Master Plan, Victorville, California. Victorville, City of. Project Manager. Provided master planning studies and developed recommended improvement plans for storm drain systems associated with the reuse of the Southern California Logistics Airport, formerly known as George Air Force Base. The master plans incorporate the latest conceptual planning studies for development at the former air base and were completed in two phases. Emphasis was on surface drainage patterns through open channels and street cross -sections to provide the most cost-effective drainage system for the and high -desert conditions, which produce high peak flows on an infrequent basis. Tustin Legacy Master Plan of Drainage I Runoff Management Plan, Tustin, California. City of Tustin. Task Manager. Assessed existing and proposed condition hydrology, developed regional and master plan level drainage improvements for project implementation and mitigation of project impacts. Michael Baker prepared a drainage master plan and comprehensive runoff management plan (RMP) for the redevelopment of the 1,650-acre Tustin Air Base. Existing watershed conditions were documented and a plan was outlined to mitigate development runoff through appropriate backbone infrastructure to afford flood protection and avoid offsite impacts. The plan included a conceptual drainage plan and improvements for over 2.5 miles of regional channel improvements adjacent to the project site. An on -site regional stormwater detention basin was proposed to avoid construction of significant improvements to the existing downstream channel system. APFo rlr rrrvn is I Rasu ri �xti N TERN AT I0 NA I. 20C-40 2q 1 j 4 Storm Drain Master (Plana Phase 2 1 RFP No. 16-02 � F i" R yrh Mujahid Chandoo, PE i Hydraulic Modeling Mr. Chandoo has experience in the planning and design of various storm water facilities for public and private sector projects. He has been involved in preparation of various master plans within Southern California. He has extensive experience in using advanced hydraulic 1 D/21D modeling for surface and sub -surface flooding analysis for the City of Redlands, World Trade Center in New York City, Coachella Valley Water District (CVWD), and City of La Quinta. Mr. Chandoo also has experience in roadway drainage and has been involved in hydrologic and hydraulic analysis and report preparation, as well as preparation of PS&E. He has recently completed the preparation of drainage PS&E for the Cow Camp Road. His computer modeling background includes the application of the Army Corps of Engineers HEC- RAS (River Analysis System), Stormwater and Wastewater Management Model (XP-SWMM), Watershed Modeling System (WMS) and Advanced Engineering Software (AES) for hydrologic/hydraulic analysis in Southern California. Sediment Transport models include HEC-6T and SAM. Mr. Chandoo uses the Geographical Information System (GIB) hydro applications in most of the hydrology and hydraulics software's. Relevant Experience Includes: Santa Ana Storm Drain Master Plan, Santa Ana, California. City of Santa Ana, Engineer. Responsible for hydrology and hydraulics analysis. Michael Baker provided professional engineering services to update the city's storm drain master plan. The city has an established drainage system with some segments over 50 years old and other segments recently constructed. Michael Baker analyzed the main line drainage system and prepared a hydrology study along with maps for the entire city boundary and for individual sub -areas for 2-, 10-, 25-, and 100-year storm events. The capacity of the existing storm drainage was evaluated to determine system capacity sufficiency using a hydrodynamic hydraulic model. A comprehensive list of needed storm drainage improvements was then generated. Michael Baker performed a hydraulic analysis to size sufficient storm drain lines and provided an ESRI ARCGIS geodatabase of city storm drain facilities, including storm drain pipes, city -owned drainage channels, manholes, catch basins, and culverts. Michael Baker used the Bentley software hydrodynamic hydraulic model CivilStorm, which uses hydrographs with in the hydraulic model to determine adequate pipe sizing. San Diego Creek Master Plan of Drainage, Orange County, California. County of Orange. Engineer. Responsible for updating the hydrology for the entire San Diego Creel< Watershed. This watershed is approximately 76,000 acres which includes fourteen (14) sub - watersheds and sixteen (16) Flood Control detention basins. Tasks included reviewing previous studies for the watershed, verifying stage -storage for the basins and updating the ultimate land use for the entire watershed. The hydrology included developing the 100-year expected value and high - confidence storm analysis per the Orange County Hydrology Manual (OCHM) for 16 concentration points along San Diego Creek. Michael Baker provided engineering services to update and extend the San Diego Creek Master Plan hydrology from the confluence with Peters Canyon Wash to the Upper Newport Bay; a total watershed area of 120 square miles. Michael Baker's services included review and update of the watershed maps, rational method analysis, hydrograph parameter development, hydrograph analysis, and preparation of the master plan report. A t tar r h.r", an(s I Revunies IN Tf RN AT Itl N A L 20C-41 ogzStorm; orm Drain Master Plan _); Phase 2 1 RFP No. 16-02 Drainage Master Plan, Redlands, California. City of Redlands. Project Engineer. Responsible for 2D hydraulic modeling and flooding analysis through downtown Redlands using Stormwater and Wastewater Management Model (XP-SWMM). Zanja Creek and the drainage network was modeled to identify deficiency and causes of flooding. Michael Baker developed a drainage master plan for the city to update its drainage infrastructure and to Identify regional drainage solutions to the city's flooding issues. Michael Baker's services included hydraulic modeling, planning, best management practice (BMP) identification and evaluation, and stakeholder coordination. Rancho Palos Verdes Storm Water Master Plan, Rancho Palos Verdes, California. City of Rancho Palos Verdes. Project Engineer. Used ArcGIS and model builder to delineate watershed boundaries and obtain parameters according to LA County hydrology criteria. XP-SWMM was used to perform the hydrology and hydraulics for the existing condition. A recommended storm drain analysis was analyzed and a priority storm drain list was created. The Rancho Palos Verdes Storm Water Master Plan includes the development of a GIS database for the storm drain inventory including a Facility Mapping Tool which is being utilized to gather field data and keep the City informed of Michael Baker's field work schedule and finding. Data gathering for the project includes filling in missing as - built data such as inverts and facility naming. The hydrology and hydraulics modeling is being completed utilizing GIS, XPSWMM, and XPWSPGW. This master plan includes the integration of stormwater quality retrofit opportunities. The Master Plan will ultimately provide the City with a comprehensive "living" storm water master plan. The master plan also includes a project prioritization scheme and a Capital Improvement Plan. Storm Drainage Master Plan, Buena Park, California. City of Buena Park, Engineer. Responsible for hydrology and hydraulics analysis. Michael Baker provided engineering services to prepare a citywide drainage master plan. Michael Baker's services included field investigations, video surveys, storm drain mapping, hydrodynamic modeling, regulatory compliance analysis, best management practice (BMP) retrofit recommendations, geodatabase update, and master plan report preparation. Master Plan of Storm Drainage for North and West Santa Ana River Tributary Areas, Anaheim, California.City of Anaheim. Engineer. Responsible for hydrology analysis which included watershed delineation and discharge for the hydraulic analysis. Storm Drain As -Built drawings were obtained from the City of Anaheim and were analyzed with the new discharges using WSPG. Storm drain systems were proposed if the existing system was inadequate. Michael Baker was selected by the City of Anaheim to prepare an updated comprehensive storm drainage master plan for the North and West Santa Ana River tributary areas. The new plan was based on previous studies for the areas, updated to account for current hydrology methods, new hydrology modeling in areas without existing studies, improvements to the storm drain and tributary channel systems, and the latest land use planning. The new plan will model existing storm drainage systems from as -built plans and Identify deficiencies in the existing street sections and storm drain systems based on the results of the hydrology and hydraulic analyses. Alternatives to improve existing deficiencies and recommended improvements and cost estimates will be developed. iIY F,Rt, Rl nln L4 I?Ps oln NS 111 TE N N A T IO NAE 20C-42 955, )'AStorm [drain MasterFriars� Please 2 1 RFP No. 16-02 - c Dan Apt, CPC -SC, CPSWQ I Low impact Development/Retrofitting Mr. Apt's experience is In storm water management and water ""` ` QUII(1d,5 PP ae i ioer quality. His has extensive experience in municipal NPDES stormwater permit compliance assistance, Best Management YeE�e ienS�, Practices (BMP) research, design and Implementation �'-,�t` including Low Impact Development, hydromodification4 management, erosion and sediment control, watershed planning, and TMDL development and implementation. His �` ergtid sx x experience includes developing storm water management plans, water quality management plans, municipal stormwater permit renewal, and stormwater training. Mr. Apt has n�tj experience working with numerous regulatory agencies _ . Including the State Water Resources Control Board, several Regional Water Quality Control Boards, U.S. Environmental Protection Agency, the California Coastal Commission, and many others. Relevant Experience Includes: Sustainable Water Master Plan, Santa Monica, California. City of Santa Monica. Project Manager. Responsible for project management. Michael Baker assisted the city with the rainwater, gray water, and stormwater sections of the city's sustainable water master plan. Michael Baker's services included geographic information system (GIS) rainfall analysis and gray water demand analysis, identification of potential stormwater capture locations at a local and regional level, and evaluation of the feasibility of stormwater reuse. Orange County BMP Retrofit Opportunities Study, Orange County, California, County of Orange, Project Manager. Responsible for developing a study to identify regional structural best management practice (BMP) retrofitting opportunities to improve water quality in the nine major watersheds of Orange County on behalf of the Orange County Municipal Storm Water Program. Michael Baker initiated a study in 2003 to identify potential opportunities within the existing storm drain infrastructure for configuring or reconfiguring drainage system segments to improve water quality and maintain or attain designated beneficial uses. The primary objective of the study was to develop a logical approach for the identification and prioritization of potential BMP retrofitting. Storm Water Permit Implementation Assistance, Orange County, California. County of Orange. Project Manager. Responsible for assisting with permit renewal, ongoing implementation, and development of the Orange County Municipal NPDES Storm Water Program by providing support to the County and meeting key primary objectives including: continued compliance under the Third Term permits; providing support, as necessary, during the permit renewal process and transition to the Fourth Term permits; and implementing the requirements of the Fourth Term permits through revision of existing programs and development of new programs / materials as needed to ensure compliance. This project also included revising the County's training program and providing training for all of the storm water program areas. Michael Baker assisted with permit renewal, ongoing implementation, and development of the Orange County Municipal NPDES Storm Water Program by providing support to the county and meeting key primary objectives, including continued compliance under the Third Term permits. Michael Baker provided support, as necessary, during the permit renewal process and transition to the Fourth Term permits and for implementing the requirements of the Fourth Term permits through revision of existing programs and development of new programs/materials to ensure compliance. L N TE R N AT 10 N A L 20C-43 "j I Storm ()rain Master Pl rr 0_0�� Phase 2 j RFP No. 16-02 Watershed Planning and Engineering, Orange County, California. County of Orange. Project Manager. Responsible for project management. Michael Baker assisted with watershed planning and engineering, including preparation of watershed management plans, updates of hydromodification management plans (HMP), design services, and construction documents for post -construction best management practices (BMP). The project included development of standard low -impact development (LID) designs, revisions to the HMP, negotiations with the San Diego Regional Board staff regarding the HMP provisions, assistance with grant applications, development of the 2013 NSMP BMP Strategic Plan, and assistance with development of the Selenium TMDL for the Newport Bay Watershed. Storm Water Management Program Development, Implementation and Training, Orange County, California. County of Orange. Project Manager. Responsible for project management. Michael Baker Is providing technical support to assist the Orange County NPDES permittees with the development and implementation of the plan development elements of the countywide municipal stormwater program at a countywide programmatic level. The County of Orange, the Orange County Flood Control District, and incorporated cities received municipal NPDES permits in July 1990 from the Santa Ana and San Diego Regional Water Quality Control Boards. These permits were subsequently renewed in 1996 and again in 2002. With each permit renewal, the municipal program requirements were increased significantly. Oso Creek Multi -Use Trail, Laguna Niguel, California. City of Laguna Niguel. Project Manager. Michael Baker prepared final plans, specifications, and estimates for a multi -use trail along the western edge of Forbes Road, between its terminus at the Three Flags Commercial Center to the north and the Metrolink Commuter Rail Transit Station to the south. The multi -use trail includes a 12- foot wide pervious asphalt section adjacent to a 10-foot wide DG section. The AC trail serves as the Orange County Flood Control District's maintenance road for the Oso Creek Channel. The project funding source requires that the project implement water quality features within the project limits. As such, the project includes a bio-retention parkway approximately 650 feet long by 15 feet wide. Additional improvements include hardscape enhancements, such as boulders and cobble stone, decorative crosswalk designs, street furniture and related bike and equestrian amenities, decorative fencing, and street/trail way -finding and interpretive signage. California Low Impact Development Manual, Statewide, California. County of San Bernardino. Project Manager. Michael Baker provided management for the development of the Southern California Low Impact Development (LID) Manual, Michael Baker facilitated stakeholder meetings, provided review of the manual, and assisted the project manager with direction for the draft final products. The final LID Manual has been published and has been placed on the LID section of the California Stormwater Quality Association (CASQA) website. Heritage Fields Drainage and Water Quality Master Plans, Irvine, California. Fivepoint Communities (formerly Heritage Fields F_1 Toro, LLC), Task Manager. Law impact development task manager. Michael Baker provided regional hydrology, master planning of backbone facilities, and GIS mapping for the overall Heritage Fields project. The project encompasses 850 acres of the former El Toro Marine Corps Air Station and borders the Great Park. It will provide approximately 1,100 residential dwelling units together with two golf courses, riparian corridors, lake features, and trail connections. The master plan of drainage included six regional watersheds (Marshburn, Bee Canyon, Ague Chiron, Borrego, Serrano, and Upper San Diego Creek) passing through the project site and a master plan of water quality for all districts of Heritage Fields. At l vc Ia.....n l 9 I Re!:ntmen INTERNATIONAL 20C-44 Storrn Drain Master Plan � Phase 2 1 RFP No. 1 S-02 Jeremy Hohnbaum, PE, OSDIOSP, LEED AP I Low Impact De valo pm en t/Retrofitting Mr. Hohnbaum is a Project Engineer with broad experience in both flood control and water quality branches of stormwater management. Since joining Michael Baker he has prepared quantity and cost estimate worksheets and technical reports, and has experience with hydraulic/hydrologic modeling. He has prepared Stormwater Pollution Prevention Plans (SWPPPs) and erosion control plans. He has design experience with non- structural and structural Best Management Practices (BMPs). His computer modeling background includes the application of the Army Corps of Engineers Flood Hydrograph HEC-1, Water Surface Profiles HEC-2, HEC-RAS (River Analysis System), Advanced Engineering Software for hydrologic/hydraulic analysis in Southern California, and Pollutant Load Reduction Modeling (PLRM). Mr. Hohnbaum has been involved on various phases of projects including field reconnaissance, preliminary design, final design, and report preparation. Recent Experience includes: Sustainable Water Master Plan, Santa Monica, California. City of Santa Monica. Engineer. Responsibilities Included water quality evaluation, water harvest and use analysis, gray water supply and demand analysis, and regional stormwater capture planning and feasibility analysis. Michael Baker assisted the city with the rainwater, gray water, and stormwater sections of the city's sustainable water master plan. Michael Baker's services included geographic information system (GIS) rainfall analysis and gray water demand analysis, identification of potential stormwater capture locations at a local and regional level, and evaluation of the feasibility of stormwater reuse. Watershed Planning and Engineering, Orange County, California. County of Orange. Engineer. Responsibilities included water quality. Michael Baker assisted with watershed planning and engineering, including preparation of watershed management plans, updates of hydromodification management plans (HMP), design services, and construction documents for post - construction best management practices (BMP). The project included development of standard low - impact development (LID) designs, revisions to the HMP, negotiations with the San Diego Regional Board staff regarding the HMP provisions, assistance with grant applications, development of the 2013 NSMP BMP Strategic Plan, and assistance with development of the Selenium TMDL for the Newport Bay Watershed. Oso Creek Multi -Use Trail, Laguna Niguel, California. City of Laguna Niguel. Project Manager. Michael Baker prepared final plans, specifications, and estimates for a multi -use trail along the western edge of Forbes Road, between its terminus at the Three Flags Commercial Center to the north and the Metrolink Commuter Rail Transit Station to the south. The multi -use trail includes a 12- foot wide pervious asphalt section adjacent to a 10-foot wide DG section. The AC trail serves as the Orange County Flood Control District's maintenance road for the Oso Creek Channel. The project funding source requires that the project implement water quality features within the project limits. As such, the project includes a bio-retention parkway approximately 650 feet long by 15 feet wide. Additional improvements include hardscape enhancements, such as boulders and cobble stone, decorative crosswalk designs, street furniture and related bike and equestrian amenities, decorative fencing, and street/trail way -finding and interpretive signage. <i cto crr nren.d I Nap,un'i++ I R TE R RAT 10 N A 1 20C-45 Storm Drain Master Plan �/ Phase2 I PFPNo.16-02 San Bernardino County Retrofit Study, San Bernardino County, California. County of San Bernardino. Engineer. Responsibilities included water quality. Michael Baker assisted the San Bernardino County Flood Control District and San Bernardino co-permittees with two system -wide evaluations as part of the watershed action plan. Michael Baker performed these studies during a four month timeframe to meet permit requirements to identify opportunities to retrofit stormwater conveyance systems and parks and other recreational areas with water quality protection measures. Michael Baker used the Integrated Watershed Assessment Tool for Restoration, which incorporates a geographic information systom-based model, to identify and evaluate more than 14.0 sites. Southgate Neighborhood Storm Drainage and Green Street Improvements, Palo Alto, California. City of Palo Alto. Engineer. Responsibilities included water quality. Michael Baker provided civil engineering services for the Southgate Neighborhood Storm Drainage Improvements and Green Street Project. Michael Baker's services Included identification and evaluation of optimal best management practice (BMP) locations; development of final plans, specifications, and cost estimates for green street elements; and public involvement. Malibu Creek Watershed Feasibility Study, Los Angeles County, California. County of Los Angeles. Engineer. Michael Baker performed a study to identify retrofitting opportunities in the Malibu Creek Watershed to address multiple pollutants in stormwater runoff. Michael Baker's services included identification of potential retrofit sites for regional and local structural best management practices (BMP), evaluation of watershed water quality data, assessment of the feasibility of implementing BMPs In the identified sites, the development of an implementation plan, preparation of conceptual designs for 24 BMPs, and preparation of final designs for four of the BMPs. Structural Best Management Practices - Malibu Creek Watershed Planning and Feasibility Study, Los Angeles County, California. County of Los Angeles, Engineer. Michael Baker assisted the County of Los Angeles with identification of retrofitting opportunities in the Malibu Creek watershed to address multiple pollutants in stormwater runoff. The study included identification of potential retrofit sites for both regional and local structural best management practices (BMP), evaluation of watershed water quality data, assessment of feasibility of implementing BMPs in the sites Identified, and potential development of conceptual designs. Michael Baker successfully identified 113 potential BMP sites to improve water quality. San Bernardino County NPDES Stormwater Program Training, San Bernardino County, California. County of San Bernardino. Engineer. Michael Baker is providing services for development and implementation of a comprehensive training effort in support of the San Bernardino County Stormwater Program. The county's Municipal Separate Storm Sewer System (MS4) Permit requires that the principal permittee develop, in collaboration with the Co-permittees, an updated training program. The update includes the development of training modules for general stormwater training; stormwater management for construction, maintenance, industrial, and commercial activities; and planning and design for stormwater, including low -impact development features. The Michael Baker team's tasks include identification of target audiences, key issues, and core competencies for training module development; development of a proposed training outline for county and Co- permittees feedback; development of draft and final training modules, pre- and post -training surveys, certificates of completion, and other training materials for approval; distribution of a pre -training survey to training participants; administration of the training modules, using adult learning principles, to agency staff from the county and Co-permittees; implementation of the post -training survey; distribution of certificates of completion for training participants; and analysis of training effectiveness, using the pre- and post -training surveys. A r 10(i„Y)a li is 1 RPHI,r, A?, INTk RNkT IUNAL 20C-46 y i P.Y�'Ypu,�10 ` Storm Drain Master (Plan Phase 2 1 RFP No. 16-02 Joyce Hunting I Grant Assistance Ms. Hunting has 32 years of technical and practical experience working in California's diverse natural environments. Her experience includes preparing and managing the preparation of environmental documents that comply with the requirements of the National Environmental Policy Act (NEPA), California Environmental Quality Act (CEQA), federal Endangered Species Act (ESA), California Endangered Species Act, California Public Utilities Commission (CPUC), California Department of Transportation (Caltrans), Central Valley Flood Protection Board, and local jurisdictions. She also has expertise In the preparation of US Army Corps of Engineers Individual and Nationwide Permit Applications, California Fish and Game Code (FGC) 1602 Streambed Alteration Agreements, habitat conservation plans, natural community conservation plans, wetland delineation and restoration plans, biological resource assessments and mitigation programs, and implementation of habitat conservation and restoration plans. Ms. Hunting's experience includes conducting public participation programs. Ms. Hunting has been the project manager on several large-scale environmental investigations to support NEPA and CEQA documents. She has managed technical studies and natural resource impact analyses for mining projects throughout the state. She has also managed over $2 million of biological investigations covering over 4,000 acres and 200 linear miles in support of an environmental impact report (EIR) for large-scale wastewater storage/discharge/reuse facilities for the Santa Rosa Regional Wastewater Treatment Plant. Ms. Hunting was the project manager for a large- scale biological investigation and successful regulatory permitting effort for more than 400 miles of fiber optic cable installation project for Level 3 Ltd. She was also the task lead in developing the biological studies and Biological section for the PG&E Hydro Divestiture Project DEIR prepared for the CPUC, In each of these projects, Ms. Hunting was a liaison between the biological team and other team members, consultant representative to the lead agency on biological issues, and represented the lead agency in regulatory agency discussions. She was also responsible for coordinating the field teams and ensuring adequate data collection and analysis. Recent Experience includes: City of Elk Grove, Stormwater Program Regulatory Compliance, Project Manager. Prepared a Clean Water Act 404 Regional General Permit, Section 401 Programmatic Water Quality Certification, and ESA Section 7 programmatic biological assessment for the City's stormwater maintenance program. Contributed to the Elk Grove Storm Drain Master Plan Preparation, grant preparation and implementation. Colusa Basin Drainage District, the Resources Agency, Sacramento River Restoration Project, Glenn, Colusa and Yolo Counties, Project Manager. Worked with the Colusa Basin Drainage District in formulating restoration projects to be funded through Proposition 12. Responsible for all necessary permitting and environmental compliance documentation. Responsible for restoration design and preparation of grant applications. Tuolumne Land Trust, Clavey River Ecosystem Program Watershed Assessment, Project Manager. Working with Stakeholders and the USES, managed preparation of the Clavey River Watershed Assessment and various grant applications. Atfuchie,Pnt; Nx,!•.pn'i tl7 INTERNATIONAL 20C_47 r 19 t� �) Storm Drain Master Play ^ Phase 2 I rtFP No. 16-0 Yuba Sutter Regional Conservation Plan (Habitat Conservation Plan/Natural Communities Conservation Plan), Project Manager. The plan area encompasses 450,000 acres. The participants include two counties, three cities, and the Department of Water Resources. Michael Baker International is working closelywith local and resource agency representatives In developing a conservation strategy for 26 species of plants and animals that will ensure the continued survival of those plants and animals, while simultaneously accommodating private property rights and foreseeable future urban development. Sophisticated biological and geographical analyses were used to design a conceptual preserve system that maintains habitat connectivity. Prepare several successful grant applications. Salinas Valley Solid Waste Authority Crazy Horse Sanitary Landfill Permitting, Project Manager. Managed the regulatory permitting to implement the closure plan. The Crazy Horse Sanitary Landfill is located on a 160-acre parcel in Salinas. City of Santa Rosa, Santa Rosa Subregional Long -Term Wastewater Project EIR/EIS, Task Manager. Managed $2 million of technical biological studies to support the EIR/EIS and permit processes. Prepared biological sections of the EIR/EIS, which compared five alternatives at an equal level of evaluation. Paradise Irrigation District, Water Supply Alternatives Environmental Feasibility Analyses, Project Director. Directed site assessments and environmental analyses for the Water Supply Alternatives Environmental Feasibility Analyses Report, per Proposition 204 grant funding requirements. Prepared an environmental feasibility study in order to evaluate alternative actions that the district could undertake to meetfuture water needs and ensure a reliable and adequate water supply for the district's service area. Paradise Irrigation District, Magalia Reservoir Raw Water Bypass Project, Project Manager. Managed environmental constraints analysis. Prepared the Initial Study and Mitigated Negative Declaration; Clean Water Act 404, 410, 1602 Streambed Alteration Agreement; and USFWS biological assessment for a water diversion project on Little Butte Creek. Colusa Basin Drainage District, Bureau of Reclamation, Freshwater Basin Watershed Management Program, Technical Advisor. Provided technical advice, environmental analyses, and agency coordination for a flood control feasibility study. California Public Utilities Commission, Pacific Gas & Electric (PG&E) Company Hydro - Divestiture Project EIR, Technical Director. Conducted a statewide biological assessment of the potential effects of divestiture of multiple PG&E hydroelectric facilities and land holdings. Coordinated staff of four companies. AiY ,, ha, 11, f, I Ri6tvrw INTERNATIONAL 20C-48 Professional Fees Estimation 20C-49 20C-50 EXHIBIT C I APPENIi17s; ATTACHMENT 3-I.: NON -COLLUSION AFFIDAVIT _ ` T CERTIFI'CATIONTS _ CITY OF SA.NTA ANA REQUEST FOR PROPOSALS FOR STORM DRAIN MASTER FLAN PHASE 2 RFP NO.: 16-02 VON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not trade 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 retrain from bidding; that the BIDDER bas not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or strain bid. Note: The above Non -collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also conitute ostsign or this N n-collusion Affidavit. BIDDER'S are cautioned that making a false certitiaalidnl}ray subject thc�eplr"(lcr to climinalprosecution, Signed State of California County of Subscribed and sworn to (or affirmed) before me on this _ day of , 20_, by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. v -e.ft- i, , , iB_ 1 Notary Public Signature Notary Public Seal 20C-51 CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT CODE § 8202 vvn^ Y24 + 4k".T(Sk' A'SEES.X✓lnS�ih'S^ 'Y7h'. "i4'GSY .�" fC'.i^C4Ai'(�A s .k i4SCiSY%'.A�a�&Wtoci as Attached Document (Notary to cross out lines 1-•6 below) See Statement Below (Dines 1-6 to be completed only by document signer[s], not Notary) Signature, of Document Signer No. I Signature of Document Signer No, 2 (if any) A notary public or other officer completing this certificate varifios 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. Stato of California County ofa Y a ✓L_ _ �►� . CiNpY OKkMOTR �'- Commission 4 2005352 Notary Public • California orange rounry My Comrr. Expires rob 9, 2017 Seal Place Notary Seal Above Subscribed and sworn to (or affirmed) before me on this 1 day of by Date) Month Year (and (2)__ Name(s) of Signor(s) proved to me on the basis of satisfactory evidence to be the perso)'who appeared before me. Signature ^� _ Signatu f Notary Public OPTIONAL 7hough this section is optional, completing this Information can doter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document Ch 7 Title or Type of Document: v(rh(—T _ pacurnent Date: _ Number of Pages: — Signer(s) Other Than Named Above: %U`"�F'iY v`M1:£i:N�^[' ,�c*n-.L7u'F;'v'.4Y vYY4'S 64:4s�r1,.`d�v''+Uw.iriY-'FAJ.'F.'i'i''I'll ..I F...§KA av`wG?V S;L"4"C:k+�kiG'i�t'iS`GZY'.rY+tik s^Jti'.FJ'�' 02014 National Notary Association . www.NationaiNotary.org - 1-800-US NOTARY (1-800-876-6827) item M6910 20C-52 APPENDIX ATTACHMENT 3-2: NON -LOBBYING CERTIFICATION M CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STORM BRAIN MASTER PLAN PRASE 2 RFP NO,: 16-02 The prospective participant certifies, by signing and submitting tills bid or proposal, to the best of his or her knowledge and belief, that: 1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the snaking 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 tiny 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 cortification 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 fbr each such failure, The prospective participant also agrees by submitting his or her bird or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firin sign Title Date u�ai iv 20C-53 APPENDIX ATTACHMENT NT 3-3: NON-DISCRIMINATION CERTIFICATION CERTIF'ICA,TIUIVs�-----.__..�._ _....— CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STORM DRAIN MASTER PLAN PHASE 2 RFP NO.: 16-02 The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. The Consultant shall riot 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, ceder, 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. The Consultant shall send to each labor union or representative of workers with which he/slue 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 1.1246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of labor, 5. The Consultant shall furnish all information and reports required by Executive Order 112.46 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Consultant's non-corpliance 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 11.246 of September 24, 1965, and such other sanctions may be, imposed and remedies involved 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 hales, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of 20C-54 Septernber 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 stioh litigation to protect the interests of the United States. S. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical 'handicaps, mental condition, marital status, or sex of such persons, except as provided in 5ectl 420, and any consultant of public works violating this Section is subject to all the penal imp o cd for latio a£the Chapter. Signed: Title: Vic President Firm: Michael Bakerinterna i al,lnc. Date: 2/23/16 20C-55 20C-56 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED CONTRACTS AWARD FOR POLICE ❑ As Recommended CONVERSION COMPONENTS ❑ Amended SPEC. NO. 15-130 El❑2n Ordinance on Reading Ordinance on d Reading (STRATEGIC PLAN NO. 6,2) ❑ Implementing Resolution {SURPLUS ALLOCATION FUNDING} ❑ Set Public Hearing For_ J CITY MANAGE RECOMMENDED ACTION CONTINUED TO FILE NUMBER Award contracts for police vehicle conversion components for a two year period expiring April 30, 2018 in an annual amount not to exceed $495,000, subject to non -substantive changes approved by the City Manager and City Attorney, with the following vendors: Vendor Location Adamson Police Products Los Alamitos Lehr Anaheim Project in accordance with the Council approved Surplus Allocation Plan as of October 20, 2015. Department: Project: Category Total Funding: Finance Vehicle Replacement Facilities/Assets $650,000 Fv 16-17 DISCUSSION The Finance and Management Services Facilities, Fleet Maintenance and Central Stores Division is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. The Police Department is transitioning to Ford Interceptor SUV as their standard patrol vehicles. A total of 42 of these vehicles are scheduled to be purchased in FY 2016-17; seven with Surplus Allocation funds and 35 are as part of the Equipment Replacement Funding. The Fleet Maintenance Division staff related equipment such as light bars, sirens, we before releasing them to the Police Department. must outfit each of these vehicles with police- apon racks, security seating, push bumpers, etc., 22A-1 Contracts Award for Police Conversion Components May 3, 2016 Page 2 The notice inviting bids was advertised on December 10, 2015, on the city's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 45 Vendors were notified 9 Vendors downloaded the bid packet 2 Bids received 0 Bids received from Santa Ana vendors Bids were opened on January 5, 2016 and evaluated. The two bids received are responsive to the specifications and meet the City's requirements. Staff recommends awarding contracts to both 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 $495,000 are budgeted and will be available in FY 2016-17 as follows: $56,000 in the Finance Fleet Maintenance account (05010022 66400), $63,000 in the Fleet Maintenance Equipment Replacement account (07510101 66400) and $376,000 in the Equipment Replacement account (07010101-66400). APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency CL/sp 22A-2 F 6W c • `, •me CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: CONTRACT AWARD TO NATIONAL AUTO FLEET GROUP FOR POLICE PATROL VEHICLES (SPEC. 16-020) (STRATEGIC PLAN NO. 6,2) {SURPLUS ALLOCATION FUNDING} CITY MANAG ••R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize a one-time purchase and payment of purchase order to National Auto Fleet Group for the purchase of eight Ford Interceptor SUV patrol vehicles in an amount not to exceed $263,060, subject to non -substantive changes approved by the City Manager and City Attorney. Project in accordance with the Council approved Surplus Allocation Plan as of October 20, 2015. Department: Project: Category Total Funding: Finance Vehicle Replacement Facilities/Assets $1,300,000 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, eight Police Department patrol vehicles purchased between 2006 and 2011 with an average mileage of 95,175 miles have been identified for replacement. Since Ford has eliminated the Crown Victoria's from production, the Police Department has selected the Ford SUV Interceptor as its standard patrol vehicle. Funding for seven of these police patrol vehicles is identified and will be available in the second year of the Surplus Allocation Plan. Staff is requesting approval of year 2 funds in order to obtain current year pricing and expedite delivery of outfitted patrol units to the Police Department by August 2016 and thus both expenditure and payment will be made during Fiscal Year 2016-17. The eighth vehicle being purchased will replace a unit that has been deemed inoperable by staff and the City's insurance carrier as a result of an accident. Funding for this vehicle is available in 22B-1 Contract Award for Police Patrol Vehicles May 3, 2016 Page 2 the Fleet Equipment Replacement account along with subsequent reimbursement from the insurance company. Santa Ana Ordinance No. NS-2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. The National Joint Powers Alliance (NJPA) awarded a contract to National Auto Fleet Group (contract #102811) for procurement of fleet vehicles as a result of open competitive bidding on behalf of its members, which includes government entities. The awarded contract is valid through 2018 and meets the City's purchasing requirements. Due to the complexity of the specifications of such a multi -faceted police vehicle, the use of a Cooperative Purchasing Agreement such as NJPA provides for a timely and cost effective vehicle purchase. STRATEGIC PLAN ALIGNMENT Approval of this item supports 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 $263,060 will be budgeted and made available in FY 2016-17 as follows: $230,175 in the Finance Fleet Replacement account (05010022-66400) and $32,885 in the Fleet Equipment Replacement account (07510101-66400). APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency CL/sp 22B-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: CONTRACT AWARD TO COURTESY CHEVROLET CENTER FOR MID -SIZE TRUCKS (SPEC. NO. 16-042) (STRATEGIC PLAN NO. 6, 2) (SURPLUS ALLOCATION FUNDING) 11�' ( ' lC�� CITY MANAGER 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 1. Reject the bid from Nissan of Stockton as nonresponsive to the specification. 2. Authorize a one-time purchase and payment of purchase order to Courtesy Chevrolet Center for the purchase of 16 Colorado pickup trucks in an amount not to exceed $443,485, subject to non -substantive changes approved by the City Manager and City Attorney. Project in accordance with the Council approved Surplus Allocation Plan as of October 20, 2015. Department: Project: Category Total Funding: Finance Vehicle Replacement Facilities/Assets $650,000 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, 14 mid -size pickup trucks purchased between 2000 and 2002 with an average mileage of 91,565 miles have been identified for replacement. Additionally, Parks Recreation & Community Services Agency is purchasing two additional trucks to support their new park monitoring program initiative. Funding for thirteen of the vehicles is identified and available in the Fiscal Year 16-17 Surplus Allocation Plan. These vehicles are assigned to the Finance Department (3 vehicles), Parks and Recreation (1 vehicle), Planning & Building Agency (6 vehicles), and the Public Works Agency (3 vehicles). One additional replacement vehicle for the Public Works Agency will be funded by the FY 16-17 Refuse Enterprise funds. The two vehicles for Parks and Recreation will be funded using anticipated savings in their FY 15-16 operating budget with anticipated expenditures being encumbered into next fiscal year. Staff is requesting approval of these vehicles early to ensure current year pricing and provide delivery to end user departments by August 2016. 22C-1 Contract Award for Mid -Size Trucks May 3, 2016 Page 2 The Notice Inviting Bids was advertised on March 9, 2016 on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 64 Vendors were notified 11 Vendors downloaded the bid packet 4 Bids received 1 Bid received from Santa Ana vendor The bids were opened on March 30, 2016 and evaluated (Exhibit 1). The bid received from Courtesy Chevrolet Center 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, STjRATIGIC PLAN ALIgNMJN1 Approval of this Item supports City's efforts to meet Strategic Plan Goal #6 - Community Facilities & Infrastructure, Objective #2 (address deferred maintenance on City buildings and equipment). FISCAL IMPACT Funds in the amount of $56,910 are available in FY 2015-16 the Recreation and Community Services account (01113230-66400). Funds in the amount of $358,120 will be budgeted and made available in FY 2016-17 Finance Fleet Maintenance account (05010022-66400) and $28,455 in the Refuse Collection Service account (06917640-66400). Gerardo Mouet Executive Director Parks, Recreation and Community Services Agency Fred ousavipour Executive Director Public Works Agency CL/sp Exhibit: 1. Bid Summary APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency 22Ci-2 ABSTRACT OF BIDS MID -SIZE PICKUP TRUCKS (16-042) Bidder Courtesy Chevrolet Delillo Chevrolet George Chevrolet Location San Diego Huntington Beach Bellflower Terms Net 30 1 day Net 30 Delivery 60 days 60 days 45 - 120 days Total $56,617.96 $59,274.72 $57,314.44 Bidder Guarantee Chevrolet Reynolds Buick, Inc Location Santa Ana Covina Terms Net 30 2% 30 days Delivery 90 days 90 - 120 days Total *$57,986.3 $60,486.48 * Indicates 1 % vendor preference factored in for evaluation purposes EXHIBIT 1 22C-3 22C-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2018 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED AWARD CONTRACT FOR CENTENNIAL ® As Recommended PARK NEIGHBORHOOD WATER MAIN Q As Amended Ordinance on Reading IMPROVEMENT PROJECT 09.3213 ( ) 2 ❑ Ordinance on Id Reeding (STRATEGIC PLAN NO. 61 1C) Implementing Resolution E Set Public Hearing For <- Z /�/- CITY MANAGER CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to award and execute a construction contract to Big Ben, Inc„ the lowest responsible bidder, in accordance with the bid in the amount of $2,912,602, for the term beginning upon execution of the contract and ending upon project completion, for the construction of the Centennial Park Neighborhood Water Main Improvements Project, subject to nonsubstantive changes approved by the City Manager and City Attorney, 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $3,786,384, which includes the contract base amount, administration, inspection, testing, and a 15 percent contractual contingency of $436,891. Public Works Water Resources staff monitors the condition of water main pipelines by assessing critical factors such as history of breaks, pipe size, alignment, location, and system redundancy to determine the replacement priorities. The existing 6-inch-diameter cast iron water main located within the Centennial Park Neighborhood, which was installed in the 1950s, has been experiencing a number of significant breaks and leaks, and has been identified for priority replacement (Exhibit 1). Water system improvements will include new 8-inch wafter mains, fire hydrants, water services, and appurtenances. Once this project is completed, water service reliability and general service quality will improve significantly. In addition, the potential for disruption due to water main breaks will be substantially reduced. A Notice Inviting Bids was advertised on February 5 and 11, 2016, and bids were opened on February 25, 2016. The following is a summary of the bid invitations mailed and received, and the bid results: 23A-1 Contract Award for Centennial Park Neighborhood Water Main Improvement May 3, 2016 Page 2 Contractor Participation Data Santa Ana contractors receiving notices 15 Contractors requesting bidding documents 3_6 Bids received _ 17 _ Bids received from Santa Ana contractors 0 Bid Results Summary RANK BIDDER'S NAME LOCATION BASE BID 1 Big Ben, Inc. _ Irvine $2,912,602 2 Stephen Doreck Equipment Rentals, Inc. _ _ Pico Rivera — $3 435,292 3 Christensen Brothers General Engineering A le Valle $3 668,170 4 Ferreria Coastal Construction Co. Chino $3,699,326 5 Dominguez General Engineering Inc. Pomona $3,807,500 6 Kana Pipeline, Inc. Placentia $4,176,000 7 Sully -Miller Contracting Company Brea $4,369,080 8 Excel Paving Com an _ Long Beach $4,396,741 9 Vido Samarzich, Inc. Alta Loma $4,408,900 10 Gwinco Construction & Engineering, Inc Ontario $4,444,584 11 PK Mechanical Systems, Inc. Wildomar $4,450,000 12 Blois Construction, Inc. Oxnard $4,471,512 13 Mike Bubalo Construction Baldwin Park $4,613,200 14 Colich & Sons L.P Gardena $4,729,550 15 GRFCO, INC. Brea $4,670,140 16 Interlog HYM En ineering Anaheim $4 768,583 17 Lonerock, Inc. _ Irvine $5,888,808 A total of seventeen bids were received and all seventeen were considered responsive. Big Ben, Inc., submitted the lowest responsive bid in the amount of $2,912,602 (Exhibit 2). This bid is significantly lower than the Engineer's Estimate of $5,100,000. However, based on a bid analysis and a contractor's performance reference check, staff recommends awarding the construction contract to Big Ben, Inc. (Exhibit 3). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Infrastructure, Objective #1 (establish and maintain a Community Inve assets), Strategy C (invest resources to extend the service life of existing the City's investment and support a high quality of life standard). Community Facilities & stment Plan for all City infrastructure to protect 23A-2 Contract Award for Centennial Park Neighborhood Water Main Improvement May 3, 2016 Page 3 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. 2015-40 will be filed for this project, and a Certification of Categorical Exemption and Statutory Worksheet have been prepared in accordance with the National Environmental Policy Act. FISCAL IMPACT As indicated in the Cost Analysis (Exhibit 4), the estimated total delivery cost of this project is $3,786,384, which includes construction, contract administration, inspection, testing, surveying, and contingencies. Funding is available in the Water Capital Projects Fund (Account No. 06617647-66301) and Water Bond Capital Projects (Account No. 06617620-66301). Preliminary estimates of fiscal year expenditures for this project are as follows and are subject to change: Fiscal Year _ _ Account No Amount 2015/16 06617620-66301 $1,000,000 2016/17 06617647-66301 $ 434,000 2016/17 _ 06617620-66301 $2,352,384 Fr d Mousavipour Executive Director Public Works Agency FM/EWG/TC Exhibits: 1. Location Map 2. Bid 3. Construction Contract 4. Cost Analysis TOTAL: $3,786,384 APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 23A-3 23A-4 23A-6 CITY OF SANTA ANA EXHIBIT 2 PROPOSAL PROJECT NO.09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS AID PROPOSAL TO: CITY COUNCIL OF THE CITY OFSANTAANA Nag PF REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work In accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Bid Item Unit Qtv Unit Price Amount 1. 8" Class 200 AWWA C900 LF 19,700 $ 8 2 -D7/ $ / IS" 44 P.V.C. Water Main —� — � . Construct 1" Water 2. Service and Connect to EA 486 $ /dSD• $> pUp Existing Meter Construct 2" Water 3. Service and Connect to EA 12 Existing Meter 4 8" Resilient Wedge Gate EA _ 40 Valve Fire Hydrant Assembly 5. (includes gate valve and EA 31 $ Lv5 6,w, m $ 66 0, ep lateral pipe) 4" Fire Service form Main 6. and Connect to Existing EA 1 $ 5-,:T d .x $ 300, Detector Check Valve 7 Pavement Replacement SF 8,400 $ 6,db $_ 6,7M,,o (Beyond 1 T-cut) B. 2" Blow Off Assembly per EA 1 Y$_ -� City Std Plan No 1414 9. Traffic Loop Detector EA 10 $ tt 7C%, eV $ 4 `7ti 10. Signing and Striping LS 1 11, Traffic Control LS 1 $ Lp $ d .W 12. CCTV Inspection of Existing Sewer Mains LF 17,700 1. CCTV Inspection of Existing Sewer EA 486 $ Vli �� d $>— �86a/p0 Laterals P-1 ofP-1S 23A-7 CITY OF SANTA ANA PROPOSAL PROJECT NO, 09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS Item Bid Item Unit City Unit Price Amount 14 * Combination Air Valve (As EA 10 Needed) Vertical Offset (As 15. * Needed, Prior Approval EA 10 $ l.��i dr $/�,- �ri,ev From The Engineer Required) 16.* Imported Backfll Material CY 100 $ 8 10 $ u, ��; le" (As Needed) 17. In -Line Insertion Valve EA 10 $ ' 0 $ 7) avv, uv 18. Prepare SWPPP LS 1 $ cD 19.** As-Built LS 1 $ 3 00 $ 35000 TOTAL BID $ t_q Z, 02 00 The lowest responsible bidder shall be selected based on the total base bid, The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). * The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "259/o° limit as stated in Section 3-2 of the Standard Specifications. The actual amount for this Item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. " * Fixed Price Bid Item TIME FOR COMPLETI N OF IMPROVEMENTS AND LIQUIDATED DAMAGES 1Blddgr signature must be shown on same pagg as total bid amount shgyorlgn table) The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within two hundred thirty (g1QJw2ft1,daU after the commencement date stated in the Notice to Proceed. The bidder also proposes to commence construction of the Work within thirty (30) days after issuance of a Notice to proceed, and to continue in a diligent and workman -like manner without interruption, and to complete the construction thereof within the time specified above, The liquidated damages amount in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $1,000 per calendar day. Name of Firm Signature of BIDI Title Y (e" 'i(jej (if an individual, so state) P-2 of P-1 S 23A-8 CITY OF SANTA ANA PROPOSAL PROJECT NO. 09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS BIDDER'S STATEMENT BIDDER understands and agrees that this Bid Proposal, Contract Documents and subsequent Construction Contract Agreement shall constitute the entire agreement between BIDDER and the AGENCY only after it has been accepted by the City Council, endorsed by the Cleric of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Public Works Agency Executive Director or his/her duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to BIDDER or deposited with the United States Postal Service properly addressed to the BIDDER with the correct postage affixed thereto. BIDDER further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish AGENCY all required bonds and certificate of liability insurance within ten (10) business days or the funds, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said funds, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned. BIDDER understands that a bid is required for the entire work, the estimated quantities set forth in the bid schedule are solely for the purpose of comparing bids, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed, The BIDDER also certifies that the bid is a balanced bid, In accordance with Section 7028,1.5 of the California Business and Professions Code, the undersigned certifies under penalty of perjury that the foregoing is true and correct. Name of Firm Signature of BIC Title Y-e Si d (if an individual, so (If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) P-3 ofP-15 23A-9 CITY OF SANTA ANA PROPOSAL PROJECT NO. 09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS CONTRACTOR'S LICENSING and REGISTRATION STATEMENT The undersigned contractor, or corporate officer, declares under penalty of perjury that he/she and all his/her subcontractors are registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Name: Business Address: Business E-Mail Address: C' g7fO Irvlwe 914 &-bL'10Y Irv;,ie (i "o Se-PQbihbrahCvhstr�;koh• ro Telephone: q L1`✓ - L�O o 7p o O State Contractor's License No, and Class: _% 7 q q y y License ��77 Expiration Date: wL - State Dept. of Industrial Relations (DIR) Registration No.: 1 0000 Q 'j t/ b 6 State Dept. of Industrial Relations (DIR) Registration Expiration Date: ,� p " 30 0 Z. Signed: Title: P-A ofP-15 23A-10 CITY OF SANTA ANA PROPOSAL PROJECT NO, 09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS PREVAILING WAGE COMPLIANCE AND MONITORING STATEMENT, Contractor is aware of the requirements of California Labor Code Section 1720, et seq., as well as California Code of Regulations, Title 8, Section 16,000, et seq,, ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects, Since the services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement, Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Contractor shall defend, indemnify and hold the City, Its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. The undersigned certifies that the foregoing is true and correct, Name of Firm 9 1- 4 9 raw 1 1 ( . Signature of BIDDER Title I?re r 1-U e-t fi (if an individual, so state) P-S o£P-15 23A-11 CITY OF SANTA ANA PROPOSAL PROJECT NO.09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS OWNERSHIP AFFIDAVIT STATE OF CALIFORNIA ) COUNTY OF ORANGE ) 55: CITY OF SANTA ANA ) .� (-'D ell "" J !/1 .1 , being duly sworn, deposes and says: INDIVIDUAL That he/she Is the party making the foregoing proposal: ❑ PARTNERSHIP That he/she is a member of the co -partnership firm designated as: and who has been and is duly vested with the authority to make and execute instruments for the copartnership by: who constitute the other members of the co -partnership. CORPORATION That he Is of: �T j a corporation which is making the foregoing proposal: []JOINTVENTURE That he is of: one of the parties making the foregoing proposal as a joint venture, and the he/she has been and is duly vested with the authority to execute instruments for an on behalf of the parties making said bid who are: that such a bid is genuine and not collusive or sham, and has not in any manner sought by collusion to secure any advaage against the City of Santa Ana or any person interested in the proposedVnya for him If or any other person. Signature of Bidder Subscribed and sworn to before me this _.a_ '- day of -'�� 20 L� Signature of officer Administering Oath (Notary Public) P-6 of P-15 SUNGNYE Y. KIM o COMM. Nf 9$4924 � Notary Public California x' Orange County M Comm. Ex Tres Jul 13, 2G16y 23A-12 CITY OF SANTA ANA PROPOSAL PROJECT NO. 09.3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS KNOW ALL PRESENT that, Big Ben, Inc. as BIDDER, and The Ohio Casualty Insurance Company _ as SURETY are held and Rrno bound unto the CITY OF SANTA ANA, as AGENCY, in the penal sum of Ten Percent of Amount Bid Dollars ( 10%of amount bid j yvhlchI is ten pert (1ii/°) Of the Iota! amount bid by BIDDER to AGENCY for the above -stated project, far the payment of which sum, BIDDER and SURETY agree to be bound, jointly and sevt+rally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas BIDDER is about to submit a bid to AGENCY for the above -stated project, it said bid is rejected, or if said bid is accepted and a contract is awarded and entered into by BIDDER in the manner and time specified, then this obligation shall be null and void, otherwise it shall remain in full force and effect in favor of AGENCY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this 10th day of Febr�, 2016 BIDDER* Big Ben, Inc., 473d,9 Irvine Blvd, #105-404, Irvine, CA 92620 SURETY* The Ohio Casualty Insurance Company, 1001 4th Ave, Suite 1700, Seattle, WA 98154 (206-473-3799 �'amela cGarthy, ttorney-ln-Fact, 735 Carne� Drlva, Suite 200, San Bernardino, CA 92408 (909-8'86-8861}'� Subscribed and sworn to be'f/ore meq-I//_ Jr this �F day of „_ G1 , z.t}� • ,d L1.r1gNy{W I ?1, lain ., ._ - - 0 SUNGAYE Y. KIM #1984924 Signature: _ d�''�G Notary Public . California / Orange County M Comm. Ex ires 1u1,l13, 2016 Notary Public in and for the County of C!f rtiv- State of C *Provide BIDDER/ SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. P-7 of'P-15 23A-13 CALIFORNIA ALL-PURPOSE ACKNOWLEDGEMENT 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 San Bernardino On February 10, 2016 before personally appeared Pamela McCarthy of Signer(s) who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to the within instrument and acknowledged to me that she executed the same in her authorized capacity, and that by her signature on the instrument the person, or the entity upon behalf of which the person acted, executed the instrument. e _ _ I certify under PENALTY OF PERJURY under the laws of & °""UCit< ' the State of California that the foregoing paragraph is LAIJRIE 8. DIiUCi( rya;' Commisalon 16 1g02J12 true and correct. a(f Notary public - OalNnrnla z San Bernardino County " WITNESS my hand and official seal. A4y Gomm. Expires Jul 14, 20'I fi �e.r�v�•..y-wear'^�,,..a^ww:.�,..�--=•,tea Signature of Notary Public OPTIONAL Though the information below is not required by law, It may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached Document Title or Type of Document: Document Date: Number of Pages: Signer(s) Other Than Named Above: Capacity(ies) Claimed by Signer(s) Signer's Name: ❑ Individual ❑ Corporate Officer Title ❑ Partner -- ❑ Limited ❑ General ❑ Attorney -in -Fact ❑ Trustee ❑ Guardian or Conservator Other: Signer is Representing: Top of thumb here 23A-14 THIS POWER OF ATTORNEY IS NOT VALID UNLESS IT IS PRINTED ON RED BACKGROUND, This Power of Attorney limits the acts of those named herein, and they have no authority to bind the Company except In the manner and to the extent herein stated. Certificate No. 70485a7 American Fire and Casualty Company Liberty Mutual Insurance Company The Ohio Casualty Insurance Company West American Insurance Company POWER OF ATTORNEY KNOWN ALL PERSONS BY THESE PRESENTS: That American Fire & Casualty Company and The Ohio Casualty Insurance Company are corporations duly organized tinder the laws of the Slate of New Hampshire, that Liberty Mutual Insurance Company is a corporation duly organized under the laws of the State of Massachusetts, and WestAmerican Insurance Company Is a corporation duly organized under the laws of the State of Indiana (herein collectively called the "Companies'), pursuant to and by authority herein set forth, does hereby name, constitute and appolid,- Cynthia J. Young; -Frances Leflor; Jay P. Fresrnan• Laurie B. Drucic Pamela McCarthy; Susan C. Montoon_ _. all of the City of San Bernardino , state of CA each individually if there be more than one named, its true and lawful attorney -In -fact to make, execute, seal, acknowledge and deliver, for and on its behalf as surety and as its act and dead, any and all undertakings, bonds, recognizances and other surety obligations, in: pursuance of these presents and shall be as binding upon the Companies as if they have bass duly signed by the president and attested by the secretary of the Companies in their own proper persons. IN WITNESS WHEREOF, this Power of Attorney has been subscribed by an authorized officer or official of the Companies and the corporate seals of the Companies have been affixed thereto this nh dayof July 2015 rao cnS�, wv vasr,� s, moo„q: rw,ezaR Amercan Fire and Casualty Company The Ohio Casualty Insurance Company Liberty Mutual Insurance Company ea, o airs ntz n o c West merican Insurance Company d w rt + y w C STATE OF PENNSYLVANIA as David M. Carey, Assistant Secretary 2 COUNTY OF MONTGOMERY pr On this AI day of July 2015 before me personally appeared David M. Carey, who acknowledged himself to be the Assistant Secretary of American Fire and Casualty Company Liberty. Mutual Insurance Company, The Ohio Casualty Insurance Company, and West American Insurance Company, and that he, as such, being authorized so to do, m execute the foregoing instrument for the purposes therein contained by signing on behalf of the corporations by himself as a duly authorized officer S IN WITNESS WHEREOF, I have hereunto subscribed name and affixed my notarial seal at Plymouth Meeting, Pennsylvania, on the day and year first above written. pggT Nxwar{``lr COMMONWEALTH OF PENNSYLVANIA Notarial Soal f. P ToMs PNSIB A, NpIF1ly Punts' 1 By: o Plymouth two xpIr.q finery County I Win ounty Teresa nacelle, Notary Public sv Mylymout bMonto Marrs i SYtA? .G Mnmbax Ponnsylvxnin gssocUAnn of Nntules This Power of Attorney is made and executed pursuant loaan-by authority of the following By-laws and Authorizations of American Fire and Casualty Company, The Ohio Casualty Insurance ?do Company, Liberty Mutual Insurance Company, and West American Insurance Company which resolutions are now in full force and effectreading as follows :E Q ARTICLE IV -OFFICERS -Section 12. Power of Attorney, Any officer or other official of the Corporation authorized for that purpose in writing by the Chairman or the President, andsubject rn O to such limitationas the Chairman or the President may prescribe, shall appoint such altemeys-in-fact, as may be necessary to act in behalf of the Corporation to make, execute, seal, 4` O acknowledge and deliver as surety any and all undertakings, bonds, recognizances and other surety obligations. Such attorneys -intact, subject to the limitations set forth In their respective..a powers. of attorney, shall have full power tobind the Corporation by their signature and execution of any such instruments and to attach thereto the seal of the Corporation, When so 'ro of executed, such instruments shall be as binding as if signed by the President and attested to by the Secretary. Any power or authority granted to any representative or attorney -In -fact under >'oo0 the provisions of this article may be revoked at any time by the Board, the Chairman, the President or by [tie officer or officers granting such power or authority. dtk ARTICLE Xill-. Execution of Contracts -SECTION 5. Surely Bonds and Undertakings. Any officer of the Company authorized for that purpose in writing by the Chairman orthepresident, .+ 00 E and subject to such limitations as the chairman or the president may prescribe, shall appoint such. attorneys -In -fact, as may be necessary to actin behelf of the Company to make, execute, M seal, acknowledge and deliver as surely any and all undertakings, bonds, recognizancesand other surety obligations. Stich attorneys -in -fait subject to the limitations set forth In their C respective powersof attorney, shall have full powerlo bind Ina Company by theirsignalure and execution of any such instruments and to attach thereto file seal of the Company. When so u o executed such tnslruments shall be as binding as if signed by the president and attested by the secretary, 019 Certificate of Designation - The President of the Company, acting pursuant to the Bylaws of the Company, authorizes David M. Carey, Assistant Secretary to appoint such altorneys-in. ~ fact as may be necessary to act on behalf of the Company to make, execute, seal, acknowledge and deliver as surety any and all undertakings, bonds, recognizances and other surely obligations Authorization -.By unanimous consent of the Company's Board of Directois, the Company consents that facsimile or mechanically reproduced signature of any assistant secretary of the Company, wherever appearing upon a codified copy of any power of attorney issued by the Company In connection with surely bonds, shall be valid and binding upon the Company with Ilia same force and effect as though manually affixed: k Gregory W. Davenpod, the undersigned Assistant Secretary, of American Fire and Casually Company, The Ohio Casually Insurance Company; Liberty Mutual Insurance Company, and Weal American Insurance Company do hereby certify that the original power of attorney of which the foregoing is a full, true and correct copy of the Power of Attorney executed by said Companies, is in full force and effect and has not been revoked IN TESTIMONY WHEREOF, I have hereunto set my hand and affixed the seals of said Companies this dayof r "' `-''r'K-°C'�"'�,— 20/r�. rNo cnsr IlNsri sin u? G 7966 p o Ia1Jr 791J y U91 T By: o Gregory W, Davenport, Assistant Secretary 23A-15 2teoi500 CITY OF SANTA ANA PROPOSAL PROJECT NO.09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS LIST OE SUB -CONTRACTORS Section 4100 et. seq. of the Public Contract Code requires listing of all subcontractors with the bid for all subcontract work exceeding the following amount: a Streets, highways including bridge projects: X%of the bid or $10,000, whichever is greater o Buildings, parks, or other projects: %:%of the bid Section 1,725.5 of the Public Contract Code requires all Subcontractors be registered with the State Department of Industrial Relations (DIR). BIDDER proposes to subcontract certain portions of the work to the firms listed below: Name 6d""�/j ?�j 4�ej License #/Exp. 5(.9 2g'r ( I /3r m DIR Reg.#/Exp. Y�d�e6e1�Z l/3o%%G Location 04 Vrw��lCnla � y ira 10 Phone �1 $)73/ ~ 04 P 'Iga Type Of Work Amount $�i;� Name License #/Exp, DIR Reg.#/Exp, License # Location ^ Phone Type Of Work Amount $ Name License #/Exp. DIR Reg.#/Exp. License # Location Phone Type Of Work Amount $ Signature of Bidder Name License #/Exp. _ DIR Reg.#/Exp. z� Location Phone Type Of Work Amount $ Name _ License #/Exp. DIR Reg. #/Exp. License # Location_ Phone _ Type Of Work Amount $ Name _ License #/Exp. DIR Reg.#/Exp, License # Location Phone Type Of Work Amount $ P-8 ofP-15 23A-16 CITY OF SANTA ANA PROPOSAL PROJECT NO,99-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which BIDDER has performed water main pipeline work within the past three years, 1, � it � 0 Lv 04tel Name acid Address of Owner. Name and Telephone Number Y, 3 Contract Amount off {p�e�,{rson familiar with project. 11 I. r11e i � (PellyJ\A,, Type of Work A A 4 �01 G DatelCompleted 2. i 1V o 0Y-w,4'. Name andddress of owner. 7` Name and Telephone Num ek! r of p�rspn fa iliar with project. Contract Amount /_ Type of Work Date Completed 3. 6 14 p � o f (-(A J0ydl. Name and'Address of owner, so 11 oe L14 12-� 5- Name and Telephone Number of person familiar with project. I LVA Wi�'�Cr r9 e Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER Intends to procure Insurance and bonds. s r .IWMM P-9 ofP-15 23A-17 CITY OF SANTA ANA PROPOSAL PROJECT NO.09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS NON-COLLUSI N AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone Interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, orto any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non -collusion Affidavit, BIDDERS are cautioned that making a false certification may subject the certifier to criminal prosecution. , Signed State of California County of DrA Subscribed and sworn to (or affirmed) before me on this IlNay of _FPS?_, 20� by S'kari. r proved to me on the basis of satisfactory evidence to be the person(sfwho appeared before me t` comm' UA�� -Act C s Notary Public • California o z Orange County Comm. Ex fires Jul 13, 2016LL Notary Public Signature Notary Public Seal P-t0 ofP-1.5 23A-18 CITY OF SANTA ANA PROPOSAL PROJECT NO.09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS NON-DISCRIMINATION CER�IFI�ATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: 1, The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause, 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin, 3, The Contractor shall send 'to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor, S. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such P-11 ofP-15 23A-19 CITY OF SANTA ANA PROPOSAL PROJECT NO.09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS 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 Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) In every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. B. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section Is subject to all the penalties imposed for a violation of the Chapter. Signed: Title:yr<S i of rr'X 7 Firm: h7h f� h U C, Date: - Y ` 16 P-12 ofP-15 23A-20 CITY OF SANTA ANA PROPOSAL PROJECT NO, 09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS STATEMENT REGARDING, APPRENTICESHIP REQUIREMENT The undersigned BIDDER is familiar with the requirements of Section 1777.5 of the State Labor Code regarding employment of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: 1. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade In the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2. Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards, 3. Contribute to the fund or funds in each craft or. trade in which he/she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the other contractors, except contractors not signatory to the trust agreement shall pay a like amount to the California Apprenticeship Council, Signed: K 11 Title: ?r?S i 411 'l Date:~ (� P-13 ofP-15 23A-21 CITY OF SANTA ANA PROPOSAL. PROJECT NO, 09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS STATEMENT REGARDING "ANTI -KICKBACK" REQUIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti -Kickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CPR, Part 3), This act provides that each contractor or subcontractor shall be prohibited from inducing, by any means, any person employed in the construction or repair of public work, to give up any part of the compensation to which he/she is otherwise entitled. , Signed: zc�' Title: FrPs I'd ell Firm: t✓ 1 °1 l k c Date: P-14 ofP-15 23A-22 CITY OF SANT"A ANA PROPOSAL PROJECT NO, 09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS PUBLIC CONTRACT CODE SECTION 1016?�UE5TIgNNAIRE In conformance with public Contract Code Section 10162, the BIDDER shall complete, under penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary Interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No-1� if the answer is yes, explain the circumstances in the •Following space, P-15 ofP-15 23A-23 MAYOR Miguel A. Pulido MAYOR PRO TEM Vincent F. Sammento COUNCILMEMBERS Angelica Amezcua P. David Benavides Michele Martinez Roman Reyna Sal Tinajero February 19, 2016 ADDENDUM ONE CITY OF SANTA ANA 20 Civic Center Plaza • P.O. Box 1988, M-43 Santa Ana, California 92702 (714)647-5019 www�santa-ana.ar CITY MANAGER David Cavazos CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Marla D. HUlzar SUBJECT: PROJECT NO. 09-3213: CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS The following changes/clarifications have been made to the specifications of the subject project: 1. STREET SWEEPING AND DUST CONTROL REQUIREMENTS Add: The Contractor shall provide and operate a self -loading motor sweeper with spray nozzles every day, beginning 1 /2 hour prior to the end of construction activities, for the purpose of keeping the entire project site clean as acceptable to the City Engineer. The contractor shall furnish and install all temporary piping, pump(s), valves and fittings necessary to distribute the water where required for the control of dust as considered necessary for the safety and convenience of the traveling public, for the reduction of dust nuisance to adjacent property and for other purposes as directed by the Engineer. The use of pressure pumps and spray bars on all sprinkling equipment used for the application of dust palliative will be required. The use of gravity flow spray bars and splash plates will not be permitted. These items shall be included in other items of work and no additional compensation will be allowed. 2. POLYVINYL CHLORIDE (PVC) WATER MAIN PIPE AND APPURTENANCES Page 37, 2ND paragraph This work shall include constructing AWWA C900-97, Class 200 DR14, PVC Water Main, and appurtenances complete and in place, of the size and class, and to the alignment and grade indicated on the plans. Fittings shall be gray or ductile iron conforming to AWWA Standards and shall be push -on -joint (P.J.), mechanical joint (M.J.) or flanged (FLG) except where noted otherwise, 1 of 2 SANTA ANA CITY COUNCIL ABquel A Puhdo Vlm'.'A f sarrzucnfo M11h1k fiBtlniei Al,,1611 A,11111 a P W.na BannwCes IYumnr Reyn, sal Tina,ero hfayo Alayw Prq TFl n Mod I Waa, t Wa I a W i f Wag 5 W F mI,10fAkS9�L�9^S ..t 449 nec�sa tl-AIego,n "al drl01v"U, o tq:"3J19 Anu�+W hJ J14uFl.�f is a lb 23A-24 Replace with: This work shall include constructing AWWA C900, Class 235 DR18, PVC Water Main, and appurtenances complete and in place, of the size and class, and to the alignment and grade indicated on the plans. Fittings shall be gray or ductile iron conforming to AWWA Standards as noted on the plans unless noted otherwise, 3. QUESTION: Specifications page mentions all fittings to be Push On Joint and Flanged, but Plans call out all fittings to be Mechanicals Joint and Flanged. Response: All Fittings shall be installed as noted on the construction plans. 4, QUESTION: In Special Provision Section 7.03 page 32, 51h paragraph, last sentence, it is stated "Contractor shall supply new sewer manhole frame and covers, sewer cleanout frame and covers, concrete rings and water valve pot frame, canister and lids per City standard plans." Is this meant to mean we need to replace all these items on the project? Or is this meant to mean to replace them as they are either damaged by our work or found to be damaged? Response: All utility covers, frames, concrete rings, canister and lids impacted by contractor activities shall be replaced and adjusted to grade. FOR THE CITY CIF-S'ANTA ANA Edwin "William" City Engineer 2of2 5ANTA ANA CrrY COUNCIL Mrgum A. PWId. W..w F-. 3a,mrenly Mmht© Ma6"Le, A M,., Arnez[ua P DMW NIIM,des Numan Rey". Sal ➢nyero May., May.1 o.fe ,Wards Ward". Wwd3 W.1d4 Wa,d5 Wa,d6 �IL�.4�,J�Sa.W� „Gaf_NPnla. a5ag14. dnd.4f9 91 �&F�,ti1131N^3i,4J d29S34y3C,Psant:+-um.o,u 6 16 ('U 1 91M9 e�Si'tl�'dllU_a aL419 SptklS kn1,1, is u, - I9 23A-25 MAYOR Miguel A. Pulidu MAYOR PRO TEM Vincent F. Sanniento COUNCILMF_MBERS Angelica Ainezcua P. David Benovides Michele Martinez Roman Reyna Sal Tinaiero February 19, 2016 ADDENDUM TWO CITY OF SANTA ANA 20 Civic Center Plaza * P.O. Box 1988, M-43 Santa Ana, Califtania 92702 (714)647-5019 w�ary CITY MANAGER David Cavazos CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Huizar SUBJECT: PROJECT NO. 09-32113: CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS The following changes/clarifications have been made to the specifications of the subject project: 1. TRENCH BACKFILL Bid Plans, Sheet 26 of 26, Detail 3 Typical Trench: Does the entire trench need to be backfill with Imported Sand? Yes, the entire trench needs to be backfill with imported Sand (SE 30), except for the 4" section of Crushed Miscellaneous Base (CMB). Both sections will need to be compacted to a relative compaction of 90%. These items will be paid under water main construction and no additional compensation will be allowed. Use of Mechanical Joint fittings has been the specified fitting end configuration (in lieu of Push On Joints), per the construction bid plans. Some details reference use of Retainer Rings only for the Mechanical Joint Fittings (Unrestrained) for abandonments, with use of concrete thrust restraints. For mainline fittings, valves and hydrant laterals etc: Does district want to Use mechanical joint with standard mechanical joint gland pack (unrestrained) or will the district require a restrained fitting with the use of a Megalug/Stargrip/Romagrip restraint? 1 of 2 SANTA ANA CITY COUNCIL Ntp,4 A Nil& VNncdnf P. Sarnnenia Mwrvv'te MazbnpC NryULta Murzuu, f, Uavd RUYna eel Yumfem Maw Afi or Pm i t Warcf f up, Wdra as ana o9 V � s av)van nn eq f fa +rna.Ur•+ veynP' W,N,dI Va 1( nP add -Am .tix� %sarcr pntU9A a a.a u,g(y �',(f]} ll;�g 5_IO lu 3.4S1�+1 L..4-0Ryl9 23A-26 Response: The use restrained fittings such as: mega lug and romac grip pipe restraints is allowed. No E-Z flange or similar screw type restrainers will be allowed. FOR THE CITY OFSWNA dwin "William" Galvez, P.E. City Engineer 2of2 SANTA ANA CITY COUNCIL. ki.,M A. Pui do Vincent F_ $vrmipnlo M¢h&k M81911¢x Angd,i . Ampzp�a P r mnd GanrwNes flmm.n Raynn Sal ➢na�em Mayo, Mayor No TRIP, Wald 1 Ward 2 wartl J Ward d Ward 5 W am 6 nal!f?Vp�'S1.ls_R4 iiSfnyVny9.'S.ar(a.enf q.9 nmciLwtP—A ytilorl �?i�ry.LaVP:9 S?]. la iJ.etWV dbe{ii�:9e5. A.va ltvanii.43 51n11MP- l tla:any,R) 23A-27 23A-28 CITY OF SANTA ANA EXHIBIT 3 CONSTRUCTION CONTRACT PROJECT 09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS This CONSTRUCTION CONTRACT is made and entered into this 19a' day of April, 2016, by and between the CITY OF SANTA ANA, CALIFORNIA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "CITY" and Big Ben, Inc., hereinafter referred to as "CONTRACTOR". WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and famish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Project No, 09-3213: Centennial Park Neighborhood Water Main Improvements identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents," as defined by the Standard Specifications for Public Works Construction and which include the following: • ...Notice Inviting Bids • ...Instructions to Bidders • ...Bid Proposal • ...Bid Bond • ...Contract Forms • ..Contract Bonds • ...General Provisions • ...Special Provisions • ...Technical Provisions • ...Project Plans • ...Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete Project No. 09-3213: Centennial Park Neighborhood Water Main Improvements the Burn total amount not to exceed $2,912,602, as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A". The BID PROPOSAL contains a schedule of unit price(s) or hump sun(s) based on approximate Page 1 of 3 23A-29 CITY OF SANTA ANA CONSTRUCTION CONTRACT PROJECT 09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. 4. CONTRACTOR agrees to complete the Project No. 09-3213: Centennial Park Neighborhood Water Main Improvements within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A") including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the Project No. 09-3213: Centennial Park Neighborhood Water Main Improvements a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100%) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100%) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond equal to at least ten (10%) percent of the final Contract price or $1,000, whichever is greater (Warranty Bond). 7. CONTRACTOR shall, upon project completion as a condition of project acceptance, famish a Warranty Payment and Performance bond to be approved by the CITY, in the amount of Twenty -.Five Percent (25%) of the Contract price, to warrant the work done under said Contract Agreement against material or quality defects for a period of one year after acceptance by the AGENCY. s. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. // Page B of 3 23A-30 CITY OF SANTA ANA CONSTRUCTION CONTRACT PROJECT 09-3213 CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney B w Sandoval Chief Assistant City torney CITY OF SANTA ANA DAVID CAVAZOS City Manager RECOMMENDED FOR APPROVAL: Fred Mousavipour, P.E. Executive Director, Public Works Agency CONTRACTOR: Big Ben, Inc. By: _ Title: Page 3 of 3 23A-31 23A-32 COST ANALYSIS CONSTRUCTION OF CENTENNIAL PARK NEIGHBORHOOD WATER MAIN IMPROVEMENT Construction Contract Contract Administration Inspection and Testing Contingencies $2,912,602 $195, 382 $241,509 $436,891 TOTAL ESTIMATED DELIVERY COSTS 07 44A 23A-34 CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: DONATION AGREEMENT WITH CHARITABLE VENTURES OF ORANGE COUNTY (STRATEGIC PLAN NO. 5,4) 4 CITY MANAGE Ia*0101mIIT, 121k,I CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1st 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 Charitable Ventures of Orange County for a one-time donation amount of $1,000, subject to nonsubstantive changes approved by the City Manager and the City Attorney. DISCUSSION On August 4, 2015, City Council adopted Resolution 2015-042 establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. This resolution and policy outlines the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Councilmember Roman Reyna recommends to appropriate $1,000 to Charitable Ventures of Orange County to support the Santa Anita Neighborhood Association's series of movie nights to begin on Friday, June 17, 2016, in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 25A-1 Donation Agreement with Charitable Ventures of Orange County May 3, 2016 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the fiscal year 2015-16 General Non -Departmental account (01105015-62300). The $1,000 will be spent from Councilmember Roman Reyna's appropriated amount for FY 2015-2016. APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits; 1. Donation Request Form 2. Donation Agreement 25A-2 City of Santa Ana Donation Request City Manager's Office - M-31 20 Civic Center Plaza Y.O. Box 1988 Santa Ana, CA 92702 (714) 647-,5200 ,Name: :Felipe Guerrero Inns: Mr. Address: 204 N.Susan Street city, state, zip: 'Santa Ana, CA 92703 Phone: (714) 265-2071 ;Email: godfnano@aol.com Fax: _ -- - - Name: (Santa Anita Neighborhood - account with Charitable Ventures of OC (501(c)(3) - CVOC Tax•Exompt Status: Is your organization a non-profit or public tax-exempt organization as select One: ;defined under Section 501(c)(3) of the Internal Revenue Code? a Yes ® No approved, credit may or may notcoveucostofrequestedCityservices, vary If Yes, If o, you w l on y qua 1 ore credit or City -re ate costs ar your request (i.e. permit fees, staff time, rental rates for facilities or equipment, etc. ,Costs for Cif services and if Tax ID tt: CVOC-LO-$756660 !city Services Credit Amount Requested: $ Date Needed: ,June 1, 2016 MayodCouncilmember: (Rayne Direct Payment Amount $1 000 !Event Date: :June 17, 2016 jEvent Time: 6 pm - 9 pm (Requested: , !Event Location: ,Santa Anita Park - 300 S. Figueroa Street SA,CA 92703 Address, City, State, Zip i iSeries of summer of 2016 movie nights for Santa Anita community inclulding borrowing city of !movie equipment when possible and / or renting movie equipment- including the Santa Ana (�Description Event t Purpose: showmobile from Parks and Recreation.. The Santa Anita Neighborhood Association has been working with community orgranizations in our area including the !Community Benefit: 'parent group at Russell Elementary to bring residents together, A series of three summer movie nights are planned to �provide a wonderful opportunity forSanta Anita families to come out and get to know each other better. Our initial movie ;night is planned for June 17th with additional movie nights on July 15th and August 12th. ,Applicant Signature: pate: e e a• r a Mail: City Manager's Office —M-31 �Emall: donationrequest@santa-ana,org I 20 Civic Center Plaza Fax: (714) 647.6954 '.P.O, Box 1988 , Santa Ana, CA 92702 Donation Racpwst fl DR ,. _ L ,r «., k wr ,. r��ery cr fiPN Counad Meting Data: FliglbUlcy Mete YES INO Appiovrd ,A,mou`c ci+ y Mlanage r Sjgnatw'e; [iatN, Exhibit, I 2 R A - S Revised 11/16/2015 25A-4 CITY OF SANTA ANA DONATION AGREEMENT WITH CHARITABLE VENTURES OF ORANGE COUNTY 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on MAY 3, 2016 by and between the City of Santa Ana, a municipal corporation ("City") and CHARITABLE VENTURES OF ORANGE COUNTY, a California 501(c)3 NON-PROFIT ORGANIZATION ("Recipient"), City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement, 2. RECITALS 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in HOSTING A SERIES OF MOVIE NIGHTS ("Community Benefit"), The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide funding, 2.2 Public Purpose. The City, by recommendation of COUNCILMEMBER ROMAN RE'YNA, believes there is a public purpose in supporting the Community Benefit because it will HELP BUILD COMMUNITY BY BRINGING RESIDENTS TOGETHER. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3. TERMS AND CONDITIONS 3.1 Use of Funds. The City has chosen to provide Recipient with a one-time payment of ONE THOUSAND DOLLARS ($1,000) for a series of events to begin on Friday, June 17, 2016, because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the funds for such purpose or otherwise comply fully with the terns of this Agreement, City shall have the right to terminate this Agreement and demand the return of the funds pursuant to Section 3.2 below, 3.2 Term; Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect unless and until terminated by the City. The City has the right to tenninate this Agreement upon one day's notice, with or without cause. Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10%) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.3 Waivers. Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of EXHIBIT 2 25A-5 CITY Or SANTA ANA DONATION AGREEMENT — CHARITADLE VENTURES OF ORANGE COUNTY Page 2 of 3 injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on -going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, tosses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers, Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements, The terms and conditions of this Agreement maybe altered, modified or amended only by written agreement signed by both Parties, 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 2 25A-6 CITY OF SANTA ANA DONATION AGREEMENT -- CHARITABLE VENTURES OF ORANGE COUNTY Page 3 of 3 CITY OF SANTA ANA By: David Cavazos City Manager Attest: LN Maria D. Huizar Clerk of Council Approved as to Form: By: Q, w- /Vo iGiG k_ Win M. Funk Assistant City Attorney CHARITABLE VENTURES OF ORANGE COUNTY a 501(c)3 NON-PROFIT ORGANIZATION By: Signature Name Title EXHIBIT 2 25A-7 25A-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: DONATION AGREEMENT WITH RELAMPAGO DEL CIELO, INC. (STRATEGIC PLAN NO. 5,4) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: I_1�:7:ZiDt ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Relampago Del Cielo, Inc. for a one-time donation amount of $2,500, subject to nonsubstantive changes approved by the City Manager and the City Attorney. DISCUSSION On August 4, 2015, City Council adopted Resolution 2015-042 establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. This resolution and policy outlines the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Councilmember Angelica Amezcua recommends to appropriate $2,500 to Relampago Del Cielo, Inc. to support an ongoing performing arts and Mexican folkloric dance program in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 25B-1 Donation Agreement with Relampago Del Cielo, Inc. May 3, 2016 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the fiscal year 2015-16 General Non -Departmental account (01105015-62300). The $2,500 will be spent from Councilmember Angelica Amezcua's appropriated amount for FY 2015-2016. APPROVED AS TO FUNDS AND ACCOUNT . Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: 1. Donation Request Form 2. Donation Agreement 25B-2 City of Santa A F yclDonation Roquess City manacpoe s Office — 4'A31 20 Civic Conker Ptaxe P.O. Box 1088 San Fa Ann, CA 92702 (114) 047.5200 Name: Luz Mdndez Title: Relarripago del Carlo, Inc. Vice President 3750 W, McFadden Suite E City, State, zip: Santa Ana, Ca. 92704 Phone: (951)850-8858 Email: 1pmendezll @aol.com Pax: s-avr s. x=' e.'' .',,.Me K `is r re!�.•i'�.;n Eg' i. < :,:. z ,4,. 1 E u.;f'cc9``-'..#�tvi ate' - pag• del Cielo, Tax -Exempt Status: is your organization a non-profit or public tax-exempt organization as Select one: defined under Section 501(o)(3) of the Internal Revenue Code? 0 Yes ❑ No If No, you will only qualify for a credit for City -related costs foryourrequest(i.e. permit fees, if Yes, P. nx staff time, rental rates forfacilitias or equipment,etc.).Costs for City services vary and if 95-3t783493 approved, credit may or may not cover full cost of requested City services. Tax 1D City Services Credit Date Needed: MayorlCouncilmember: Amazoua Amount Requested: Direct Payment Amount Requested: Event Location: Address, City, State, Zip Description of Event/Purpose: Community Benefit: Applicant Signature: $2,500 Eventuate: April -June 20Event Time: Saturdays, 8:00-1:00 PM 1010 N. Main St. Santa Ana, CA 92701 Orange County School of the Arts/Annex, Purpose: To support the study and proservarron of tmdltional Mexican performing ads through music and holders dance. Our objectives and efforts are reneged on having the children and youth of our community strengthen their cultural pride and sense of self confidence through the instruction of Meedcan folkloric dance. We achieve these goals by providing a structured dance program wilh high quality instruction that demands concentration, hard work and dedication in an enjoyable formal. The organization takes pride in offering classes to children, regardless of their ability to pay by providing scholarships. Community Benefit: During its 40 years of hlatary, Rei3mpago has been earvi.q. a cultural enrkirmoni oarvim to Via community, of Santa Ana, which has shealeusly suppoded and applauded the orgamheflan, euratedems parts=in educallonal, sufloi business and community events tMoughaul Orange County. Relampago inangb believes trial eaching the slutlenlx' famib-edeelod veWea pke dedication, VaUAion, tllsrlpilna and education, will M1ava a posglve inguvnca In 9teirllves and help them reaUi iheV aeaUemic and adlslic gonb. Mail: City Manager's Office — M-31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 Dater ac. Email: donationrequest(-dtsanta-ana.org Fax: (714) 647.U9 4 Exhibit 1 Revised 11/16/2015 25B-4 CITY OF SANTA ANA DONATION AGREEMENT WITH RELAMPAGO D L—C—IELO,—INC. 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on MAY 3, 2016 by and between the City of Santa Ana, a municipal corporation ("City") and RELAMPAGO DEL CIELO, INC., a California 501(c)3 NON-PROFIT ORGANIZATION ("Recipient"). City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in IMPROVING ACADEMICS AND ARTS THROUGH CULTURAL ENRICHMENT SERVICES ("Community Benefit"). The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide funding. 2.2 Public Purpose. The City, by recommendation of COUNCILMEMBER ANGELICA AMEZCUA, believes there is a public purpose in supporting the Community Benefit because it will STRENGTHEN CULTURAL PRIDE AND SELF-CONFIDENCE THROUGH THE STUDY AND PRESERVATION OF TRADITIONAL MEXICAN PERFORMING ARTS, The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Commiuuty Benefit, 3. TERMS AND CONDITIONS 3,1 Use of Funds. The City has chosen to provide Recipient with a one-time payment of TWO THOUSAND, FIVE HUNDRED DOLLARS ($2,500) for an ongoing program that will occur from April 2016 through June 2016, because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the funds for such purpose or otherwise comply fully with the, terms of this Agreement, City shall have the right to terminate this Agreement and demand the return of the fonds pursuant to Section 3.2 below. 3.2 Term; Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect unless and until terminated by the City. The City has the right to terminate this Agreement upon one day's notice, with or without cause, Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10%) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.3 Waivers, Insurance or Other Obligations. For proposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of T 25 2 CITY OF SANTA ANA DONATION AGREEMENT — RELAMPAGO DEL CIE, LO Page 2 of 3 injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on -going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification, Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related. costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Autbority to Enter Agreement, The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 2 25B-6 CITY OF SANTA ANA DONATION AGREEMENT - RELAMPAGO DEL CIELO Page 3 of 3 CITY OF SANTA ANA By: David Cavazos City Manager Attest: By: Maria D. Huizar Clerk of Council Approved as to Form: By: 04 Ix" -FL � ---- J Jn M. Funk ssistant City Attorney RELAMPAGO DEL CIELO, INC. a 501(e)3 NON-PROFIT ORGANIZATION By: Signature Name Title 2'994 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: DONATION AGREEMENT WITH THE AMERICAN CANCER SOCIETY TO SUPPORT RELAY FOR LIFE (STRATEGIC PLAN NO. 5,4) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2"d 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 the American Cancer Society for a one-time donation amount of $500, subject to nonsubstantive changes approved by the City Manager and the City Attorney. DISCUSSION On August 4, 2015, City Council adopted Resolution 2015-042 establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. This resolution and policy outlines the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Councilmember Tinajero recommends the appropriation of $500 to the American Cancer Society to support their Relay for Life event that was held at Santa Ana College on April 23, 2016, in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 25C-1 Donation Agreement with the American Cancer Society May 3, 2016 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the fiscal year 2016-16 General Non -Departmental account (01105015-62300). The $500 will be spent from Councilmember Sal Tinajero's appropriated amount for FY 2015-2016. APPROVED AS TO FUNDS AND ACCOUNTS: �CICC�L` 1�1f . Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: 1. Donation Request Form 2. Donation Agreement 25C-2 ({+' City Manager's Office— M-31 :> City of Santa Ana 20 CIVIC Center Plaza Donation Request P.O. Box 1988 1+,,, Santa Ana, CA 92702 __ (714) 647.5200 INama: (Address: - Icily, State, Zip: Danny Garza 3101 W Cubbon St Santa Ana, CA 92704 adxgarza@yahoo.com ttla: Phone: 1714-206-9084 Fax: Nama: The American Cancer Society lax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as elect One: defined under Section 501(c)(3) of the Internal Revenue Code? If No, you will only qualify for a credit for City-rclatod costs for your request (i.e. permit fees, Yes, �rq staff time, rental rates for facilities or equipment, eta). Costs for City services vary and If If approved, credit may or may not cover full cost of requested City services. ax ID #, 1-7 Yes L1 No 13-1788491 City Services Credit mount Requested: Date Needed: Mayor/Councilmember: Tinajero (Direct Payment Amount Requested: 3rJ®O.00 �EventDa4e �04-23-2016 --�---r--`------ Event Time: ------ ....... E12OO pY71 Event Location: a. [a Ana College Adarass. City, Stato, Zlp 1539 W 17th Street Santa Ana, CA 92706 The American Cancer Society Relay for Life event is a life changing experience that gives everyone to Celebrate the lives of Description of people who have battled cancer, romog&wed loved ones lost, and "Fight Back" against the disease. Funds raised go to Event / Purpose; research, transportation to and rt9in'i"Ireatryll their to ape Lodge facilities to provide a free & comfortable place for patients and caregivers stay eJrytl'�iysaEn stay focused1an getting well. Cancer has touched so gtiy sa/dplc in our cmm�lunf and the Relay for Life event is so inspiring, uplifting, and is a great way to help flight Benefit: this disease. The Aisle can inner Society pmvldo � hotmallon, programs, and services that are available to patients and caregivers. This Is also a great opper pity a to our brave fighters nd caregivers know that they are not alone, they can get educational resources to help them on their Ignnln, , l� y can n1oct other fig Itt9a, and caregivers. (Applicant Signature: �. (Date: 104-18-2016 Return completed fotrm via: Email: donationrequest@santa-ana.org Mail: City Manager's Office—M•31 ( 20 Civic Center Plaza Fax: (714) 647-6954 P.O. Box 1988 Santa Ana, CA 92702 Donation Request Eligibility Met: City Manager Signature: 1♦7;t Council Meeting Date: YES I NO Approved Amount; Date: Revised 11/16/2015 25C-4 CITY OF SANTA ANA DONATION AGREEMENT WITH THE AMERICAN CANCER SOCIETY 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on MAY 3, 2016 by and between the City of Santa Ana, a municipal corporation ("City") and the AMERICAN CANCER SOCIETY, a California 501(c)3 NON-PROFIT ORGANIZATION ("Recipient"). City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in HOSTING A RELAY FOR LIFE EVENT AT SANTA ANA COLLEGE ("Community Benefit"). The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide funding. 2.2 Public Purpose. The City, by recommendation of COUNCILMEMBER SAL TINAJERO, believes there is a public purpose in supporting the Community Benefit because it will HELP SUPPORT THOSE IMPACTED BY CANCER, INCLUDING PATIENTS AND CAREGIVERS. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3. TERMS AND CONDITIONS 3.1 Use of Funds. The City has chosen to provide Recipient with a one-time payment of FIVE HUNDRED DOLLARS ($500) for an ongoing program, because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the funds for such purpose or otherwise comply fully with the terms of this Agreement, City shall have the right to terminate this Agreement and demand the return of the funds pursuant to Section 3.2 below. 3.2 Term; Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect unless and until terminated by the City. The City has the right to terminate this Agreement upon one day's notice, with or without cause. Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10%) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.3 Waivers, Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of MIT6 CITY OF SANTA ANA DONATION AGREEMENT Page 2 of 3 injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on -going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, ackriowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. M11 CITY OF SANTA ANA DONATION AGREEMENT Page 3 of 3 CITY OF SANTA ANA By: David Cavazos City Manager Attest. By: Maria D. Huizar Clerk of Council Approved as to Form: By U, o n M. Funk Assistant City Attorney AMERICAN CANCER SOCIETY a 501(c)3 NON-PROFIT ORGANIZATION 0 Signature Name Title 2 T? 25C-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: DONATION AGREEMENT WITH JAGUAR DIAMOND BOOSTER CLUB TO SUPPORT AN ATHLETIC CLUB AT SEGERSTROM HIGH SCHOOL PROGRAM (STRATEGIC PLAN NO. 5,4) P y / X CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Jaguar Diamond Booster Club for a one-time donation amount of $2,500, subject to nonsubstantive changes approved by the City Manager and the City Attorney. DISCUSSION On August 4, 2015, City Council adopted Resolution 2015-042 establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. This resolution and policy outlines the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Councilmember Tinajero recommends the appropriation of $2,500 to Jaguar Diamond Booster Club to support an ongoing athletic club at Segerstrom High School, in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 25D-1 Donation Agreement with Jaguar Diamond Booster Club May 3, 2016 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the fiscal year 2015-16 General Non -Departmental account (01105015-62300). The $2,500 will be spent from Councilmember Sal Tinajero's appropriated amount for FY 2015-2016. APPROVED AS TO FUNDS AND ACCOUNTS: •a\\\ q A A dam 1 Francisco Gutierrez Executive Director _k Finance and Management Services Agency Exhibits: 1. Donation Request Form 2. Donation Agreement 25D-2 City Manager's Office — M-31 Cityof Santa Ana20 Civic Center Plaza -' Donation Request P.O. Box 1988 Santa Ana, CA 92702 (714) 647-5200 ® • m IName Laurie Tristan ride Treasurer Address: 1942 W. Carol Avenue Cctty state, zip I Santa Ana, CA 92707 Phone: 714-356-3446 (Email: Ijaguarbaseballboosters@gmail.com jFax- ';Name: IJaguar Diamond Booster Club - j Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as e: llccelect One:` under Section 501(c)(3) of the Internal Revenue Code? Yes ❑ No I If fNo,ft you will only qualify for a credit for City -related costs for your request (i.e. permit fees, If Yes, j 4 6 -4 52 6131 stafftime, rental rates for facilities or equipment, etc.). Costs for City services vary and if � !approved, credit may or may not cover full cost of requested City services. (Tax ID #: •e • �a City Services Credit r 1 Is n�a (Date Needed y b June 2016 (Mayor/Councllmember: ITinajero AmountAmountRequested: I I I (Direct Payment Amount (Requested: 1$2,500 (Event Date. !will utilize dona !Event Time: (Event Location: j Segerstrom High School; 2301 W. MacArthur Blvd, Santa Ana, CA 92704 (Address, City, State, Zip i i the Segerstrom High School Baseball program, comprised of ag players and S coaches is one of the top baseball programs in the City of Santa Ana. To (Description of maintain and strengthen the skills of our student athletes, all of our teams, Frosh/Soph, JV and Varsity, play in leagues and tournaments year round Due to the limited funding that our program receives from the school district, our parent booster group looks to community sponsors In order to enhance and support �. Event I Purpose: our student -athletes and baseball program. The donation of funds from the City of Santa Ana would go directly toward supporting our baseball program and be i used an !tams such as baseballs, equipment, field enhancements, and/or tournament fees. Ourplc,aramtl p-mrs. to,. gh-wass in maintaining lessuld,rltl,tlgt tlgp t a. drides proadd,Pn ipating in baseballl M1 ttl tthllo ficaulgold sporlsmensblp and b Itl commissars and sof outerem. Our oeacM1 encouragethe purchase of acetlemks that and the mponance of being a scroll athlete They emphasize the importance of being Benefit goonspad ban, oa and arc the lam antl encr.ragapammparenmwmmunityeewloe.aeeewmg the forcing form the ck,.f.anta Ana will be used on hame such as enhancing our fields, monsoon iCommunit y I came praWlce their skills by playing In tournaments ana provil equipment tar our archanlatustes. This In turn prcvmes a sale environment far ono students to pemolpate in a sport hat they love, strengthens theirselfasleem and fosters positive reletlonsM1lps Win other clla ses coaches, parents, and the greater school community. We appreciate the consideration for tills funding oppotlu or jApplicant Signature: C,"wL&--rr s-u !Date jApril 18, 2016 0 I I 1 -__._—____________._—.____._—__.—_-_—_.—__._ � Mail: city Manager's Office— M-31 I Email: donationrequest@santa•ana.org ! 20 Civic Center Plaza I Fax: (714) 647.6954 P.O. Box 1988 Santa Ana, CA 92702 Donation Request#: DR- Relerence # on al! reiafetl UPf/s ', Eligibility Met: YES I NO City Manager Signature: j Council Meeting Date: Approved Amount: '.. Date: 'll 25D-4 CITY OF SANTA ANA DONATION AGREEMENT WITH JAGUAR DIAMOND BOOSTER CLUB 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on MAY 3, 2016 by and between the City of Santa Ana, a municipal corporation ("City") and JAGUAR DIAMOND BOOSTER CLUB, a California 501(c)3 NON-PROFIT ORGANIZATION ("Recipient"). City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in ENHANCING EXISTING BASEBALL FIELDS AND PROVIDING ADDITIONAL BASEBALL EQUIPMENT ("Community Benefit"). The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide funding. 2.2 Public Purpose. The City, by recommendation of COUNCILMEMBER SAL TINAJERO, believes there is a public purpose in supporting the Community Benefit because it will MAINTAIN AND STRENGTHEN THE SHILLS OF STUDENT ATHLETES. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3. TERMS AND CONDITIONS 3.1 Use of Funds. The City has chosen to provide Recipient with a one-time payment of TWO THOUSAND, FIVE HUNDRED DOLLARS ($2,500) for an ongoing program, because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the funds for such purpose or otherwise comply fully with the terms of this Agreement, City shall have the right to terminate this Agreement and demand the return of the funds pursuant to Section 3.2 below. 3.2 Term; Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect unless and until terminated by the City. The City has the right to terminate this Agreement upon one day's notice, with or without cause. Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10%) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.3 Waivers, Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and 2OITS CITY OF SANTA ANA DONATION AGREEMENT Page 2 of 3 participant waiver/release protections. This right shall be on -going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. M A• • CITY OF SANTA ANA DONATION AGREEMENT Page 3 of 3 CITY OF SANTA ANA By: David Cavazos City Manager Attest: By: Maria D. Huizar Clerk of Council Approved as to Form; By: u-U'Fv,.. �W, J m M. Funk Assistant City Attorney JAGUAR DIAMOND BOOSTER CLUB a 50I(c)3 NON-PROFIT ORGANIZATION m Signature Name Title 26014 25D-8 0 • A i.. CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: CONTRACT AWARD TO WHITE NELSON DIEHL EVANS LLP FOR PROFESSIONAL AUDITING SERVICES {STRATEGIC PLAN NO. 7, 5F) 1 " CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: :'-:• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Award a contract to White Nelson Diehl Evans LLP for professional auditing services, for a two- year period beginning with the fiscal year -ending June 30, 2016 and June 30, 2017, in the amount of $366,675, with a provision for one two-year renewal exercisable by the City Manager, for the for the fiscal year -ending June 30, 2018 and June 30, 2019, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Finance and Management Services Agency (FMSA) is responsible for overseeing the financial statement audits and examinations along with the preparation of the City's Comprehensive Annual Financial Report (CAFR). Annually, the City of Santa Ana utilizes the services of an independent Certified Public Accounting firm to conduct the annual audit of the City's financial statements as well as state and federal grant audits (Single Audit). The audits are conducted in accordance with the generally accepted auditing standards and the Government Auditing Standards issued by the Comptroller General of the United States. The standard annual audits include evaluation of internal controls, determination of compliance to legal requirements, application of General Accounting Standards Board (GASB) requirements, and validation that the City's financial statements are presented in accordance with Generally Accepted Accounting Principles (GAAP) in the United States of America. On February 11, 2016, the FMSA released a Request for Proposals for professional auditing services. A total of six accounting firms submitted proposals; Badawi & Associates, Lance, Soll & Lunghard, LLP, Macias, Gini & O'Connell LLP, The Pun Group, Vasquez & Company LLP, and White Nelson Diehl Evans LLP (WNDE). The six proposals were evaluated and ranked by a Review Committee (Committee) comprised of Executive Director of Finance & Management Services Agency, Assistant Director of Finance & Management Services Agency, Special Assistant to the City Manager, Supervising Accountant, and Senior Management Analyst. The evaluation was based on several factors, including but not limited to the following: 25E-1 Contract Award to White Nelson Diehl Evans LLP for Professional Auditing Services May 3, 2016 Page 2 • Firms' technical qualifications and experience of key members for the engagement team and the firm • Experience with similarly sized governments relative to the City of Santa Ana • Capability of handling all aspects of the audit • Ability to provide continuity of staff from year to year • Thoroughness of auditors proposed scope of work • Clearly defined schedule of work to be performed and ability to meet required deadlines • Reasonableness and competiveness of cost budget Based upon the factors noted above, the Committee selected the top three firms to conduct in person interviews; Lance, Soll & Lunghard, LLP, Macias, Gini & O'Connell LLP, and White Nelson Diehl Evans LLP. Subsequently, FMSA staff interviewed the top three firms. Based on FMSA's evaluation and review of references, White Nelson Diehl Evans LLP was selected as the most qualified firm to conduct the City's annual audit(s) and examinations. They demonstrated strong staffing with high level of technical knowledge regarding all aspects of the City's engagement, and experience in the field of government accounting and auditing with similarly sized governments. The firm has proposed to include two Engagement Partners for both the preparation of the CAFR and Single Audit, which will provide the City with additional technical assistance in complex accounting and auditing matters. Additionally, their highly experienced audit team will allow the City to have a comprehensive, effective, and efficient audit. White Nelson Diehl Evans LLP (WNDE) will conduct the following audits and reviews of the City: • City Audit (CAFR), including management and audit committee letters • Single Audit of Federal Grants • Audit of Air Quality Improvement Program • GANN Limit Review • Compliance Review of the City's investment policy • Preparation of the City's State Controller's Report • Agreed Upon Procedures (if applicable) • Agreed Upon Procedures or other services as requested by the Executive Director of Finance & Management Services Agency As such, staff recommends contracting with WNDE to perform the annual auditing services for a period of two years and the option to renew for an additional two years. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 Team Santa Ana, Objective #5 (Create a culture of innovation and efficiency within the organization), Strategy F (Explore opportunities to engage with outside agencies, both private and public, to share information and increase efficiencies). 25E-2 Contract Award to White Nelson Diehl Evans LLP for Professional Auditing Services May 3, 2016 Page 3 FISCAL IMPACT Funds for these services will be included in the following fiscal years' budget within the accounts noted below along with their respective audit related costs. The allocations are subject to non - substantive changes based on the actual work performed. Year 1 (Audit of FY 2015-16) Fiscal Year Total Amount FY 2015-16 $ 36,000 FY 2016-17 $ 44,000 FY 2016-17 $ 2,275 FY 2016-17 $ 3,475 FY 2016-17 $ 25,000 FY 2016-17 $ 10,000 FY 2016-17 $ 59,880 Total $ 180,630 Year 2 (Audit of FY 2016-17) Fiscal Year Total Amount FY 2016-17 $ 37,000 FY 2017-18 $ 45,500 FY 2017-18 $ 2,350 FY 2017-18 $ 3,580 FY 2017-18 $ 26,000 FY 2017-18 $ 10,500 FY2017-18 $ 61,115 Total $ 186,045 Robert Cortez L, Special Assistant to the City Manager City Manager's Office Accounts 01110110-62300 01110110-62300 01110130-62300 03116510-62300 14018760-62400 67018850-62400 General Fund & Various Grant Funds Accounts 01110110-62300 01110110-62300 01110130-62300 03116510-62300 14018760-62400 67018850-62400 General Fund & Various Grant Funds APPROVED AS TO FUNDS & ACCOUNTS: ° sttQ Francisco Gutierrez kaio 3 Executive Director J Finance & Management Services Agency Exhibit: Professional Services Agreement — Audit Services 25E-3 25E-4 AGREEMENT FOR PROVISION OF FINANCIAL AUDIT SERVICES THIS AGREEMENT, made and entered into this 41h day of May by and between White Nelson Diehl Evans LLP (hereinafter "AUDITOR"), 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 (bereinafter "CITY"). RECITALS A. The CITY issued a Request for Proposals, dated February 11, 2016, for an independent audit of its financial statements and records. B. Pursuant to said invitation, AUDITOR submitted a proposal which is hereby accepted by CITY for provision of said professional service. C. AUDITOR is recognized as a competent and qualified certified public accountant, duly authorized to practice and licensed as such by the California State Board of Accountancy. D. In undertaking the performance of this Agreement, AUDITOR represents that it is knowledgeable in its field and that any services performed by AUDITOR 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 AUDITOR shall perform its Annual Independent Audit for the two fiscal years ending June 30, 2016 through Juice 30, 2017 fiscal years, as set forth in CITY's Request for Proposals, attached hereto as Exhibit A, and incorporated by this reference. Said services shall be performed in accordance with the process set forth in AUDITOR'S Proposal, attached hereto as Exhibit B. The Executive Director of Finance and Management for the City can request that AUDITOR provide other auditing services upon request in lieu of the two agreed upon procedure reviews identified in Exhibit C. In All exhibits referenced herein and attached hereto shall be incorporated by reference as though attached in their entirety. 2. REPRE+SENTATIVES For purposes of implementing this Agreement, the representative of CITY shall be the Executive Director of the Finance and Management Services Agency, or his designated representative, and the representative of the AUDITOR shall be NITIN P. PATEL, CPA Engagement Partner. Except as may be otherwise stated herein, such representatives shall have the authority to act on behalf of their respective parties in carrying out the terms of this Agreement, Page t of 9 25E-5 3. DELIVERY OF WORK PRODUCT - OWNERSHIP AUDITOR warrants and represents that it has the absolute right to enter into and perform this Agreement and will perform its obligations hereunder in accordance with standards and practices prevailing in the industry. AUDITOR's contribution to the Project, including works to be produced, by AUDITOR hereunder, will not infringe or misappropriate the proprietary or personal rights of any third person or party. AUDITOR shall deliver to CITY any work product which results from the services provided, Said work product shall be submitted in hard copy and produced in a form compatible with CITY's information systems, as agreed between the Project Manager and AUDITOR. In regard to all material produced as a deliverable under this Agreement, including but not limited to records, papers, drawings, specifications, programs, systems and other materials prepared by AUDITOR, AUDITOR agrees, for itself and its affected officers, employees, agents, contractors, and volunteer workers, that (a) other such material shall be the property of the CITY, and may not be copyrighted without prior review from the CITY, and (b) the authors of all such material, whether copyrighted or not, award to the CITY, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the AUDITOR, a royalty -free, nonexetusive, irrevocable license throughout the world for governmental purposes to disclose, publish, translate, reproduce, and use such materials. 4. COMPENSATION a. CITY agrees to pay, and AUDITOR agrees to accept as total payment for its services, the rates and charges identified in AUDITOR's Cost Proposal, attached hereto as Exhibit C. The total sum to be expended under this Agreement shall not exceed per fiscal year during the term of this Agreement is FY 2015-16 is $180,630 and FY 2016-17 is $186,045, b, Payments to AUDITOR shall be made within thirty (30) days after receipt by CITY of invoices from AUDITOR, which shall be rendered not more often than monthly. Special examinations, surveys, or detailed reports of any nature outside the scope of this Agreement shall be billed separately by AUDITOR and must be specifically authorized in writing by CITY in advance of such additional services proposed to be provided. 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. 5. TERM The term of this Agreement shall be for a period of two (2) consecutive years, beginning with the fiscal year ending June 30, 2016 and June 30, 2017. CITY shall retain an option in its sole discretion to extend auditing services for one additional two-year period, exercisable by the City Manager, for the fiscal year ending June 30, 2018 and June 30, 2019, subject to non - substantive changes approved by the City Manager and City Attorney. Page 2 of 9 25E-6 6, INDEPENDENT CONTRACTOR AUDITOR 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 AUDITOR performs the services which are the subject matter of this Agreement; however, the services to be provided by AUDITOR shall be provided in a manner consistent with all applicable standards and regulations governing such services, AUDITOR shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes, 7. INSURANCE Prior to undertaking performance of work under this Agreement, AUDITOR shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a, Commercial General Liability Insurance. AUDITOR shall maintain cornmercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occuurence arising out of AUDITOR's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $1,000,000 in the aggregate. Such insurance shall (a) name the CITY, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the CITY; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 combined single limit. Such insurance shall include coverage for owned, hired and non -owned automobiles, c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, AUDITOR, if AUDITOR 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, AUDITOR agrees to obtain and, maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, and $1,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by AUDITOR pursuant to this section: Page 3 of 9 25E-7 (i) AUDITOR shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the CITY upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the CITY. f. If AUDITOR 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 beers procured and is in force and paid for, the CITY shall have the right, at the CITY's election, to forthwith tenninate this Agreement. Such termination shall not effect AUDITOR's right to be paid for its time and materials expended prior to notification of termination, AUDITOR waives the right to receive compensation and agrees to indemnify the CITY for any work performed prior to approval of insurance by the CITY. g. INDEMNIFICATION AUDITOR 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 AUDITOR or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section I of this Agreement; 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 AUDITOR 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 AUDITOR's services are subject to Civil Code §2782.8, the above indemnity shall be limited, to the extent required by Civil Code §2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the AUDITOR. Page 4 of 9 25E-8 9. CONFIDENTIALITY All information gained by AUDITOR in performance of this Agreement shall be considered confidential and shall not be released by AUDITOR without CITY'S prior written authorization excepting that information which is a public record and subject to disclosure pursuant to the California Public Records Act, government Code Section 6250 et sec, AUDITOR, its officers, employees, agents, or subcontractors, shall snot voluntarily provide declarations, letters of support, testimony at depositions, response to interrogatories or other information concerning the project or cooperate in any way with a party who may be adverse to CITY or whom AUDITOR reasonably should know maybe adverse in any subsequent litigation. AUDITOR shall incur no liability under this Agreement for materials submitted by it which are later released by CITY, its officers, employees, or agents. AUDITOR shall also incur no liability for statements made by it at any public meeting, or for any document released by it for which prior written CITY authorization was obtained. If AUDITOR or any of its officers, employees, consultants, or subcontractors does voluntarily provide information in violation of this Agreement, CITY has the right to reimbursement and indemnity from AUDITOR for any damages caused by AUDITOR'S conduct --including attomey's fees. AUDITOR shall promptly notify CITY should AUDITOR, its officers, employees, agents or subcontractors be served with any Suanmons, Complaint, Subpoena, Notice of Deposition, Request for Documents, Interrogatories, Request for Admissions or other discovery requests from any party regarding this agreement and the work performed hereunder. CITY retains the right, but not the obligation, to represent AUDITOR and/or to be present at any deposition, hearing, or similar proceeding. AUDITOR agrees to cooperate fully with CITY and to provide CITY with the opportunity to review any response to discovery requests provided by AUDITOR. However, CITY'S right to review any such response does not imply or mean the right by CITY to control, direct, or rewrite said response. CITY warrants that AUDITOR will have fully met the requirements of this provision by obtaining CITY'S written approval prior to providing documents, testimony, or declarations; Consulting with CITY before responding to a Subpoena or court order; in the case of depositions upon providing Notice to CITY of same; or providing CITY opportunity to review discovery responses prior submission. For purposes of this section, a written authorization from CITY shall include a "faxed" letter. 10. CONFLICT OF INTEREST CLAUSE AUDITOR covenants that neither it nor any officer or principal of their firm have any interests, nor shall they acquire any interest, directly or indirectly which will conflict in any manner or degree with the per£onriance of their services hereunder. AUDITOR further covenants that in the performance of this Agreement, no person having such interest shall be employed by them as an officer, employee, agent, or subcontractor. Page 5 of 9 25E-9 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To CITY: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Facsimile (714) 647-6956 With courtesy copies to: and Executive Director of the Finance and Management Services Agency City of Santa Ana 20 Civic Center Plaza (M-17) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647-5414 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647-6515 To AUDITOR: White Nelson Diehl Evans LLP Certified Public Accountants and Consultants 2875 Michelle Drive, Suite 300 Irvine, CA 92606-5165 (714) 978-1300-Telephone npatel ,wndecoa.com A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above, If sent by facsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. Page 6 of 9 25E-10 12. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the CITY and AUDITOR, 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 AUDITOR, The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the teens and conditions hereof, shall not bind or obligate AUDITOR nor the CITY. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of AUDITOR, AUDITOR 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 If, at any time during the term of this Agreement, CITY determines that AUDITOR is not faithfully abiding by any term or condition contained herein, CITY may notify AUDITOR in writing of such defect or failure to perform; which notice must give AUDITOR a ten (10)-day notice of time thereafter in which to perform said work or cure the deficiency. If AUDITOR has not performed the work or cured the deficiency within. the ten (10) days specified in the notice, such shall constitute a breach of this Agreement and CITY may terminate this Agreement immediately by written notice to the AUDITOR to said effect. Thereafter, neither party shall have any further duties, obligations, responsibilities or rights under this Agreement except, however, any and all obligations of AUDITOR'S surety shall remain in full force and effect, and shall not be extinguished, reduced, or in any manner waived by the termination hereof. In said event, AUDITOR shall be entitled to the reasonable value of its services performed from the beginning of the period in which the breach occurs up to the day it received CITY'S Notice of Termination, less any offset from such payment representing the CITY'S damages from such breach. CITY reserves the right to delay any such payment until completion or confirmed abandonment of the project, as may be determined in the CITY'S sole discretion, so as to permit a full and complete accounting of costs. In no event, however, shall AUDITOR be entitled to receive in excess of the compensation quoted in its bid Page 7 of 9 25E-11 15. ATTORNEYS FEES In the event an action is commenced by either party to enforce any rights under this Agreement, the prevailing party shall be entitled to recover reasonable attorney's fees and court costs, in addition to any other relief granted by the Court. 16. DISCRIMINATION AUDITOR 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 or any activities under this Agreement. AUDITOR affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations, 17, JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES AUDITOR 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. AUDITOR 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. 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. Captions and headings in this Agreement, including the title of this Agreement, are for convenience only and are not to be considered in construing this Agreement. c. All Exhibits referenced herein and attached hereto shall be incorporated as if filly set forth in the body of this Agreement, Page 8 of 9 25E-12 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. CITY OF SANTA ANA ATTEST: MARIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: Sonia R Carvalho Cit4ef Attney By_ SANDOVA Assistant City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT: FRANCISCO OUITERREZ Executive Director Finance and Management Services By: Tax ID# Page 9 of 9 25E-13 EXHIBIT A RFP 16-014 CITY OF SANTA ANA Finance & Management Services Agency 20 Civic Center Plaza Santa Ana, CA 92701 Sergio Vidal Assistant Director of Finance & Management Services Agency (714)647-5295 svI4A!2sa01a-ana.orq KEY RFP DATES (Subject to change): Issue Date: February 11, 2016 Deadline for Questions about RFP: February 19, 2016 Proposal Due Date: March 4, 2016, by 4:00 p.m. Review of Proposals: March 7 - 22, 2016 Projected Award Date: April 5, 2016 25E-14 CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL AUDITING SERVICES 16.014 �C�iiC�7�i7�:7-EMI ♦ a • ¢ � • • NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide Professional Auditing Services. Responses to the Request for Proposal (RFP) will be accepted until FridaMarch 4, 2016 by 4:40 p.m. All notifications, updates and addenda will be posted on the City's online bid management and publication system page at www.santa-ana,org/finance/vendor_registration.asp, Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. MAILED, DELIVERED BY HAND, or COURIERED proposals will be accepted at: City of Santa Ana Attn: Executive Director of Finance and Management Services Finance Department, V Floor 20 Civic Center Plaza M-17 Santa Ana, CA 92701 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding this Request for Proposal shall be made in writing via e-mail to Sergio Vidal at svidal@santa-ana.ora. Enter "PROFESSIONAL AUDITING SERVICES RFP 16-014" as the Subject title on all e-mail correspondence. The receiving time in the Finance Department, 20 Civic Center Plaza, Santa Ana, CA 92701 will be the governing time for acceptability of proposals. Late proposals will NOT be considered and will be returned to proposer unopened. Telegraphic, electronic, and facsimile proposals will not be accepted. ONLY SEALED PROPOSALS ARE ACCEPTABLE. DO NOT E-MAIL RFP RESPONSES. DO NOT FAX RFP RESPONSES. 25E-15 CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL AUDITING SERVICES 16.014 TABLE OF CONTENTS PAGE 1) PROJECT PURPOSE 4 2) BACKGROUND 4 8) SCOPE OF SERVICES 5 4) TIME REQUIREMENTS 7 5) ASSISTANCE TO BE PROVIDED TO THE AUDITOR 8 6) MINIMUM QUALIFICATIONS 8 7) RESPONSE TO RFP 8 8) SELECTION PROCESS AND CRITERIA 10 9) PROTESTS 11 10) RFP TIMETABLE 11 EXHIBIT A - SAMPLE AGREEMENT EXHIBIT B - REFERENCES EXHIBIT C - PROPOSER'S STATEMENT EXHIBIT D - NONCOLLUSION AFFIDAVIT 12 19 20 21 25E-16 CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL AUDITING SERVICES 16.014 1) PROJECT PURPOSE The City of Santa Ana (the City) is requesting proposals from qualified Certified Public Accountant firms to perform its Annual Independent Audit for the two fiscal years ending June 30, 2016 through June 30, 2017, with the option to renew the contract for one additional two- year term for a total of four years. The audits are to be performed in accordance with the provisions contained in this Request for Proposals (RFP). 2) BACKGROUND The City of Santa Ana is a Charter City in the State of California located in northern Orange County. The City was incorporated in 1886 and operates under a Council -Manager form of government. The City currently occupies a land area of 27.2 square miles and serves a population of approximately 335,000. The City is bordered by Garden Grove, Tustin, Orange, Costa Mesa, Fountain Valley, and Westminster. The City's fiscal year begins on July 1 and ends on June 30. The City of Santa Ana is a full service City of approximately 960 full-time and 440 part-time employees with eight (8) agencies (departments). City services include police, water, sewer, road maintenance, recreation, library, planning and building, and engineering services. The City contracted with the Orange County Fire Authority to outsource its fire services in 2012, The City Council is composed of an elected Mayor and six (6) Council Members, A. Fund Structure The following funds and account groups are currently presented in the City's Comprehensive Annual Financial Report: 1. General Fund for the general operations of the City. 2. Nine Internal Service Funds including public works administration, equipment maintenance and risk management. 3. Seven Enterprise Funds including water and sewer. 4. Seven Special Revenue Funds including the Housing Authority Fund. 5. Six Capital Project funds 6. One Debt Service Fund 7. Agency Funds held by the City in a trustee capacity. 8. Private -Purpose Trust Fund for Successor Agency 25E-17 B. Budgetary Basis of Accounting The City's budget is adopted annually by the City Council and is prepared for each fund in accordance with its basis of accounting (generally modified accrual). The City Manager is responsible for preparation and implementation of the annual budget. While all unencumbered appropriations are lapsed at year-end, valid outstanding encumbrances (those for which performance under executory contract is expected in the next year) are re -appropriated and become part of the subsequent year's budget. The City Council and the City Manager have the authority to amend the budget during the year. The City's FY2015-16 total budget is approximately $476 million with the General Fund budget totaling approximately $226 million. The City maintains budgetary controls to ensure compliance with legal provisions embodied in the appropriated budget approved by the City Council. The level of budgetary control is established by function and activity within each fund. C. Component Units The City identified the Successor Agency to the Community Redevelopment Agency as a Fiduciary Component Unit and Housing Authority of the City of Santa Ana and the Santa Ana Financing Authority as Blended Component Units. D. Federal, State and Local Assistance The City receives financial assistance in the form of state and federal programs which vary from year to year. Accordingly, compliance with the Single Audit Act of 1996 and implementing regulations issued by the United States Office of Management and Budget (OMB) Circular A- 133, and the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR Part 200) will be required. E. The City's Comprehensive Annual Financial Reports (CAFR) for the last ten years are available on the City's website at: hitp://www.ci.santa-ana,ca.us/finance/cafr/ The audits of the City for the past eight (8) fiscal years were performed by Macias GIN & O'Connell LLP. It is anticipated that their work papers will be available for review. 3) SCOPE OF SERVICES A. Terms The City is selecting auditors to perform an examination and issue an opinion on the financial statements of all fund types and account groups of the City for the two consecutive years beginning with the fiscal year ending June 30, 2016 with the option for one additional two-year period. 25E-18 B. Auditing Standards to be followed The audits shall be performed in accordance with: • Auditing standards generally accepted in the United States of America as set forth by the American Institute of Certified Public Accountants; • The standards set forth for financial audits in the General Accounting Office's (GAO) Government Audit Standards (1994) Issued by the Comptroller General of the United States, • The provisions of the Federal Single Audit Act as amended; • U.S. Office of Management and Budget (OMB) Circular A-133, Audits of State and Local Governments: • The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR 200); and • Other or new pronouncements or regulations in place now or in the future C, Reports to be issued • Comprehensive Annual Financial Report ("CAFR") — all funds including Fiduciary Funds, Successor Agency and Housing Authority Financial Report • Single Audit of Federal Grants and Other Financial Information • Air Quality Improvement Fund Audit Report • Report on the City's GANN Limit computation • City's Investment Policy Compliance Review • Annual on-line attestation of Financial Data Schedule (FDS) for the Santa Ana Housing Authority • Annual State Controller's Report • Agreed Upon Procedures Report (two annually), to review the City's internal control processes. The scope of review will include but not limited to the following: o Cash handling o Purchasing o Assist in the Development of an Internal Audit Department framework D. The auditor shall assist the City with the finalization of the CAFR. The audit timeline must take into consideration that the City submits the CAFR to the Government Finance Officers Association (GFOA) for review in their Certificate of Achievement for Excellence in Financial Reporting program. The City also requires a management letter containing comments and recommendations regarding the auditor's review and evaluation of the systems of internal control and accounting procedures. E. It is expected that the auditor will be available throughout the year for general consultation regarding matters of accounting. The auditor may be asked to provide guidance on implementation of new GASB and SAS requirements and provide expertise and recommendations regarding specific of Federal and State regulations as to how they may impact local government accounting. If 25E-19 F. If requested, the auditor may be required to meet with staff and Council Members to review the Management Letter and Audit. Attendance at Council meetings may also be requested. G. If requested by the member of the bond financing team, the auditor may be asked to Issue a "consent and citation of expertise" and any necessary "comfort letters" in relationship to City financial statements and auditors' report, which are included in the Official Statement prepared in connection with sale of debt securities. H. Internal Audit Function The City is currently developing an internal audit program via the hiring of an Internal Auditor (Senior Accountnant). Due to the City currently developing its internal audit program, the auditors would be responsible for conducting Agreed Upon Procedures to review the City's internal control processes in addition to the regular annual audit. The scope of the review will be defined by the Finance and Management Services Agency. A report from the auditors would be required giving the scope of the work performed and recommendations the City should implement to improve internal controls in the areas examined. I. Working Paper Retention and Access to Working Papers Working papers are to be retained for a period of five years and are to be made available (upon reasonable notice) to City staff as well as any third parties authorized by the City. J. Subcontracting Should any firm submitting a proposal consider subcontracting portions of the engagement, that fact must be clearly identified in the proposal along with the name of the proposed subcontractor. Following the award of the audit contract, no additional subcontracting will be allowed without prior written consent by the City's Executive Director of Finance and Management Services Agency. 4) TIME REQUIREMENTS It is anticipated that the audit work will be performed in two phases, Interim and Final Fieldwork: A. Interim Fieldwork Interim fieldwork shall take place in late May or early June and would consist of planning and interim audit procedures (such as gaining an understanding of relevant systems, procedures and internal controls, selected compliance and transaction testing, etc.) B. Final Fieldwork Final fieldwork would involve completing the examination of the General Purpose Financial Statements, preparing opinion letters and other relevant financial reports. The final fieldwork Is to begin no earlier than October 1, and shall be completed no later than November 15. This schedule may be altered only by mutual agreement between the City and the auditor. Any proposed audit adjustments must be identified no later than the conclusion of audit field work. C. Draft Reports The CAFR will be prepared by City staff. The Auditor will review the draft CAFR prepared by the City and provide recommendations. The complete final draft of the City and its component units' financial statements, including footnotes and supplementary schedules shall be 25E-20 completed by third week of November. Drafts of the GANN Limit Reports and review of the City's Investment Policy are due no later than November 30. A draft of the management letter is due no later than November 30. The City will review and provide comments or responses to the auditors within 10 calendar days of receipt of each of the draft reports. A draft of Single Audit report is due no later 60 days from the date of the completion of the CAFR. 5) ASSISTANCE TO BE PROVIDED TO THE AUDITOR A. Finance Department and Clerical Assistance City staff will be available to assist in the audit. City staff will prepare any necessary schedules, provide documents (invoices, checks, council meeting minutes, etc.) and prepare all confirmations. In addition, we will be available to respond to any questions which may arise during the audit. B. The City will provide the auditors with suitable workspace, telephone, access to FAX machine and photocopier. 6) MINIMUM QUALIFICATIONS Firms submitting bids shall meet the following minimum qualifications: A. Firm shall have successfully completed audits of a minimum of ten (10) government agencies including cities, in the preceding twelve months. B. Staff assigned to the engagement shall have a minimum of one-year of experience in the audit of municipalities. Managers or supervisors assigned to the engagement shall have a minimum of five years of experience in the audit of municipalities. Partners assigned to the engagement shall have a minimum of five years of experience in the audit of municipalities. C. Firm shall have prepared and issued a minimum of five Single Audit reports in the preceding twelve months. 7) RESPONSE TO RFP A. Submission requirements: Proposals shall contain the following information: 1. A general summary of the audit engagement plan including nature of interim and final fieldwork testing procedures and the extent of support which will be required from City staff (I.e. pulling invoices, checks, schedule preparation, etc.) Due to the City's limited staff, the City will not be able to provide copying services. 2. A discussion of your firm's qualifications and relevant experience including recent experience in compliance auditing under the Single Audit Act. 3. A list of the firm's most significant engagements in the last five (5) years. 4. A discussion of educational background and relevant experience of the Partner, Supervisor(s) and Staff which will be assigned to this engagement. 25E-21 5. A summary of recent audit engagements of other similarly sized governmental agencies, including individuals from four recent engagements whom we may contact for reference. 6. A preliminary schedule including tentative dates for completion of interim and final field work, preparation of financial statements, footnotes, opinion letters and the management letter. 7. A proposed budget including estimated hours for each member of the engagement team, hourly billing rates, out-of-pocket expenses and a total proposed cost for each of the four years. The budget must include an all-inclusive maximum price (including out-of-pocket expenses) for all services outlined in Section 3C of this RFP. The budget should be broken down by the items noted in Section 3C of this RFP by each fiscal year, 8. A listing of billing rates, by staffing level, which would apply to any supplemental services which may be requested by the City during the term of this contract. 9. A statement that the firm is independent of the City and that it is unaware of potential conflicts of interest. 10. An affirmative statement verifying the firm and all assigned key professional staff are properly licensed to practice in California. 1 1, A copy of a report on its most recent external quality control review (peer review), with a statement whether that quality control review included a review of specific government engagements (required by Government Audit Standards). 12. Information on the results of any Federal or State desk reviews or field reviews of its audits during the past three (3) years. In addition, the Proposer shall provide information on the circumstances and status of any disciplinary action taken or pending against the firm during the past three (3) years with State regulatory bodies or professional organizations. 13. A description of limits on liability, if any. 14. A warrant that the firm maintains a prudent amount of errors and ornissions insurance that covers negligent acts and is applicable to the work requested in this RFP. 15. An acknowledgement by signature that the signer is authorized to contractually bind the firm. 16. Any pending legal actions against the firm. 17. Proposer's Statement - Exhibit C 18. Noncollusion Affidavit — Exhibit D B. Sealed Proposals: Proposals to the RFP should be addressed to City of Santa Ana, Finance Department 3`d Floor, 20 Civic Center Plaza M-17, Santa Ana, CA 92701, and are due no later than 4:00 p.m. March 4, 2016 . Five (5) copies of bound and sealed proposals are required. It is the responsibility of the proposer to ensure that the proposal is delivered on time. Any proposal received after the deadline will be disqualified. 25E-22 C. Proposals will be accepted only from parties that are free of all obligations and interests that might conflict with the best interest of the City of Santa Ana, The City will not be liable for any costs incurred in preparing proposals or associated travel costs. The proposer shall furnish the City with such additional information as the City may reasonably require. The City reserves the right to conduct pre -contract negotiations with any or all potential proposers. D. Any questions regarding this Request for Proposal shall be made in writing via e-mail to Sergio Vidal at svidal wsanta-ana.ora. Enter "PROFESSIONAL AUDITING SERVICES RFP 16-014" as the Subject title on all e-mail correspondence. E. Costs for developing proposals are entirely the responsibility of the respondent. F. The respondent grants permission for the City to contact any individuals listed as references. G. All submitted proposals, and information included therein and attached thereto, shall become public records upon receipt by the City Council for consideration of selection of auditor. H. All proposals must be valid for a period of not less than ninety (90) days from the closing date of submission. I. The proposer receiving the award will provide Certificates of Insurance to the City to verify coverage in relationship to these services prior to commencing work. 8) SELECTION PROCESS AND CRITERIA A. Selection Committee All proposals will be reviewed by a selection committee designated by the Executive Director of Finance and Management Services Agency. The selection process will involve the review of the proposal for compliance with the requirements of the RFP, qualifications of the firm and references. Based upon the selection committee's review of the proposals, interviews may be scheduled at the City of Santa Ana City Hall with the most qualified proposers. Finalists will be notified of specific times and will be allowed a total of thirty minutes for their presentation and to answer questions from the selection committee. The selection committee will rank the audit firms and recommend the top ranked firm to the City Council for award of contract, The City is under no obligation to accept any proposal and reserves the right to negotiate with respondents as to fees and terms. The City may reject proposals at its sole discretion. If a proposal fails to satisfy any requirements outlined in this RFP, it may be considered non -responsive and the proposal may be rejected. The audit firms will be ranked based on the following criteria: 1. Technical qualifications and experience of key members of the engagement team and the firm (20%) 2. Experience with similarly sized governmental agencies in providing the types of services outlined in this RFP (15%) to 25E-23 3. Capability of handling all aspects of the engagement as defined as well as providing ongoing support and technical assistance throughout the year (10%) 4. Ability to provide continuity of staff from year to year (10%) 5. Thoroughness of auditors proposed scope of work (10%) 6. Clearly defined schedule of work to be performed and ability to meet required completion dates for key parts of the audit (20%) Reasonableness and competitiveness of cost budget (15%) The award of the contract will not be based on the lowest fee proposed, but on a combination of all of the above factors, 9) PROTESTS Firms may file a "protest" to an RFP with the Finance & Management Services Department. In order for a protest to be considered valid, the protest must: Be filed in writing within five (5) business days of either the RFP issued date or before 5:00 p.m. of the 5th business day following the posting of Notice of Intent to Award Contract on the City's website; 2. Clearly identify the specific irregularity or accusation; 3. Clearly identify the specific City staff determination or recommendation being protested; 4. Specify, in detail, the grounds of the protest and the facts supporting the protest; and 5. Include all relevant, supporting documentation with the protest at time of filing. If the protest does not comply with each of these requirements, it will be rejected as Invalid. If the protest is valid, the Finance Executive Director, or other designated City staff member, shall review the basis of the protest and all relevant information. The Finance Executive Director will provide a written decision to the protestor within ten (10) business days from receipt of protest. The decision from the Finance Executive Director, or her/her designee, is final and no further appeals will be considered. 10) RFP TIMETABLE (SUBJECT TO CHANCE) Issue Date: Deadline for Questions about RFP: Proposal Due Date: Review of Proposals: Projected Award Date: February 11, 2016 February 19, 2016 March 4, 2016, by 4:00 P.M. March 7 — 22, 2016 April 5, 2016 25E-24 EXHIBIT A CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL AUDITING SERVICES SAMPLE AGREEMENT AGREEMENT FOR PROVISION OF FINANCIAL AUDIT SERVICES THIS AGREEMENT, made and entered into this DAY day of MONTH, YEAR by and between NAME OF AUDIT FIRM (hereinafter "AUDITOR"), 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 issued a Request for Proposals, dated DATE, YEAR, for an independent audit of its financial statements and records. B. Pursuant to said invitation, AUDITOR submitted a proposal which is hereby accepted by CITY for provision of said professional service, C. AUDITOR is recognized as a competent and qualified certified public accountant, duly authorized to practice and licensed as such by the California State Board of Accountancy. D. In undertaking the performance of this Agreement, AUDITOR represents that it is knowledgeable in its field and that any services performed by AUDITOR 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 AUDITOR shall provide financial auditing services for CITY's 2OXX-20XX fiscal years, as set forth in CITY's Request for Proposals, attached hereto as Exhibit A, and incorporated by this reference, Said services shall be performed in accordance with the process set forth in AUDITOR'S Proposal, attached hereto as Exhibit B. All exhibits referenced herein and attached hereto shall be incorporated by reference as though attached in their entirety. 2. REPRESENTATIVES For purposes of implementing this Agreement, the representative of CITY shall be, the Executive Director of the finance and Management Services Agency, or his designated representative, and the representative of the AUDITOR shall be NAME TITLE Except as may be otherwise stated herein, such representatives shall have the. authority to art on behalf of their respective parties in carrying out the terms of this Agreement, 12 25E-25 3. DELIVERY OF WORI£ PRODUCT - OWNERSI3IP AUDITOR warrants and represents that it has the absolute right to enter into and perform this Agreement and will perform its obligations hereunder in accordance with standards and practices prevailing in the industry. AUDITOR's contribution to the Project, including works to be produced by AUDITOR hereunder, will not infringe or misappropriate the proprietary or personal rights of any third person or party. AUDITOR shall deliver to CITY any work product which results from the services provided. Said work product shall be submitted in hard copy and produced in a form compatible with CITY's information systems, as agreed between the Project Manager and AUDITOR. In regard to all material produced as a deliverable under this Agreement, including but not limited to records, papers, drawings, specifications, programs, systems and other materials prepared by AUDITOR, AUDITOR agrees, for itself and its affected officers, employees, agents, contractors, and volunteer workers, that (a) other such material shall be the property of the CITY, and may not be copyrighted without prior review from the CITY, and (b) the authors of all such material, whether copyrighted or not, award to the CITY, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the AUDITOR, a royalty -free, nonexclusive, irrevocable license throughout the world for governmental purposes to disclose, publish, translate, reproduce, and use such materials. 4. COMPENSATION a. CITY agrees to pay, and AUDITOR agrees to accept as total payment for its services, the rates and charges identified in AUDITOR's Cost Proposal, attached hereto as Exhibit C. The total sum to be expended under this Agreement shall not exceed $ MAXIMUM PEE per fiscal year, during the term of this Agreement. b. Payments to AUDITOR shall be made within thirty (30) days after receipt by CITY of invoices from AUDITOR, which shall be rendered not more often than monthly. Special examinations, surveys, or detailed reports of any nature outside the scope of this Agreement shall be billed separately by AUDITOR and most be specifically authorized in writing by CITY in advance of such additional services proposed to be provided. 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. 5. TERM The term of this Agreement shall be for a period of two (2) consecutive years, beginning with the fiscal year ending June 30, 2OXX. CITY shall retain an option in its sole discretion to extend auditing services for one additional two-year period. 6. INDEPENDENT CONTRACTOR AUDITOR 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 AUDITOR performs the services which are the subject matter of this Agreement, however, the services to be provided by AUDITOR shall be provided in a manner consistent with all applicable standards and regulations governing such services, AUDITOR shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 7. INSURANCE Prior to undertaking performance of work under this Agreement, AUDITOR shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: 13 25E-26 a. Commercial General Liability Insurance. AUDITOR shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of AUDITOR's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a) name the CITY, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self- insurance programs maintained by the CITY; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $2,000,000 combined single limit. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, AUDITOR, if AUDITOR 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, AUDITOR agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, and $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by AUDITOR pursuant to this section: (i) AUDITOR shall maintain all insurance required above in fall force and effect for the entire period covered by this Agreement, (ii) Certificates of insurance shall be furnished to the CITY upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the CITY. f. If AUDITOR fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the CITY with required proof that insurance has been procured and is in force and paid for, the CITY shall have the right, at the CITY's election, to forthwith terminate this Agreement, Such termination shall not effect AUDITOR's right to be paid for its time and materials expended prior to notification of termination. AUDITOR waives the right to receive compensation and agrees to indemnify the CITY for any work performed prior to approval of insurance by the CITY, 8. INDEMNIFICATION AUDITOR 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 negligence, recklessness or willful misconduct of the AUDITOR or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section I of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the negligence, recklessness or willful misconduct of AUDITOR arising from this Agreement. The AUDITOR further agrees to indemnify, hold harmless, and pay all costs for the defense of the CITY, including fees and costs for special counsel to be selected by the CITY, regarding any action by a third party asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the 14 25E-27 terms of, or effects arising from this Agreement. CITY may make all reasonable decisions with respect to its representation in any legal proceeding. 4. CONFIDENTIALITY All information gained by AUDITOR in performance of this Agreement shall be considered confidential and shall not be released by AUDITOR without CITY'S prior written authorization excepting that information which is a public record and subject to disclosure pursuant to the California Public Records Act, government Code Section 6250 et se . AUDITOR, its officers, employees, agents, or subcontractors, shall not voluntarily provide declarations, letters of support, testimony at depositions, response 'to interrogatories or other information concerning the project or cooperate in any way with a party who may be adverse to CITY or whom AUDITOR reasonably should know may be adverse in any subsequent litigation. AUDITOR shall incur no liability under this Agreement for materials submitted by it which are later released by CITY, its officers, employees, or agents. AUDITOR shall also incur no liability for statements made by it at any public meeting, or for any document released by it for which prior written CITY authorization was obtained. If AUDITOR or any of its officers, employees, consultants, or subcontractors does voluntarily provide information in violation of this Agreement, CITY has the right to reimbursement and indemnity from AUDITOR for any damages caused by AUDITOR'S conduct --including attorney's fees. AUDITOR shall promptly notify CITY should AUDITOR, its officers, employees, agents or subcontractors be served with any Summons, Complaint, Subpoena, Notice of Deposition, Request for Documents, Interrogatories, Request for Admissions or other discovery requests from any party regarding this agreement and the work performed hereunder. CITY retains the right, but not the obligation, to represent AUDITOR and/or to be present at any deposition, hearing, or similar proceeding. AUDITOR agrees to cooperate fully with CITY and to provide CITY with the opportunity to review any response to discovery requests provided by AUDITOR. However, CITY'S right to review any such response does not imply or mean the right by CITY to control, direct, or rewrite said response. CITY warrants that AUDITOR will have fully met the requirements of this provision by obtaining CITY'S written approval prior to providing documents, testimony, or declarations; Consulting with CITY before responding to a Subpoena or court order; in the case of depositions upon providing Notice to CITY of same; or providing CITY opportunity to review discovery responses prior submission. For purposes of this section, a written authorization from CITY shall include a "faxed" letter. 10. CONFLICT OF INTEREST CLAUSE AUDITOR covenants that neither it nor any officer or principal of their firm have any interests, nor shall they acquire any interest, directly or indirectly which will conflict in any manner or degree with the performance of their services hereunder. AUDITOR further covenants that in the performance of this Agreement, no person having such interest shall be employed by them as an officer, employee, agent, or subcontractor. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: 15 25E-28 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 facsimile (714) 647-6956 With courtesy copies to: and To AUDITOR: Executive Director of the Finance and Management Services Agency City of Santa Ana 20 Civic Center Plaza (M-17) P.O. Box 1988 Santa Ana, California 92702 facsimile (714) 647-5414 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 facsimile (714) 647-6515 A patty may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 12, EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the CITY and AUDITOR, 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 AUDITOR. 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 AUDITOR nor the CITY, Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, 13, ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of AUDITOR, AUDITOR 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 find 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, 16 25E-29 14. TERMINATION If, at any time during the term of this Agreement, CITY determines that AUDITOR is not faithfully abiding by any term or condition contained herein, CITY may notify AUDITOR in writing of such defect or failure to perform; which notice must give AUDITOR a ten (10)-day notice of time thereafter in which to perform said work or cure the deficiency. If AUDITOR has not performed the work or cured the deficiency within the ten (10) days specified in the notice, such shall constitute a breach of this Agroement and CITY may terminate this Agreement itmxiediately by written notice to the AUDITOR to said effect. Thereafter, neither party shall have any further ditties, obligations, responsibilities or rights under this Agreement except, however, any and all obligations of AUDITOR'S surety shall remain in full force and effect, and shall not be extinguished, reduced, or in any manner waived by the termination hereof. In said event, AUDITOR shall be entitled to the reasonable value of its services performed from the beginning of the period in which the breach occurs up to the day it received CITY'S Notice of Termination, less any offset from such payment representing the CITY'S damages from such breach. CITY reserves the tight to delay any such payment until completion or confirmed abandonment of the project, as may be determined in the CITY'S sole discretion, so as to permit a full and complete accounting of costs. In no event, however, shall AUDITOR be entitled to receive in excess of the compensation quoted in its bid 15, ATTORNEYSFEES In the event an action is commenced by either party to enforce any rights under this Agreement, the prevailing party shall be entitled to recover reasonable attorney's fees and court costs, in addition to any other relief granted by the Court. 16. DISCRIMINATION AUDITOR 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. AUDITOR affirms that it is air equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations, 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES AUDITOR 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. AUDITOR 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. 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. 17 25E-30 b. Captions and headings in this Agreement, including the title of this Agreement, are for convenience only and are not to be considered in construing this Agreement. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the, parties hereto have executed this Agreement the date and year first above written. ATTEST Clerk of the Council APPROVED AS TO FORTM: City Attorney By: CITY OF SANTA ANA City Manager AUDITOR ME 25E-31 EXHIBIT B CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL AUDITING SERVICES REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer r Address: Contact Individual: Phone Number: Facsimile Number: Contract Amount: Year: Description of supplies, equipment, or services provided: Reference Customer I Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer t Address: Contract Amount: Description of supplies, equipment, or services provided: Contact Individual: Phone Number: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. 19 25E-32 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL AUDITING SERVICES PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and Its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the fallure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City Is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Signed and Printed Name: Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE 20 25E-33 EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL AUDITING SERVICES NONCOLLUSION AFFIDAVIT NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Sig State of California, County of Subscribed and sworn to (or affirmed) before me on this day of 120 by proved to me on the basis of satisfactory evidence to be the persons) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. 21 25E-34 600 a M , I c FOR THE TWO YEARS ENDING JUNE 30, 2017 (WITH AN OPTION FOR THE TWO YEARS ENDING JUNE 30, 2019) Submitted By: 25E-35 TITLE PAGE RFP Subject: Certified Audits on the City of Santa Ana For the Two Years Ending June 30, 2017 (With an Option for the Two Years Ending June 30, 2019) Name of Proposer: White Nelson Diehl Evans LLP Certified Public Accountants and Consultants Local Address: 2875 Michelle Drive, Suite 300 Irvine, CA 92606-5165 Telephone: (714) 978-1300 Fax: (714) 978-7893 Federal Identification Number: 33-0686301 California CPA License Number: PAR 6123 Website: www,wndecpa.com Email: npatel@wndecpa.com Contact Persons: Nitin P. Patel, CPA Engagement Partner Daphnie Munoz, CPA Partner Date: March 4, 2016 25E-36 CITY OF SANTA ANA TABLE OF CONTENTS March 4, 2016 Page Number Letter of Transmittal 1-2 Firm Profile and Qualifications: Firm Organization Chart 3 Licensing and Independence 4 Size and Location of Firm 4 Range of Activities 4 Participation in "Quality Review" Programs 5 Education Programs 5 Participation in Professional Organizations 6 GFOA Award Program 7 Computer Auditing Capabilities 8 Insurance g Partner, Supervisory and Staff Qualifications and Experience: Audit Team g Commitment Related To Personnel 9 Nondiscrimination Policy g Resumes of Audit Team Personnel 10 - 16 Firm Experience with Governmental Entities: Similar Engagements with Other Municipal Entities 17 - 18 City Client References 18 Enterprise Fund Experience 19 Single Audit Experience 20 Experience with Preparation of State -Mandated Reports 20 Special Districts 21 Nonprofit Corporations and Joint Power Authorities 21 Scope of Work, Timing and Audit Approach: Entities to Be Included in Audit 22 Reports to Be Issued and Due Dates 22 Audit Timing 23 Commitment to Deliver Reports on a Timely Basis 23 Audits to Be in Accordance with GAAS and Other Requirements 23 - 24 Audit Approach 24 - 25 Audit Approach Redevelopment Agency/Successor Agency 26 Approach to Internal Control 26 Single Audit Approach 27 Determining Laws and Regulations Subject to Audit 27 25E-37 CITY OF SANTA ANA TABLE OF CONTENTS (CONTINUED) March 4, 2016 Page Number Scope of Work, Timing and Audit Approach (Continued): Method of Sampling Analytical Procedures Management Letters Potential Audit Problems Retention of and Access to Audit Workpapers Other Professional Services Irregularities and Illegal Acts Segmentation of the Audit Hours, By Partner and Staff Level Segmentation of the Audit Hours, By Phases of the Audit Discussion of Relevant Accounting Issues: GASB Statement No. 72 GASB Statement No. 73 GASB Statement No. 74 GASB Statement No. 75 GASB Statement No. 76 GASB Statement No. 77 GASB Statement No. 78 GASB Statement No. 79 Consulting Services Department: Overview of Services Provided Attachment I: Current City Client References Lists of City and Special District Engagements - Performed in the Last 5 Years Attachment II - Results of Outside Quality Review Attachment III - Documents Requested in Request for Proposal: Exhibit B - References Exhibit C - Proposer's Statement Exhibit D - Noncollusion Affidavit 27 28 28 28 28 28 28 29 29 30 30 30 30 31 31 31 31 32 33 25E-38 March 4, 2016 Mr. Sergio Vidal, Assistant Directorof Finance and Management Services Agency City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Dear Mr. Vidal: We are pleased to present our proposal to serve as independent auditors for the City of Santa Ana. We have prepared this information in accordance with the guidelines set forth in your request for proposal. Who We Are White Nelson Diehl Evans LLP is a California certified public accounting and consulting firm with offices in Irvine, Carlsbad and Escondido. Our firm has specialized in providing services to the governmental Industry for over 80 years and has no intentions of discontinuing these services. Why We Are The Best Qualified Firm We consider ourselves to be the best qualified firm to perform auditing and accounting services for the City of Santa Ana. Please consider these qualifications: • A significant part of our practice is devoted to providing professional services to the governmental industry and over the past year, the firm provided services to approximately 100 governmental organizations and on an annual basis our firm issues over 150 reports on audits of local governmental agencies including, Cities, the Successor Agency to Redevelopment Agencies, Special Districts and Joint Power Authorities. • Our firm has devoted a substantial amount of time and resources in order to provide governmental agencies with quality audits. Our knowledge of the industry is best demonstrated by the fact that our clients who apply for the "Certificate of Achievement in Financial Reporting" issued by the Government Finance Officers Association (GFOA) consistently receive that award. A list of these clients is presented on page 7 of this proposal • We are in a professional alliance with BDO Seidman, a National Accounting Firm, and a network of accounting firms allowing us the ability to provide quality attestation services. The BDO Alliance provides us access to BDO's personnel and technical resources which allows White Nelson Diehl Evans LLP to deliver the range of services and capabilities of a large national firm, including the use of specialists to support the needs of our clients. • We are a full service CPA firm. Our Consulting Services Department can provide the City with a variety of services, including investment policy compliance reviews, litigation support, dispute resolution services, and consulting on a wide array of governmental issues. Our audits include extensive use of information technology as described in detail on page 8 of this proposal. 2975 NfichelleDnve, Sture 300, Ironie, CA 92606 -'Iel: 71=1.9'8,1300 > has. 71 9"8,7893 0 jtws loaded to Onwn,e and San I7rzgo G'oro:iier 25E-39 Why_We Are The Best Qualified Firm (Continue, We understand that we provide a service to the City. We are committed to providing an effective and efficient audit that will meet the proposed timing of the project deliverables by assigning experienced governmental auditors. Understanding the size of the City of Santa Ana and the scope of work requested in the proposal, we are proposing an engagement team with extensive governmental audit experience, The staffing plan includes two partners, Nitin Patel, CPA, the engagement partner with 30 years of experience and Daphnie Munoz, CPA, a partner with 18 years of experience, two managers, Kassie Radermacher, CPA and Robert Perl, CPA, with 11 and 10 years of experience, respectively, who will manage the audit and two supervisors, Tiffany Fung, CPA and Jesse Pattison, CPA, with 6 and 5 years of experience, respectively, who will be on -site supervising and performing the audit fieldwork. We are confident that the proposed staffing plan with an engagement team experienced in governmental audits and who are familiar with municipal procedures will result in an effective and efficient audit that meets the project timing and deliverables requirements with minimum disruption to your staff. The scope of our services for the two years ending June 30, 2017 would be as follows: • A financial audit of the basic financial statements of the City of Santa Ana, including the Successor Agency and Housing Authority's transactions, in accordance In with auditing standards generally accepted in the United States of America and Government Auditing Standards issued by the Comptroller General of the United States, to be included in the Comprehensive Annual Financial Report (CAFR), and assistance with the finalization of the CAFR. + A Single Audit of Federal Grants to be performed to meet the requirements of Title 2 U.S. Cade of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirement for Federal Awards (Uniform Guidance). + A financial and compliance audit of the Air Quality Improvement Fund. • An agreed -upon procedures review of the calculation of the City's GANN Appropriations Limit (GANN), as required by Section 1.5 of Article XI IIB of the California Constitution. + A compliance review of the City's Investment Policy. • Preparation and submission of the Sana Ana Housing Authority's Financial Data Schedule • Preparation and submission of the City's annual State Controller's Report. • Two agreed -upon procedures reviews annualy regarding the City's internal control processes, • A management letter containing any comments or recommendations resulting from our review of the systems of internal controls in connection with the financial audits. • A report communicating information related to the audit to those in charge of governance at the conclusion of the audits, We make a commitment to deliver all necessary reports based on the timetable presented herein on page 22, Also, a more detailed discussion of our understanding of the work to be performed is set forth on pages 22 through 29. Our goal is to provide the City with the highest quality of service, including a CAFR which meets all required reporting standards. We are confident that our service and experience will be of benefit to the City and will provide added value over and above the performance of the audit itself. Throughout the year, you should feel comfortable in calling us for advice regarding accounting and auditing matters, as we are never too busy to meet the needs of our clients. We thank the City for the opportunity to present our proposal, Please feel free to contact me, or Ms, Daphnie Munoz, CPA, , at (714) 978-1300 if you have any questions. This proposal constitutes a firm and irrevocable offer for 90 days from the date of this letter. Ms. Munoz and I are authorized to represent ourfirm, and bind the firm to a contract. Very truly yours, WHITE NELSON DIEHL EVANS LLP (�to Nitin R Patel, CPA Engagement Partner 25E-40 FIRM ORGANIZATION CHART * The staffing levels described above have remained fairly constant for the past four years. 25E-41 I,I, CEN INNGG AND INDEPENDENCE Our firm, and all of our certified personnel, are properly licensed to practice public accounting in California. Also, we meet the independence requirements of "Government Auditing Standards", as published by the U.S. General Accountability Office. We have no conflict of interest with the City and will provide written notice to the City of any professional relationships contemplated with the City during our term as auditors. We have not provided auditing or any other services to the City during the past five years. SIZE AND LOCATION OF THE FIRM White Nelson Diehl Evans LLP is a California accounting firm with offices in Irvine, Carlsbad and Escondido. Our firm has approximately 140 employees, which includes 22 partners with separate assurance and tax departments. Your City would be served by the assurance department from our Irvine office, which has approximately 48 professional staff members, including 11 partners, and 14 managers and supervisors. The Irvine Office assurance department staff with governmental experience consists of four partners, four managers, seven supervisors, six seniors and twelve staff accountants. White Nelson Diehl Evans LLP has extensive experience in providing auditing, accounting and consulting services in the governmental sector. Over twenty thousand hours per year are devoted to this area of our practice for over 100 governmental units including cities, successor agencies, special districts, nonprofit corporations and joint power authorities. 1-faaflaffam White Nelson Diehl Evans LLP is a full service CPA firm. We offer a broad range of services, including: Certified Audits Tax Planning and Consulting Compilations and Reviews Income Tax Preparation and Representation Agreed -Upon Procedure Reviews Consulting Services Financial Services Litigation Support Services Our specific services available to governmental agencies are more fully set forth in this proposal. 4 25E-42 In July 2015, our firm underwent a quality review, by an independent CPA firm, under provisions of the AICPA Quality Review Program. This review is required every three years and covered our audits of governmental agencies. A final report dated July 22, 2015 with a pass rating on our systems and procedures was received. A copy of the independent CPA firm's report is included herein at Attachment II. Accordingly, we are confident that our current auditing standards and techniques meet all existing requirements. No regulatory action has ever been taken against any office of our firm due to substandard work. We had no significant deficiencies noted in any federal or state desk reviews over the past three years, �- H-11VA19ki White Nelson Diehl Evans LLP has a formal continuing education program. All firm auditors are required to obtain 80 hours of continuing education every two years in the accounting and auditing area as required by Government Auditing Standards, and at least 24 hours of government related continuing education courses. Our staff is continually expanding their knowledge of the governmental Industry through our in-house training programs, programs offered by the AICPA, GFOA, the California Society of Certified Public Accountants and other professional organizations, and through on-the-job training. Noted below is a description of certain in-house education courses taken by our partners and staff to meet the governmental continuing education requirements. All personnel involved with governmental auditing are required to attend these courses. • Understanding the Risk Assessment Standards ® Understanding of GASB Statement No. 34, Basic Financial Statements - and Management's Discussion and Analysis - for State and Local Governments Understanding, and Auditing, Deposits and Investments of California Governmental Units • Reviews of Internal Controls in Accordance With Statements on Auditing Standards • Assessing Audit Risk and Materiality in Conducting An Audit + Consideration of Fraud in a Financial Statement Audit • Computer Auditing in the Governmental Environment • The Single Audit - New Provisions under Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirement for Federal Awards (Uniform Guidance). • Laws and Regulations in the Government Sector • Understanding GASB Statement54 related to Fund Balance Reporting and Governmental Fund Type Definitions • Understanding GASB Statement 65 related to reporting of Deferred Outflows and Deferred Inflows of Resources • Understanding the new GASB Pension Standards 25E-43 PARTICIPATION IN PROFESSIONAL ORGANIZA11ONS Our partners and staff are actively involved in professional organizations in the governmental accounting field. Noted below is a summary of our participation in various national and California governmental organizations. , Our firm is a member of the AICPA Governmental Audit Quality Center. The Center is a firm -based voluntary membership Center whose primary purpose is to promote the importance of quality governmental audits to purchasers of governmental audit services. The Center provides members with an online forum tool for sharing best practices, as well as discussions on audit, accounting, and regulatory issues. As a member of the Center, the firm receives updates on changes in auditing and accounting standards that effect governmental audits. The quality control partner is required to attend an annual web cast to discuss auditing and reporting issues effecting governmental audits. Our firm uses the resources of the Center to maintain the quality of our governmental audits. Our firm is an associate member of the Government Finance Officers Association of the United States and Canada(GFOA). Also, we have web based access to the latest pronouncements issued by the Governmental Accounting Standards Board (GASB) and the Financial Accounting Standard Board (FASB), including Interpretations, Technical Pronouncements and Newsletters. We regularly analyze these pronouncements and advise our governmental clients of changes in accounting rules. Our Irvine office partners and our Director of Consulting Services are associate members of the California Society of Municipal Finance Officers (CSMFO). Our personnel regularly attend local CSMFO chapter meetings throughout Southern California, and the annual statewide conference. We often provide public speakers for these meetings. CSCPA Several partners and principals of the firm have been members of the Governmental Accounting and Auditing (GAA) Committee of the Orange County Chapter of the California Society of Certified Public Accountants (CSCPA). Mr. Patel, Mr. Ludin and Mr. Morgan have each served as chairman of this committee. Firm personnel have been involved over the years in preparing position papers issued for professional organizations on governmental accounting matters. Currently, Mr. Patel and Mr. Callanan are members of the State Governmental Accounting and Auditing Committee. 25E-44 The partner and manager will be involved in all phases of report preparation or review. Reporting checklists will be used to assure compliance with all reporting requirements. In addition, another member of the firm, not associated with the audit, and with extensive governmental auditing and accounting experience, will review each financial statement audited and related reports. Based on the high quality of our review process, we have been able to assist various clients in obtaining the GFOA "Certificate of Achievement for Excellence In Financial Reporting". The recent clients that have received the award are: Cities: Cities (Continued): Alhambra Palm Desert Bellflower Pico Rivera Beverly Hills Rancho Santa Margarita Burbank San Buenaventura Camarillo San Gabriel Campbell Sanger Colton Signal Hill Costa Mesa Stanton Cypress Tustin Del Mar West Covina Downey West Hollywood Fountain Valley Westminster Gilroy Goleta Special Districts: Hawaiian Gardens Costa Mesa Sanitary District Highland Inland Empire Utilities Agency Lake Forest Las Virgenes Municipal Water District Lakewood Olivenhain Municipal Water District Lancaster Otay Water District Newport Beach Rancho California Water District Santa Ana Watershed Project Authority Yorba Linda Water District 25E-45 COMPUTER AUDITING CAPABILITIES White Nelson Diehl Evans LLP uses technology to make the audit process more effective. We utilize a paperless audit software, ProSystem fx Engagement, which allows us to manage our audit documentation electronically. Some of the benefits of paperless audit are: • Receive the City's schedules in either hard copy or electronic format. • Import and integrate trial balance data from virtually any accounting system. We avoid the time and expense of keying in account numbers, descriptions and account balances. We simply take your electronic trial balance and import it directly into our audit software. • Create our own lead sheets, which can include prior year balances. This helps us to easily identify significant fluctuations between fiscal years. • CAFR schedules are linked to trial balances, CAFR is updated automatically for any last minute journal entries, if any. Our approach includes using IDEA (Interactive Data Extraction and Analysis) which is a data analysis software that can be used to analyze large amounts of information. It allows the firm to extract data from the City's accounting records to tailor specific audit tests based on risk assessments. Some audit procedures that IDEA can be utilized for are: • Mechanical accuracy of worksheets or general ledgers. • Exception and gap/completeness testing for missing check numbers. • Cross checking different data bases for common information such as employee names. • Duplicate testing of invoice numbers. • Completeness of general ledger balances. The firm also has document management software which allows our clients to access our web portal. We utilize the web portal to transfer data files that are confidential or too large to be sent by e-mail. fi�Yliit�ii!Clld The firm has the following insurance coverage: Each Occurrence Aggregate Insurance Type Limit Limit Deductible Umbrella Policy $ 4,000,000 $ 4,000,000 $ 10,000 General Liability 1,000,000 2,000,000 - Auto Liability- Mired & Nonowned (1) 1,000,000 1,000,000 Workers' Compensation 1,000,000 1,000,000 Professional Liability 5,000,000 10,000,000 100,000 (1) Section 7 of the sample contract requires $2,000,000 combined limit for automobile insurance. We would request the City accept our existing automobile liability insurance. 25E-46 •' j ! 11 i a C The audit team assembled consists of individuals who have extensive experience auditing governmental agencies and are familiar with municipal accounting. In addition, each team member's skill and experience developed working in other industries our firm serves can be applied to the individual requirements of the City of Santa Ana.. The personnel assigned to the engagement team are as follows: The engagement partner will be Mr. Nitin R Patel, CPA,. Mr. Patel has over 30 years of experience with audits of local governments. He will be involved with all phases of the audit including (a) the planning phase of the audit to assess risks related to the audit (b) a final review of all the work papers and financial reports, and (c) attending any meetings with City's management and City council at the conclusion of the audit, He will be responsible for assuring that all work for the City is performed in a complete and timely manner. Ms. Daphnie Munoz, CPA, will be the partner in charge of the Single Audit, Ms. Munoz has over 18 years of experience with audits of local governments. She will perform a detailed review of the Single Audit workpapers and assure the Single Audit Is completed in a timely manner. Mr. Robert J. Cailanan, CPA, will be the Technical Review Partner and will perform a quality review of all reports issued in connection with the audit. Mr Calianan has over 26 years of experience with audits of local governments. He will also consult on the accounting treatment of unusual transactions or audit issues. Ms. Kassie Radermacher, CPA will serve as the senior audit manager. Ms. Radermacher has over 11 years of experience with audits of local governments. She will be the primary contact for the City and related audits. Mr. Robert Perl, CPA, will serve as the audit manager responsible for the Single Audit and related reports. Mr. Perl has over 10 years of experience with audits of local governments. They will (a) perform the initial review of the work papers including a review of the work completed related to internal controls, (b) supervise the completion of the financial reports and management letter and (c) assist in the audit of any complex or unusual audit areas. The audit supervisors will be Ms. Tiffany Fung, CPA and Mr. Jesse Pattison, CPA. They have 6 and 5 years of experience with audits of local governments. They will be on -site supervising staff accountants and performing the fieldwork including performing tests of internal controls, substantive tests of account balances, and analytical tests. Resumes for the above partners and personnel are included at pages 10 through 16. We make a commitment to retain the same personnel on the City from year to year, except where such personnel leave the firm, or where the change is approved by the City. If a staff member is replaced, we make a commitment to replace that person with staff of at least equal experience. Our firm has a policy to provide equal employment opportunities to all qualified persons without regard to race, color, age, sex, religion, national origin or handicap. 25E-47 NITIN P. PATEL, CPA Position Engagement Partner Education University of California at Irvine, Bachelor of Arts in Economics California State University at Long Beach Masters of Accounting Program Licensing Certified Public Accountant in California since 1988 Professional Organizations American Institute of Certified Public Accountants California Society of Certified Public Accountants California Society of Municipal Finance Officers (CSMFO) - Associate Member Governmental Accounting and Auditing Committee of Orange County - Committee Chairman (2001-2002) California Governmental Accounting and Auditing Committee Member Range of Experience Has been with the firm since 1986 with emphasis in governmental accounting and financial reporting and is responsible for firm's in-house governmental accounting and auditing training programs. Experience includes supervision of over one hundred audits of governmental agencies including cities, successor agencies/redevelopment agencies, non-profit corporations, joint powers authorities and special districts. CSMFO Report Reviewer for Award Program, GFOA Report Reviewer for Award Program - Certificate of Achievement for Excellence in Financial Reporting. Other experience includes providing consulting services for governmental agencies including special internal control reviews, cost allocation plans, cable television rate reviews, reviews of City Treasurer operations and transient occupancy tax reviews of city hotels/motels. Mr. Patel was the engagement partner on the following local government audits in 2015: Cities: Cities (Continued): Alhambra Stanton Artesia West Hollywood Bellflower Westminster Burbank Colton Special Districts: Costa Mesa Chino Basin Desalter Authority Cypress Costa Mesa Sanitary District Gilroy Cypress Recreation and Park District Lake Forest Inland Empire Regional Composting Authority Laguna Hills Inland Empire Utilities Agency Laguna Woods La Habra Heights County Water District Newport Beach La Puente Valley County Water District Norwalk Orchard Dale Water District Palm Desert Rancho California Water District Rialto Yorba Linda Water District San Gabriel Continuing Professional Education Total hours were 186 in the last three years, of which 144 hours were for meeting the requirements of the Government Audit Standards, 10 25E-48 DAPHNIE MUNOZ, CPA Position Partner Education De La Salle University, Philippines Bachelor of Science in Accounting, 1995 Licensing Certified Public Accountant in California since 2001 Professional Organizations American Institute of Certified Public Accountants California Society of Certified Public Accountants California Society of Municipal Finance Officers (CSMFO) Range of Experience Has been with the firm since 1998 with emphasis In governmental accounting and financial reporting. Other experience includes providing consulting services for governmental agencies Including special internal control reviews, and transient occupancytax reviews of city hotels/motels. CSMFO Report Reviewer for Award Program. GFOA Report Reviewer for Award Program- Certificate of Achievement for Excellence in Financial Reporting. Speaker on numerous presentations of accounting, auditing, tax and personnel topics at in-house training programs and instructor at firm's in-house governmental accounting and auditing seminars. Experience includes of audits of various governmental agencies including cities, successor agencies/redevelopment agencies, water districts, other special districts, non-profit corporations and joint power authorities, including: Cities: Cities (Continued): Alhambra Tustin Buena Park West Covina Burbank West Hollywood Colton Westminster Diamond Bar Downey Special Districts: Goleta Chino Basin Dutcher Authority Healdsburg Coachella Valley Association of Governments Highland Downey Cemetery District Huntington Beach El Toro Water District Irvine Inland Empire Regional Composting Authority Lake Elsinore. Inland Empire Utilities Agency Lancaster Laguna Beach County Water District Mission Viejo Las Virgenes Municipal Water District Newport Beach Midway City Sanitary District Oceanside Municipal Waster District of Orange County Palm Desert Orange County Water District Pico Rivera Placentia Library District San Buenaventura Rancho California Water District San Fernando South Coast Water District Sanger Southeast Area Animal Control Authority Santa Clarita Ventura Port District Yorba Linda Water District Continuing Professional Education Total hours were 177 in the last three years, of which 151 hours were for meeting the requirements of the Government Audit Standards. 25E-49 11 ROBERT J. CALLANANCPA Position Technical Review Partner Education Aquinas College, Grand Rapids, Michigan Bachelor of Arts, Business Administration, 1988 Bachelor of Science, Accounting, 1988 Licensing Certified Public Accountant in California since 1993 Professional Organizations American Institute of Certified Public Accountants - Member California Society of Certified Public Accountants - Member California Society of Municipal Finance Officers (CSMFO) - Associate Member California Governmental Accounting and Auditing Committee Member Range of Experience Twenty-six years with the firm specializing in governmental audit, accounting, and consulting services. Two years of experience as Chief Financial Officer of a mortgage lending corporation. Responsible for the firm's in-house governmental accounting and auditing training programs. GFOA Report Reviewer for Award Program - Certificate of Achievement for Excellence in Financial Reporting. Mr. Callanan was the engagement partner on the following local government audits in 2015: Cities: Camarillo Campbell Del Mar Hawaiian Gardens Norco Pico Rivera Rancho Santa Margarita San Buenaventura Special Districts: Laguna Beach County Water District Pico Rivera Water Authority Pomona -Walnut -Rowland Joint Water Line Commission Rowland Water District Southeast Water Coalition Sunset Beach Sanitary District Surfside Colony Stormwater Protection District Surfside Community Services District Ventura Port District Continuing Professional Education Total hours were 209 in the last three years, of which 157 hours were for meeting the requirements of the Government Audit Standards. 12 25E-50 KASSIE RADERMACHER CPA Position Senior Audit Manager Education West Virginia University Masters of Professional Accountancy, 2005 Bachelor of Science, 2003 Licensing Certified Public Accountant in California since 2010 Certified Public Accountant in Virginia since 2006 Professional Organizations California Society of Certified Public Accountants (CSCPA) Range of Experience Ms. Radermacher has been with the firm since June 2009. Ms. Radermacher has performed all phases of local governmental audits including cities, successor agencies/redevelopment agencies, single audit of federal grants, special districts, compliance audits and agreed -upon procedures engagements. As an audit manager, she is involved with planning the audit, performing fieldwork for all aspects of the audit, supervising staff accountants and preparation of financial statements. Ms. Radermacher served as the Audit Manager on the following local government audits in 2015: City of Artesia City of Bellflower City of Cypress City of Fountain Valley City of Laguna Hills City of Lake Forest City of Newport Beach City of Norwalk City of Rancho Santa Margarita City of Rialto City of San Gabriel City of Stanton La Puente Valley County Water District Lake Elsinore & San Jacinto Watersheds Authority Local Agency Formation Commission (LAFCO) - Orange County Midway City Sanitary District Orchard Dale Water District Orange County Mosquito & Vector Control District PIco Water District Rancho California Water District Santa Ana Watershed Project Authority Yorba Linda Water District Prior to joining the firm, Ms. Radermacher was senior in -charge of compilations, reviews, single audits, and financial audits for non-profit and business clients with Rager, Lehman & Houck, P.C. in Frederick, MD. She was also responsible for educating and monitoring the staff. Continuing Professional Education Total hours were 209 in the last three years, of which 189 hours were for meeting the requirements of the Government Audit Standards. 25E-51 13 ROBERT PERL, CPA Position Audit Manager Education Brigham Young University- Hawaii, Laie, Hawaii Bachelors of Accounting, 2006 Licensing Certified Public Accountant in California since October 2010 Range of Experience Mr, Perl has been with the firm since August 5, 2013. Mr. Perl has performed all phases of local governmental audits including cities, successor agencies/redevelopment agencies, single audit of federal grants, special districts, school districts, tribal councils, and compliance audits. As an audit manager, he is involved with planning the audit, performing fieldwork for all aspects of the audit, supervising staff accountants and preparation of financial statements. Mr. Perl served as the Audit Manager on the following local government audits in 2015: City of Burbank City of Gilroy City of Lancaster City of Rialto Monterey Peninsula Regional Park District In recent years, Mr. Perl has also been involved with the following governmental clients: City of Downey Prior to joining the firm, Mr. Perl was also involved with the following governmental clients: City of Arvin City of Delano City of Tehachapi Kern High School District Tule River Tribal Council Continuing Professional Education Total hours were 208 in the last three years, of which 137 hours were for meeting the requirements of the Government Audit Standards. 14 25E-52 TIFFANY FUNG. CPA Position Audit Supervisor Education University of California, Irvine Bachelor of Economics with a minor in Accounting, 2010 Licensing Certified Public Accountant in California since July 2013 Range of Experience Ms. Fung has been with the firm since March 2011, Ms. Fung has performed all phases of local governmental audits including cities, successor agencies/redevelopment agencies, single audit of federal grants, special districts, and agreed -upon procedures engagements, As an audit supervisor, she is involved with planning the audit, performing fieldwork for all aspects of the audit, supervising staff accountants and preparation of financial statements. Ms. Fung worked on the following local government audits in 2015: Cities: City of Newport Beach City of Norwalk City of Palm Desert City of San Gabriel City of Westminster Special Districts: Inland Empire Regional Composting Authority Inland Empire Utilities Agency Lake Elsinore & San Jacinto Watersheds Authority Santa Ana Watershed Project Authority In recent years, Ms. Fung has also been involved with the following governmental clients: Cities: City of Avalon City of Colton City of Costa Mesa City of Downey City of Tustin City of West Covina Special Distrlcts: Chino Basin Desalter Authority Costa Mesa Sanitary District El Toro Water District Laguna Beach County Water District Rancho California Water District South Coast Water District Walnut Valley Water District Continuing Professional Education Total hours were 159 in the last three years, of which 143 hours were for meeting the requirements of the Government Audit Standards. 25E-53 15 JESSE PATTISON CPA Position Audit Supervisor Education University of Arizona Masters of Accounting, 2011 Bachelors of Science, 2010 Licensing Certified Public Accountant in California since December 2014 Range of Experience Mr. Pattison has been with the firm since August 2012. Mr, Pattison has performed all phases of audits including Non-profit Corporations, Cities, Single Audit of Federal Grants, Special Districts, Compliance Audits, Business Entities, and Agreed -Upon Procedures engagements. He has been involved with planning the audit, performing fieldwork for all aspects of the audit and preparation of financial statements. Mr. Pattison has been involved with the following Non-profit, Governmental and Business clients: Governmental: City of Alhambra City of Artesia City of Bellflower City of Beverly Hills City of Bu rba n k City of Gilroy City of Highland City of Hawaiian Gardens City of La Habra Heights City of Laguna Hills City of Lake Forest City of Newport Beach City of Sanger California Joint Powers Insurance Authority Los Angeles Local Agency Formation Commission Orchard Dale Water District Non-profit Corporations: Boys and Girls Clubs of Garden Grove Casa Romantica Child Abuse Prevention Center Collwood Terrace Human Options, Inc. Westview Services, Inc. Business Entities: Aubrey Group Ganahl Lumber Company Independent Capital Management Ironman Kellogg Supply LeVecke Corporation Meridian Graphics Pacific American Fish, Co. Park West PGP Title, Inc. Pool Water Products Premier Land Title Insurance Security Signal Devices, Inc. Specialist in Customer Software Styles for Less, Inc. Trussed, Inc. Venus Textiles, Inc. Prior to joining the firm, Mr. Pattison was a staff accountant and performed reviews, single audits, and financial audits for non-profit and business clients with Eide Bailly in Phoenix, Arizona. Continuing Professional Education Total hours were 126 in the last three years, of which 87 hours were for meeting the requirements of the Government Audit Standards. 16 25E-54 SIMILAR ENGAGEMENTS WITH OTHER MUNICIPAL ENTITIES Your request for proposal called for similar engagements, We are including 10 similar engagements, listed alphabetically with total staff hours. These are set forth below: Total Engagement Staff City Partner Hours Scone of Work Beverly Hills Ludin 785 City and Single Audits Burbank Patel 715 City, AQMD, Water and Utility Enterprise Fund and Single Audits Colton Munoz 705 City, Single and Child Care Program Audits; State Controller's Report Lancaster Callanan 635 City and Single Audits; State Controller's Reports for City and Power Authority Newport Beach Patel 375 City & Single Audits; State Controller's Report Norwalk Patel 810 City, AQMD, Public Financing Authority, Transit Other Component Units and Single Audits; State Controller's Reports - City & Transit Palm Desert Patel 620 City, RDA, Recreation Authority, Housing Authority and Single Audits Rialto Patel 720 City and Single Audits San Buenaventura Callanan 660 City, RDA Public Financing Authority and Single Audits; State Controller's Report Tustin Munoz 615 City, RDA and Single Audits; State Controller's Report Certified audits were performed on the financial statements of all of these cities and their component units for the past year. 25E-55 17 SIMILAR ENGAGEMENTS WITH OTHER MUNICIPAL E_ALLITIES CONTINUED;! Client references for the cities listed on page 17 are included below. City of Beverly Hills City of Lancaster Mr. Don Rhoads Ms. Pamela Statsmann Finance Director Assistant Finance Director (310)285-2429 (661)723-6038 City of Burbank City of Newport Beach Mr. Dino Balos Mr. Dan Matusiewicz Accounting Manager Director of Finance (818)238-5518 (949)644-3126 City of Camarillo City of Norwalk Mr. Ronnie Campbell Ms. Jana Stuard Finance Director Director of Finance (805)388-5320 (562)929-5056 City of Palm Desert Mr. Paul Gibson Director of Finance (760) 346-0611 City of Rialto Mr. George Harris, II Director of Administrative and Community Services (909) 421-7219 City of San Buenaventura Ms. Bridgette Mclnally Accounting Manager (805)654-7892 City of Tustin Ms. Jenny Leisz Finance Manager (714) 573-3079 A complete list of similar engagements for the past five years is included in Attachment I of this proposal. CITY CLIENT REFERENCES One means of judging the high quality of our auditing and accounting services would be contact with some of our clients over the past year.. We are including the names and phone numbers of the city clients as presented in Attachment I of this proposal. We encourage you to contact any of these individuals and verify our level of service. 18 25E-56 ENTERPRISE FUND EXPERIENCE Most cities audited by our firm have a water utility enterprise fund, Noted below is a partial listing of other enterprise funds audited by our firm in recent years: City Enterprise Alhambra Water, Sewer, Storm Drain, Sanitation, Golf Course Artesia Residential Refuse Service Bellflower Water Beverly Hills Water, Solidwaste, Wastewater, Stormwater Burbank Water Reclamation, Sewer, Golf, Electric Utility Water Utility, Refuse Collection and Disposal Camarillo Water, Sanitary, Solidwaste, Transit Colton Electric Utility, Water Utility, Wastewater Utility Cypress Sewer Del Mar Water, Wastewater, Cleanwater Downey Water, Sewer, Golf Course, Transit System Fountain Valley Water, Solidwaste Gilroy Water, Sewer Hesperia Water, Sewer Laguna Hills Property Leasing Lakewood Water Lancaster Power Authority Newport Beach Water, Sewer Norco Water, Sewer Norwalk Transit System, Water, Sewer; Golf Course Palm Desert Golf Course Pico Rivera Water, Sports Arena, Golf Rialto Airport, Cemetery, Recreation, Wastewater, Water San Buenaventura Water, Sewer Sanger Water, Sewer, Disposal, Ambulance Signal Hill Water Stanton Sewer Tustin Water West Covina Simulator, Computer West Hollywood Sewer District, Sewer Charge, Solid Waste, Landscape District and Street Maintenance Westminster Water 25E-57 19 SINGLE AUDIT EXPERIENCE We perform single audit services for most of our cities and special districts that receive federal funds as required by the Uniform Guidance. In recent years, Single Audits were performed for the following cities and special districts. Cities: City of Alhambra City of Artesia City of Bellflower City of Beverly Hills City of Burbank City of Camarillo City of Campbell City of Colton City of Costa Mesa City of Cypress City of Del Mar City of Downey City of Fountain Valley City of Gilroy City of Goleta City of Hawaiian Gardens City of Hesperia City of Highland City of La Habra Heights City of Laguna Hills Special Districts: Inland Empire Utilities Agency Las Virgenes Municipal Water District Qlivenhain Municipal Water District Rancho California Water District Valley Wide Recreation and Park District City of Laguna Woods City of Lake Forest City of Lakewood City of Lancaster City of Newport Beach City of Norco City of Norwalk City of Palm Desert City of Pico Rivera City of Rancho Santa Margarita City of Rialto City of San Buenaventura City of San Gabriel City of Sanger City of Signal Hill City of Stanton City of Tustin City of West Covina City of West Hollywood City of Westminster We have experience with the preparation of various state -mandated reports, such as the State Controller's Report and the Annual Street Report. the state mandated reports, in recent years, for Goleta, La Habra Heights, Laguna Hills, Lancaste Sanger, Tustin and West Hollywood. Specifically, with regard to cities, we have prepared he Cities of Alhambra, Bellflower, Colton, Del Mar, Norco, Norwalk, Pico Rivera, San Buenaventura, 20 25E-58 SPECIAL DISTRICTS Noted below is a listing of special districts audited by our firm In recent years: Borrego Water District Calleguas Municipal Water District Chino Basin Desalter Authority Chino Basin Regional Financing Authority Costa Mesa Sanitary District Cypress Recreation and Park District Downey Cemetery District El Toro Water District Grossmont Healthcare District Heber Public Utilities District Inland Empire Regional Composting Authority Inland Empire Utilities Agency La Habra Heights County Water District La Puente Valley County Water District Laguna Beach County Water District Lake Elsinore and San Jacinto Joint Powers Authority Las Virgenes Municipal Water District Leucadia Wastewater District Midway City Sanitary District Monterey Peninsula Regional Park District Olivenhain Municipal Water District Orange County Development Authority - Eco-Rapid Transit Orange County Vector Control District Orchard Dale Water District Otay Water District Padre Dam Municipal Water District Pico Water District Placentia Library District Rancho California Water District Rincon del Diablo Municipal Water District Rowland Water District Santa Ana Watershed Project Authority South Coast Water District South County Regional Wastewater Authority Sunset Beach Sanitary District Surfside Colony Stormwater Drainage District Surfside Community Services District Vallecitos Water District Valley Wide Recreation and Park District Ventura Port District Yorba Linda Water District NONPROFIT CORPORTIONS AND JOINT POWER AUTHORITIES Noted below is a partial listing of nonprofit corporations and joint power authorities audited by our firm over the past year. Some of these entities are "component units" which are combined into the basic financial statements of governmental organizations which exercise oversight responsibility. American Family Housing Anaheim District of the Churches of the Nazarene Cal State L,A. Metrolink Authority California Transplant Casa de las Campanas Casa Romantica Cultural Center Child Abuse Prevention Center Palm Desert Recreational Facilities Corporation Pomona -Walnut -Rowland Joint Water Line Commission Public Cable Television Authority The RARE Project Trinity Children's Foundation Trinity Youth Services United Cerebral Palsy Association Valencia Heights Water Company Westview Services, Inc. 21 25E-59 ENTITIES TO BE INCLUDED IN AUDIT City of Santa Ana Successor Agency to the Community Redevelopment Agency Housing Authority of the City of Santa Anan Santa Ana Financing Authority BEPQBTS TO BE ISSUED AND DUE DATES Draft Final Due Dates Due Dates Independent Auditor's Report on the City's Comprehensive Annual Financial Report N/A December 10 Management Letter November 30 December 10 Audit Committee Letter November 30 December 10 Report on Compliance with Article XIIIB Appropriation Limit (GANN Limit Review) November 30 December 10 Single Audit Reports: 2 weeks 60 days after Before Completion of Due Date the CAFR + Independent Auditors' Report on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance With Government Auditing Standards s Independent Auditors' Report on Compliance for Each Major Program and on Internal Control Over Compliance Required by the Uniform Guidance and on the Schedule of Expenditures of Federal Awards. Air Quality Improvement Fund - Annual Financial Report November 30 December 10 Review of the City's Investment Policy November 30 December 10 City's State Controller's Report N/A January 31 Housing Authority's Financial Data Schedules 60 days after Completion of N/A the CAFR Agreed -Upon Procedures Reviews TBD TBD N/A - Not Applicable TBD - To be Determined 22 25E-60 Assuming that the City's books are closed and ready for examination and that all necessary schedules and documents are available for our use by October 1st each year, the suggested time schedule for the various phases of the audit would be approximately as follows: Entrance conference with key City staff. Discussion of any prior audit concerns and the performance of interim work. Interim audit fieldwork and management review Final audit fieldwork and management review Exit conference to summarize the results of the fieldwork and to review significant findings Deliver draft copies of reports Deliver final reports Completed By Late May Late May/Early June November 15 November 30 See page 22 See page 22 COMMITMENT TO DELIVER REPORTS ON A TIMELY BASIS If all books and records, schedules and documents are made available to us by October 1't, we make a commitment to have audit team members available and to provide all reports by the due dates specified above. AUDITS TO BE IN ACCORDANCE WITH GAAS AND OTHER REQUIREMENTS We will audit the financial statements of the City and the component units noted on the preceding page. The financial statements of all entities where the City exercises oversight will be combined with the City's financial statements, in accordance with GASB requirements. Our audit will be in accordance with auditing standards generally accepted in the United States of America as set forth by the AICPA, and will include such auditing procedures as we consider necessary under the circumstances. We will apply certain limited procedures, which consist principally of inquiries of management regarding methods of measurement and presentation of required supplementary information, However, we do not audit such information and do not express an opinion on it. Any supplemental financial statements will be subjected to auditing procedures as we consider necessary in relation to the financial statements taken as a whole. The scope of our audit will not include any statistical information, and we will not express an opinion concerning it. Our audits will conform with the guidelines set forth in the AICPA's Industry Audit Guide, Audits of State and local Governmental Units. Also, each examination will comply with the standards for financial and compliance audits contained in the Government Auditing Standards, issued by the U.S. General Accounting Office, the provisions of the Single Audit Act and the provisions of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirementfor Federal Awards (Uniform Guidance). 25E-61 23 AUDITS TO BE IN ACCORDANCE WITH GARS AND OTHER REQUIREMENTS (CONTINUED Also, we will perform an agreed -upon procedures review of the City's Gann Spending Limitation Computation as required by Section 1.5 of Article XIIIB of the California Constitution. Our review will be performed in conformance with the provision of the "League of California Cities Uniform Guidelines AUDIT APPROACH • Our audit approach is tailored to meet the technical requirements while maintaining professional skepticism without forgetting that we provide a service. The following aspects of our audit approach will add additional value to the audit services and minimize the amount of time spent by the City's staff in dealing with the audit. • We will assign experienced staff auditors including the in -charge field auditor having at least 3 years of experience. For first year engagements, all other staff will have at least 1 year of experience. You will not spend time training our auditors. • Whenever possible, we will use same format for audit supporting schedules used in prior years for the current year audit. This will reduce time spent by the City staff in dealing with the audit when a different audit firm is chosen. Throughout the year we are available as a resource to our clients in researching technical questions, dealing with new pronouncements, reviewing complex financial entries and helping with any other issues as they arise. • The work papers will be reviewed by the manager or partner as field work is being completed to minimize additional questions after the fieldwork is completed. Our firm uses a governmental audit program which will be modified to the City of Santa Ana's operations to accommodate specific client circumstances. Our audit programs are organized by the financial statement approach and general procedures. The requirements by the Standards for assessing risk are utilized to modify the audit programs to focus on the higher risk areas of the financial statements. 1. Audit Planning Procedures: • Pre -audit conference with the City to establish process of communication between the audit team and City staff. • Discuss any new accounting pronouncements to be implemented in the current year. • Establish scope of work and timing of fieldwork. 24 25E-62 2. Interim Fieldwork: Gather information about the City and its environment, including internal control: Evaluate the design of Internal controls that are relevant to whether the control, either individually or in combinatior preventing or detecting and correcting material misstatements. Determine that the controls have been implemented, that is, that the City is using it. Specific areas to review include: - Accounts payable/cash disbursements - Accounts receivable/cash receipts - Payroll disbursements - Utility billing process - Investment compliance Property and equipment Review of minutes of the City of Santa Ana. Review of important contracts and debt agreements, the audit and determine is capable of effecting, that the controls exist and Interim exit conference with the City to review results of interim fieldwork, including any findings, 3. Final Audit Work: During the final audit work, we will assess "risk" of material misstatement based on understanding of the City's audit environment, including Its internal control, to identify account balances to audit that appear in the City's financial statements. Our audit programs will be specifically tailored to address any significant risks identified. The Prepared by Client (PBC) list will be provided at least one month in advance of fieldwork. Our work may include: • Confirmation of cash and investments balances and testing of bank reconciliations. • Confirm significant receivable balances or review subsequent cash receipts to verify receivable balance. • Search for unrecorded liabilities. • Testing of interfund balances and transfers. • Test capital asset additions and depreciation expense. • Confirm long-term debt balances and review the accounting treatment of debt issued or refunded. • Test support for other significant assets or liabilities. • Analytical procedures on balance sheet and revenue and expenditure accounts; to evaluate and explain unusual fluctuations from prior year balances or current year budgeted amounts. • Review of attorney letters for significant legal matters affecting the City's financial position. • An exit conference will be held to review any significant adjustments or findings, The audit workpapers will be reviewed by our management team as the work is being performed in the field so that at the conclusion of the fieldwork we are able to report any adjustments or findings. 25E-63 25 AUDIT APPROACH REDEVFI OPMENTAGENCYJSUCCESSORAGENCY Recent legislation related to the dissolution of Redevelopment Agencies will impact our audit approach as detailed below. Our procedures will include: • Audit the balances reported for cash, investments, receivables, payables, capital assets and long term liabilities as of end of the year. C Review the activity reported on ROPS. • Review the activities of the Successor Agency to ensure compliance with AB 26, AB 1484 and other relevant legislation enacted. APPROACH TO INTERNAL CONTROL Our audit will include obtaining an understanding of the entity and its environment, including internal control, sufficient to assess the risks of material misstatement of the financial statements and to design the nature, timing, and extent of further audit procedures. Our understanding of the internal controls will be completed by completing narratives and checklists for various processes related to internal control. Tests of controls may be performed to test the effectiveness of certain controls that we consider relevant to preventing and detecting errors and fraud that are material to the financial statements and to preventing and detecting misstatements resulting from illegal acts and other noncompliance matters that have a direct and material effect on the financial statements. Our tests, if performed, will be less in scope than would be necessary to render an opinion on internal control and, accordingly, no opinion will be expressed in our report on internal control issued pursuant to Government Auditing Standards. As required by Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirement for Federal Awards (Uniform Guidance), we will perform tests of controls over compliance to evaluate the effectiveness of the design and operation of controls that we consider relevant to preventing or detecting material noncompliance with compliance requirements applicable to each major federal award program. However, our tests will be less in scope than would be necessary to render an opinion on those controls and, accordingly, no opinion will be expressed in our report on internal control issued pursuant to the Uniform Guidance. An audit is not designed to provide assurance on internal control or to identify significant deficiencies. However, during the audit, we will communicate to management and those charged with governance internal control related matters that are required to be communicated under AICPA professional standards, Government Auditing Standards, and the Uniform Guidance. 26 25E-64 SINGLE AUDIT APPROACH The single audit will be performed in accordance with all the requirements of the Single Audit Act, the Uniform Guidance and Government Auditing Standards Issued by the GAO (the "Yellow Book") for cities that expend greater than $750,000 in federal awards in fiscal year 2015-2016 and subsequent years, • We will identify the Major and Nonmajor Federal Programs of the City through the risk -based approach required by the Uniform Guidance. This approach includes consideration of current and prior audit experience, oversight by Federal agencies and pass -through entities, and the inherent risk of the federal program. • We will review all federal and industry -specific publications and guidance and inform the City of any recent changes, • We will perform tests of controls to evaluate the effectiveness of the design and operation of controls that we consider relevant to preventing or detecting material noncompliance with applicable compliance requirements. If weaknesses in the Internal controls are noted, we will modify our audit program as needed. • Our audit will Include tests of transactions related to major federal award programs for compliance with applicable compliance requirements and certain provisions of laws, regulations, contracts and grant agreements. • Our procedures will consist of the applicable procedures described in the Uniform Guidance for the types of compliance requirements that could have a direct and material effect on each of the City's major programs. The purpose of those procedures will be to express an opinion on the City's compliance with requirements applicable to major programs in our report on compliance issued pursuant to the Uniform Guidance. • We will assist the City in completing and filing the Data Collection Form, DETERMINING LAWS AND REGIFLATIONS S IRiECT TO AUDIT Under provisions of AICPA Auditing Standards, management of the City is responsible for identifying to its outside auditors any laws and regulations which would have a significant effect on the audit. This would include federal laws (such as federal grant regulations), State laws (such as permitted investments under the California Government Code) and local laws (such as restrictions on special revenues levied by the City). After our selection as auditors, we will consult with City officials regarding these matters, to determine what laws and regulations need to be evaluated in connection with our audit. If a City is not able to Identify specific laws and regulations that effect it, we have references (California Government Code and Health and Safety Code) to the more common laws, rules and regulations in our standard audit programs for the usual activities of a California City or Successor Agency to the Redevelopment Agency which will assist us in identifying laws and regulations to review in the audit. METHOD OE SAMPLING Our approach is to utilize random sampling based in our testing of the internal control systems related to cash receipts, cash disbursements, payroll and utility billings. Based on a statistical conclusion used by the firm our sample sizes can range from 25 to 60 transactions for each system. A random sample selection allows each item in the population of an equal chance of being selected. In addition, for disbursements, we may select a stratified sample of all transactions over a specified dollar amount for review. 25E-65 27 ANALYTICAL PROCEDURES Analytical procedures are used in the planning and final stages of the audit. In the planning phase, we use analytical procedures to identify unusual financial transactions and comparing relationships to expected results. We compare current year information to the prior years for balance sheet items, revenues and expenditures. In addition, revenues and expenditures are compared to budgets to identify unexpected results. In the final stages of the audit, the financial statements are reviewed to identify expected relationships such as comparing debt paid to expenditures recorded on governmental funds, transfers between funds, depreciation expense, etc. For all significant relationships identified, explanations are obtained as to why the situation occurred and additional audit procedures are applied to resolve any concerns. MANAGEMENT LETTEM In connection with each audit, a complete review of internal controls will be made of all significant accounting procedures. Our firm uses an internal control questionnaire, computer systems questionnaire and narration to gain an understanding of the internal control process as part of our audit. We will identify weaknesses and after discussion with the appropriate City staff, we will submit a management letter which will identify weaknesses observed during these reviews and throughout the audit. The management letter will also assess the effect of the management letter comments on the financial reporting process and recommend steps towards eliminating the weaknesses. .I, ► We do not anticipate any significant potential audit problems. If any potential audit problems are identified, we will Immediately discuss them with the City's management. Our approach is to coordinate the resolution of any problems with the City's management. Considering our experience with auditing governmental entities and resources, we expect minimal disruption to the City's management in resolving any identified audit problems. IN 1911111111311110.1 1 l.' : M, ..:.. ... In accordance with provisions of the Uniform Guidance, GAO requirements, and the California Board of Accountancy, our audit workpapers will be maintained for at least seven years after the date of the report. These workpapers will be made available as necessary to your cognizant audit agency (or its designee), to GAO representatives, or to any other federal or state agency needing access to the workpapers. Also, our firm will respond to any reasonable inquiries of successor auditors and we will allow any successor auditors to review our workpapers. We will be available for any other professional assistance you require to research and answer accounting and reporting problems raised by the City, regardless of the time of year. Such assistance may include, but is not limited to, tax questions, the review of bond documents, cost allocation programs and employee benefit programs. We have provided several tax opinions to City audit clients for matters relating to deferred compensation, fringe benefits, stipends and allowances, and other issues. We also will keep the City informed of new developments affecting municipal finance and reporting, changes in grant rules and regulations, etc. 11;3.irCH�J�l1��LCI�F� `LI�rL��T.T�Lr71iK� We will make an immediate, written report of all irregularities, illegal acts or indications of illegal acts of which we become aware, to those charged with governance. 28 25E-66 SEGMENTATION OF Description of Services 1H]E AUDIT Partners HOURS, Managers BY PARTNER AND STAFF Supervisory Staff Staff LEVEL Clerical Total - City audit, Including management and audit committee letters 40 80 240 440 - 800 Single Audit of Federal Grants 8 32 80 180 2 302 AQMD audit of the Air Quality Improvement Fund 1 4 - 24 - 29 GANN Limit Review 1 8 9 Compliance Review of the City's Investment Policy 2 12 - 15 - 30 Preparation of the Santa Ana Housing Authority's Financial Data Schedule 2 4 - 6 Preparation of the City's State Controller's Report .. - 8 - 40 48 Total Hours 53 141 320 708 2 1,224 Two Agreed -Upon Procedures Reviews, Annually (1) 8 18 44 64 4 138 (1) The hours for the agreed -upon procedures are estimated and subject to negotiation, once the scope of each agreed. upon procedures are determined. SEGMENTATION OF THE AUDIT HOURS BY PHASES OF THE AUDIT Supervisory Partners Managers Staff Staff Clerical Total Planning 8 16 24 40 - 88 Interim Fieldwork 16 32 72 120 - 240 Final Fieldwork and Review 29 93 224 548 2 896 Total Hours 53 141 320 708 2 1,224 25E-67 29 DISCUSSION OF RELEVANT ACCOUNTING ISSUES GASB STATEMENT NO. 72 GASB Statement No. 72, "Fair Value Measurement and Application", is effective for periods beginning after June 15, 2015. This Statement addresses accounting and financial reporting issues related to fair value measurement. The definition of fair value is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. This Statement provides guidance for determining a fair value measurement for financial reporting purposes. This Statement also provides guidance for applying fair value to certain investments and disclosures related to all fair value measurements. GASB STATEMENT NO. 73 GASB Statement No. 73, 'Accounting and Financial Reporting for Pensions and Related Assets That Are Not within the Scope of GASB Statement 68, and Amendments to Certain Provisions of GASB Statements 67 and 68", is effective for periods beginning after June 15, 2015 - except for those provisions that address employers and governmental nonemployer contributing entities for pensions that are not within the scope of Statement 68, which are effective for periods beginning after June 15, 2016. The requirements of this Statement extend the approach to accounting and financial reporting established in Statement 68 to all pensions, with modifications as necessary to reflect that for accounting and financial reporting purposes, any assets accumulated for pensions that are provided through pension plans that are not administered through trusts that meet the criteria specified in Statement 68 should not be considered pension plan assets. It also requires that information similar to that required by Statement 68 be included in notes to financial statements and required supplementary information by all similarly situated employers. oww��Mai��� GASB Statement No. 74, "Financial Reporting for Postemployment Benefit Plans Other Than Pension Plans", is effective for periods beginning after June 15, 2016. The objective of this Statement is to improve the usefulness of information about postemployment benefits other than pensions (other postemployment benefits or OPEB) included in the general purpose external financial reports of state and local governmental OPEB plans for making decisions and assessing accountability. This Statement also includes requirements to address financial reporting for assets accumulated for purposes of providing defined benefit OPEB through OPEB plans that are not administered through trusts that meet the specified criteria. GASB Statement No. 75, 'Accounting and Financial Reporting for Postemployment Benefits Other Than Pensions", is effective for periods beginning after June 15, 2017. The scope of this Statement addresses accounting and financial reporting for postemployment benefits other than pension (other postemployment benefits or OPEB) that is provided to the employees of state and local governmental employers. This Statement establishes standards for recognizing and measuring liabilities, deferred outflows of resources, deferred inflows of resources, and expense/expenditures for defined benefit and defined contribution plans. 30 25E-68 GASB STATEMENT NO 76 GASB Statement No. 76, "The Hierarchy of Generally Accepted Accounting Principles for State and Local Governments", is effective for periods beginning after June 15, 2015. The requirements of this Statement improve financial reporting by (1) raising the category of GASB Implementation Guides in the GAAP hierarchy, (2) emphasizing the importance of analogies to authoritative literature when the accounting treatment for an event is not specified in authoritative GAAP; (3) requiring the consideration of consistency with the GASB Concepts Statements when evaluating accounting treatments specified in nonauthoritative literature. GASB STATEMENT N0. 77 GASB Statement No. 77, "Tax Abatement Disclosures", is effective for periods beginning after December 15, 2015. This Statement requires governments that enter into tax abatement agreements to disclose the following information: Brief descriptive information, such as the tax being abated, the authority under which tax abatements are provided, eligibility criteria, the mechanism by which taxes are abated, provisions for recapturing abated taxes, and the types of commitments made by tax abatement recipients. The gross dollar amount of taxes abated during the period. Commitments made by a government, other than to abate taxes, as part of a tax abatement agreement. Governments should organize those disclosures by major tax abatement program and may disclose information for individual tax abatement agreements within those programs. GASB STATEMENT NO. 78 GASB Statement No. 78, "Pensions Provided Through Certain Multiple -Employer Defined Benefit Pension Plans", is effective for periods beginning after December 15, 2015. This Statement amends the scope and applicability of Statement 68 to exclude pensions provided to employees of state or local governmental employers through a cost -sharing multiple -employer defined benefit plan that (1) is not a state or local governmental pension plan, (2) is used to provide defined benefit pensions both to employees of state or local governmental employers and to employees of employers that are not state or local governmental employers, and (3) has no predominant state or local governmental employer (either individually or collectively with other state or local governmental employers that provide pensions through the pension plan), This Statement establishes requirements for recognition and measurement of pension expense, expenditures, and liabilities; note disclosures; and required supplementary information for pensions that have the characteristics described above. GASB STATEMENT NO, 79 GASB Statement No. 79, "Certain External Investment Pools and Pool Participants", is effective for periods beginning after June 1.5, 2015, except for certain provisions on portfolio quality, custodial credit risk, and shadow pricing, those provisions are effective for reporting periods beginning after December 15, 2015. This Statement addresses accounting and financial reporting for certain external investment pools and pool participants. It establishes criteria for an external investment pool to qualify for making the election to measure all of Its investments at amortized cost for financial reporting purposes, An external investment pool qualifies for that reporting if it meets certain applicable criteria established in this Statement, It establishes additional note disclosure requirements for qualifying external investment pools that measure all of their investment at amortized cost for financial reporting purposes and for government that participate in those pools. 31 25E-69 Our fixed annual fees contemplate that conditions satisfactory to the normal progress and completion of the examination will be encountered and that City accounting personnel will furnish the agreed -upon assistance in connection with the audit. However, if unusual circumstances are encountered which make it necessary for us to do additional work, we shall report such conditions to the responsible City officials and provide the City with an estimate of the additional accounting fees involved. Noted below is a listing of work required by City staff to assist in the audit. 1. Technical assistance in familiarizing our staff with; • The flow of information through the various departments and accounting systems. • Reports generated by your accounting system. • The system of internal controls. • Controls established to monitor compliance with federal grants. 2. Preparation of trial balances for all funds, after posting of all year end journal entries. 3. Preparation of schedules supporting all major balance sheet accounts, and selected revenue and expenditure accounts, 4. Typing of all confirmation requests. 5. Pulling and refiling of all supporting documents required for audit verification. 6. Preparation of the CAFR and footnotes, including the introductory section, management's discussion and analysis and the statistical section for the CAFR. 32 25E-70 CONSULTING SERVICES DEPARTMENT pVERVIEW OF SERVICES PROVIDED White Nelson Diehl Evans LLP offers a wide range of consulting services to governmental agencies. This section of our proposal summarizes the primary types of services provided by the firm. The firm's Director of Consulting Services is Mr. William S. Morgan, CPA. Mr. Morgan has over thirty years of experience in providing accounting, auditing and consulting services to California cities, counties, successor agencies/redevelopment agencies, water districts, special districts, joint power authorities and nonprofit corporations. Many of the firm's consulting projects are planned, supervised and reviewed by Mr. Morgan. Our firm provides the following types of services; • Governmental Tax Consulting • Performance and Operational Studies • Redevelopment Consulting Services • Reviews of City Treasurer Operations • Cable Television and Broadband Consulting Services • Reviews of Solid Waste Haulers and Assistance With Trash Rate Negotiations • Litigation Support and Dispute Resolution Services • Fraud Investigations • Hotel/Motel Transient Occupancy Tax Reviews • Business License Operation Reviews With regard to these engagements, we would intend to perform limited procedures reviews in connection with each assignment, in accordance with the AICPA's attestation standards. Under the provisions of the attestation standards, the City would designate what specific procedures it wishes to have performed. We would then perform those procedures and report on our findings. This type of engagement would not constitute a certified audit in accordance with auditing standards generally accepted in the United States of America. Such special services are not part of our standard fee arrangements and would be subject to a separate fee quotation. 25E-71 33 ATTACHMENT I CURRENT CITY CLIENT REFERENCES AND LISTS OF CITY AND SPECIAL DISTRICT ENGAGEMENTS PERFORMED IN THE LAST 5 YEARS 25E-72 ENT CITY CLIENT REFERENCES One means cf Judging the high quality of our auditing and accounting services would be contact with some of our existing clients. We are Including the names and phone numbers of our city clients over the past year. We encourage you to contact any of these Individuals. City of Alhambra City of Gllrov City of Palm Desert Mr. Paul Espinoza Ms. Christina Turner Mr. Paul Gibson Finance Director Finance Director Director of Finance (626)S70-5027 (408)846-0750 (760)346-0611 City of Artesia City of Goleta City of Pico Rivera Ms. Justine Menzel Ms. Genie Wilson Mr.Kambiz Borhanl Deputy City Manager Finance Director Senior Finance Manager (562)865-6249 (805)961-7527 (562)801-4895 City of Bellflower Cityof Hawaiian Gardens City of Rancho Santa Margarita Mr. Tae Pines Ms,Linda Holllnsworth Ms. Stefanie Turner Director of finance Finance Director/Treasurer Finance Director (562) 904.1424 (562) 420.2641 x236 (949) 635-1812 City of Beverly Hills City of Hesperia City of Rialto Mr. Don Rhoads Mr, Brian Johnson Mr. George Harris, II Finance Director Director of Administrative Services Director of Administrative (310) 285.2429 (760) 947-1442 and Community Services (909)421-7219 City of Burbank City of Highland City of San Buenaventura Mr. Dino Balos Mr. Chuck Dantuono Ms. Bridgette Mclnally Accounting Manager Director of Administrative Services Accounting Manager (818)238-5518 (909)864-6861 (505)654.7892 City fCamarillo City of Laguna Hills Q of San Gabriel Mr. Ronnie Campbell Ms. Janice Mateo -Reyes Mr. Thomas Marston Finance Director Finance Manager Director of Finance (805)388.5320 (949)707-2623 (626)308-2812 City of Campbell City of Laguna Woods City of Sanger Mr. Jesse Takahashi Ms. Margaret Cady Ms. Patty Hartman Finance Director Administrative Services/ Interim Finance Director (408) 866-2113 City Treasurer (559) 876-6300 (949)639-0500 City of Colton City of Stanton Ms, Anita Agramonte City of Lake Forest Mr. Stephen Parker Finance Director Mr. Keith Neves Director of Administrative Services (909) 370-5039 Director of Finance (714) 890-4226 (949)461-3400 City of Costa Mesa City of Tustin Ms. Colleen O'Donoghue City of Lancaster Ms. Jenny Lelsz Assistant Finance Director Ms. Pamela Statsmann Finance Manager (714)754-5421 Assistant Finance Director (714) 573-3079 (661)723,6038 2iK (Cypress City of West Covina Mr. Matt Burton City of Newport Beach Ms. Chrlsta Buhagiar Director of Finance & Administrative Services Mr. Dan Matusiewicz Finance Director (714) 229-6718 Director of Finance (626) 939-8463 (949)644-3126 City of Del Mar City of West Hollywood Ms, Teresa McBroome City of Norco Ms. Lorena QuiJano Director of Finance/Treasurer Ms. Olivia Hoyt Accounting Services Manager (858) 755.9354 Accounting Manager (323) 848-6513 (951)270-5652 City of Fountain Valley CiC�of Westminster Mr. David Cain City of Norwalk Ms. Sherry Johnson Finance Director/Treasurer Ms. Jane Stuard Accounting Manager (714) 593-4501 Director of Finance (714) 898-3311 (562)929-5056 25E-73 LOST OF CITY ENGAGEMENTS We have listed below the cities which were under contract with us during the past five fiscal years Period of Service City From To Scope of Work Alhambra 2005 Present CA, RDA, SA, SCR Artesia 2012 Present CA, RDA, SA Avalon 2006 2012 CA, RDA, CCU, SCR Bellflower 2013 Present CA, SA, SCR, Financing Authority, Public Facilities Corp. Beverly Hills 2012 Present CA, SA Burbank 2013 Present CA, AQMD, SA, Water & Utility Enterprise Fund Camarillo 2012 Present CA, RDA, SA Campbell 2013 Present CA, SA, T, Solid Waste Management Authority Colton 2014 Present CA, SA, SCR, Child Care Program Costa Mesa 2012 Present CA, RDA, PFA, SA, Housing Authority Cypress 2012 Present CA, RDA, RA, SA Del Mar 2014 Present CA, SA, SCR Downey 1987 2013 CA, RDA, AQMD, PFA, SA, OCU Fountain Valley 2013 Present CA, SA, Housing Authority, Financing Authority Gilroy 2013 Present CA, SA Goleta 2013 Present CA, SA, SCR, SR Hawaiian Gardens 2012 Present CA, RDA, PFA, SA Hesperia 1997 Present CA, RDA, SA Highland 2012 Present CA, SA La Habra Heights 2008 2013 CA, SA, SCR Laguna Hllis 2015 Present CA, SA, SCR. SR Laguna Woods 2015 Present CA, SA Lake Elsinore 2005 2012 CA, RDA, PFA, RA, SA Lake Forest 2011 Present CA, RDA, SA, Housing Authority Lakewood 1974 2013 CA, RDA, SA Lancaster 2013 Present CA, SA, SCR - City, SCR - Power Authority Newport Beach 2011 Present CA, SA Norco 2015 Present CA, SA, SCR Norwalk 2015 Present CA, AQMD, PFA, SA, T, OCU, SCR - City & Transit Oxnard 2013 2014 CA, SA, OCU Palm Desert 2008 Present CA, RDA, SA, Housing Authority Pico Rivera 2012 Present CA, PFA, SA, SCR, Water Authority Port Hueneme 2012 2014 CA, SA, Housing Authority, Surplus Property Authority Rancho Palos Verdes 2008 2012 CA, RDA, PI, SA, SCR, SR Rancho Santa Margarita 2012 Present CA, SA Rialto 2013 Present CA, SA San Buenaventura 2011 Present CA, RDA, PFA, SA, SCR San Fernando 2007 2011 CA, RDA, SA San Gabriel 2013 Present CA, SA Sanger 2011 Present CA, RDA, PFA, SA, SCR Signal Hill 1962 2013 CA, RDA, SA Stanton 2012 Present CA, RDA, SA Tustin 2011 Present CA, RDA, SA, SCR West Covina 2011 Present CA, RDA, AQMD, SA West Hollywood 2014 Present CA, SA, SCR Westminster 1997 Present CA, RDA, AQMD, SA Legend: AQMD -Air Quality Management District Audit RA- Recreation Authority CA - City Audit RDA - Former Redevelopment Agency Audit OCU- OtherComponentUnitAudits SA - Single Audit PFA-Public Financing Authority SCR - State Controllers' Reports PI - Public Improvement SR - Street Report PP- Pension Plans T- Transportatlon Substantially all of the above engagements were performed through the firm's Irvine office. 25E-74 LIST OF SPECIAL DISTRICT ENGAGEMENT We have listed below the special districts which were under contract with us during the past five fiscal years, Client Name Borrego Water District Calleguas Municipal Water District Chino Basin Desalter Authority China Basin Regional Financing Authority Costa Mesa Sanitary District Cypress Recreation and Park District Downey Cemetery District El Toro Water District Encina Wastewater Authoirty Grossmont Healthcare District Heber Public Utilities District Inland Empire Regional Composting Authority Inland Empire Utilities Agency La Habra Heights County Water District La Puente Valley County Water District Laguna Beach County Water District Lake Elsinore and San Jacinto Joint Powers Authority Las Virgenes Municipal Water District Leucadla Wastewater District Metro Wastewaster Joint Powers Authority Midway City Sanitary District Monterey Peninsula Regional Park District Municipal Water District of Orange County 011venhain Municipal Water District Orange County Development Authority - Eco-Rapid Transit Orange County Vector Control District Orchard Dale Water District Otay Water District Padre Dam Municipal Water District Pico Water District Placentia Library District Puente Basin Water Agency Rancho California Water District Rancho Santa Fe Community Service District Rincon del Diablo Municipal Water District Rowland Water District Santa Ana Watershed Project Authority South Bay Irrigation District South Coast Water District South County Regional Wastewater Authority Sunset Beach Sanitary District Surfslde Colony Stormwater Drainage District Surfslde Community services District Sweetwater Authority Vallecitos Water District Valley Wide Recreation and Park District Ventura Port District Period of Service From To 2006 2013 2015 Present 2011 Present 2015 Present 2005 2014 2012 Present 1987 2013 2008 2013 2012 Present 2011 Present 2014 Present 2011 Present 2011 Present 2002 Present 1986 Present 2002 Present 2013 Present 2007 2013 2010 Present 2013 Present 2012 Present 2015 Present 2007 2011 2009 Present 2015 Present 2013 Present 2012 Present 2009 2013 2009 Present 2010 Present 2015 Present 2005 2011 2012 Present 2011 Present 2015 Present 2007 Present 2013 Present 2012 Present 2011 2014 2013 Present 1986 Present 2010 Present 2010 Present 2012 Present 2010 2014 1986 Present 2011 Present 25E-75 ATTACHMENT II RESULTS OF OUTSIDE QUALITY REVIEW 25E-76 Heidenreich & Heidenreich, CPAs, PL7LC 10201 S.5V Street, Suite 4170 Phoenix, A7 85044 (480)704-6301 fax 785-4619 System Review Report July 22, 2015 To the Owners of White Nelson Diehl Evans LLP and the Peer Review Committee of the CA Society of CPAs We have reviewed the system of quality control for the accounting and auditing practice of White Nelson Diehl Evans LLP (the firm) in effect for the year ended March 31, 2015. Our peer review was conducted in accordance with the Standards for Performing and Reporting on Peer Reviews established by the Peer Review Board of the American Institute of Certified Public Accountants.. -As a part of our peer review, we considered reviews by regulatory entities, if applicable, in determining the nature and extent of our procedures. The firm is responsible for designing a system of quality control and complying with it to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all materiel respects„ Our responsibility is to express an opinion on the design of the system of quality control and the firm's compliance therewith based on our review, The nature, objectives, scope, limitations of, and the procedures performed in a System Review are described in the standards at www.aicpa.orgiprsummary. As required by the standards, engagements selected for review included engagements performed under the GovGmment Auditing Standards and audits of employee benefit plans. In our opinion, the system of quality control for the accounting and auditing practice of White Nelson Diehl Evans LLP in effect.for the year ended March 31, 2015, has been suitably designed and complied with to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. Firms can receive a rating of pass, pass with deficlency(ies) or fall. White Nelson Diehl Evans LLP has received a peer review rating of pass. Heidenreich & Heidenreich, CPAs, PLLC 25E-77 ATTACHMENT III DOCUMENTS REQUESTED IN REQUEST FOR PROPOSAL 25E-78 a EXHIBIT B CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL AUDITING SERVICES REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services Included In the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifloations. Reference Customer Name: City ofBurbank Contact Individual: Mr. Dino Balos Address: 275 East Olive Avenue Phone Number: 818-238-6618 Burbank, CA 91510 Facsimile Number: Contract Amount: $116,485 Year: 2016 Description of supplies, equipment, or services provided: City, AQMD, Water and Utility Enterprise Fund and Single Audits Reference Customer Name: City of klalto Address: 150 South Palm Avenue Rialto, CA 92376 ContractAmount: $90,366 Description of supplies, equipment, or services provided: City and SInl9le Audits Reforen -a Customer Name: City of Palm Desert Address: 73.610 Fred Waring Drulve Palm Desert, CA 92260 ContractAmount: $92.676 Contact Individual: Mr. George Harris, 11 Phone Number: 909-421-7219 Facsimile Number: Year: 2016 Contact Individual: Mr. Paul Gibson Phone Number: _760-346-0611 Facsimile Number; 760-340-0574 Year: 2016 Description of supplies, equipment, or services provided: City, Successor Agency, Recreation Authority, Housing Authority and Single Audits TOT Reviews THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. 19 25E-79 EX14IBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL AUDITING SERVICES PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between. proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City Is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted In lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. White Nelson Diehl Evans LLP Signed and Printed Name: lV-' — � (� Ci Nitin P. Patel, CPA Title Date March 4, 2016 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.. 20 25E-80 EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL AUDITING SERVICES NONCOLLUSION AFFIDAVIT NON-COLLUSfON AFFIDAVIT' (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, associatlon, organization, or corporation; that the proposal Is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colludod, conspired, connived or agreed with any proposer or anyone else to put In a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained In the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any too to any corporation, partnership, company association, organization, bid depositary, or to any member or agent thereof to effectuate'a collusive or sham proposal. Note: The above noncoliusion affidavit Is part of the proposal. Signing this proposal on the signature portion thereof shalf also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. State of California, County of Subscribed and sworn to (or affirmed) before me on this _ day of_ March 2016 by Nitin P. Patel , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me, *pu6lic Signature BRANOI MELENDE2 Commission # 2034882 •. Notary Publla • California Orange County M Gomm. Winds Jul27 2011 Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE, 21 25E-81 EXHIBIT C SEALED COST PROPOSAL O. .Vj FOR THE TWO YEARS ENDING JUNE 30, 2017 (WITH AN OPTION FOR TWO YEARS ENDING JUNE 30, 2019) Submitted by: 2875 Michelle Drive, Suite 300 Irvine, CA 92606 (714) 978-1300 25E-82 March 4, 2016 Mr, Sergio Vidal, Assistant Director of Finance and Management Services Agency City of Santa Ana 2.0 Civic Center Plaza Santa Ana, CA 92701 Dear Ms. Vidal; At your request, we have submitted our statement of qualifications under a separate cover. The following information is included herein; 1. Schedule of Professional Fees and Expenses for the four years ending June 30, 2019, 2. Hourly Rates for Special Services. By signing below, I am certifying to you that I am entitled to represent the firm, empowered to submit this bid, and authorized to sign a contract with the City. Please contact us if there are any questions regarding the fees or hourly rates quoted herein. Very truly yours, WHITE NELSON DIEHL EVANS LLP �... (0 four-t-.. Nitin P. Patel, CPA Engagement Partner 1 28-' 1%1Ichellc DuV c_ tinily 300, [rinr, C�92606 cl" Id R'8,13t7(I • I as 1 i 9'fi_ ( )(%e 9..zalyd n, lh a ne ruxl Sen 15 'Pl C.OR, =lie, 25E-83 CITY OF SANTA ANA TOTALALL-INCLUSIVE MAXIMUM PRICE Our maximum fees for the four years ending June 30, 2019 will be as follows: Description of Services City audit, Including management and audit committee letters Single Audit of Federal Grants AQMD audit of the Air Quality Improvement Fund GANN Limit Review Compliance Review of the city's Investment Policy Preparation of the Santa Ana Housing Authority's Fiscal Year Option Years 2015-16 2016-17 2017-18 2018-19 $ 107,000 $ 110,210 $ 113,515 $ 116,920 38,720 39,880 3,475 3,580 895 920 4,550 4,685 41,075 42,305 3,G90 3,800 950 980 4,825 4,970 Financial Data Schedule 1,350 1,390 1,430 1,475 Preparation of the City's State Controller's Report 5,600 5,770 5,945 6,120 Total All -Inclusive Maximum Price $ 16I,590 $ 166,435 $ 171,430 $ 176,570 Two Agreed -Upon Procedures Reviews, Annually (1) $ 19,040 $ 19,610 $ 20,200 $ 20,805 (1) The hours and fees for the agreed -upon procedures are estimated and subject to negotiation, once the scope of each agreed -upon procedures are determined. 2 25E-84 i I CITY OF SANTA ANA 4fOURLY RATES FOR ADDITIDNAL PROFESSIONAL SERVICES If the City wishes us to perform consulting or other services outside the scope of the services described herein, a separate written request from the City will be required. Our hourly rates for these services during each year under the basic contract will be as follows: Position Partners Managers Supervisory Staff Staff Clerical Option Years 2015-16 2016-17 _ 2017-18 2018.19 $ 275 $ 283 $ 292 $ 300 200 205 212 219 150 155 159 164 100 103 106 109 60 62 64 66 25E-85 vvFii t ra his'r ae4ra r 9iwt ii_ r vrttanra.r '. 25E-86 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: CONTRACT RENEWAL WITH N. HARRIS COMPUTER CORPORATION, SYSTEM INNOVATORS, FOR INOVAH CASHIERING SYSTEM UPGRADE AND EXTENSION OF MAINTENANCE AGREEMENT (STRATEGIC PLAN NO. 7, 5) J CITY MANAG& RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: FTT-29007ywk ® As Recommended El As Amended ® Ordinance on 1" Reading ® Ordinance on 2nd Reading ❑ Implementing Resolution i] Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a second amended agreement with System Innovators, a division of N. Harris Computer Corporation, for an upgrade of iNovah, the City's integrated cashiering system, for an amount not to exceed $29,710. Authorization of second amended agreement to also include ongoing software support and hardware systems maintenance for the annual calendar year periods of 2017, 2018, and 2019, along with one additional two year extension for the annual calendar year periods of 2020 and 2021 exercisable by the City Manager and City Attorney, subject to non -substantive changes for an amount not to exceed $202,807.30. DISCUSSION Staff recommends approval of a second amended agreement ("Amended Agreement") with System Innovators, Inc. to upgrade the City's integrated cashiering system ("iNovah") to enable a real-time interface with the City's municipal utility services billing system ("enQuesta"), to allow real-time payment posting as outlined in the Amended Agreement (Exhibit 1). In order to ensure the City is maintaining best practices as they relate to utility payment technology, an upgrade to iNovah is recommended to enable real-time payment posting of online credit card, debit card, e- check, and over -the -phone IVR (interactive voice recognition) payments to enQuesta. The existing version of iNovah was implemented in 2014 and helps manage and process over 150,000 payments on annual basis. In making a timely upgrade to iNovah to enable real-time payment posting of Municipal Utility Services payments the City will be following in the footsteps of comparable cities such as Anaheim Public Utilities and Riverside Public Utilities, as well as the South Coast Water District. 25F-1 Contract Renewal With N. Harris Computer Corporation, System Innovators, for INovah Cashiering System Upgrade And Extension Of Maintenance Agreement May 3, 2016 Page 2 The cost for upgrading the City's existing iNovah system and related software infrastructure to enable real-time online, mobile, and over -the -phone payment posting is $29,710 (and includes a $5,000 enQuesta customer discount). The current three year iNovah hardware and software maintenance agreement expires December 31, 2016. Staff recommends renewing the existing INovah maintenance agreement which provides annual software support for the cashiering system and hardware support for cash drawers and receipt printers, and also entitles the City to receive iNovah version software updates and technical support services from System Innovators, Inc. The Amended Agreement stipulates the maintenance plan continue to renew automatically for each authorized contractual year unless canceled. The first year (calendar year 2017) maintenance fee is $37,202.42 and is comprised of two parts: 1. A $31,952.42 fee for software support which is subject to a maximum increase of 5% annually for the calendar year periods of 2017, 2018, and 2019 and the optional two year extension for 2020 and 2021; and 2. A $5,250 fee for hardware systems support which is fixed for the annual calendar periods of 2017, 2018, and 2019 and the optional two year extension for 2020 and 2021. The annual software and hardware maintenance fee payments are due semi-annually. The first installment is due January 15th of each year and the second installment is due the following July 15th of each year. Anticipated iNovah software maintenance costs total $202,807.30 and are outlined in the Fiscal Impact section below. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 - Team Santa Ana, Objective # 5 (Create a culture of innovation and efficiency within the organization). 25F-2 Contract Renewal With N. Harris Computer Corporation, System Innovators, For INovah Cashiering System Upgrade And Extension Of Maintenance Agreement May 3, 2016 Page 3 FISCAL IMPACT Funds will be budgeted and available for upgrade project completion costs as follows: Description Account No. Fiscal Year Amount Upgrade of Software 10910144-62300 FY 2015-16 $ 19,855.00 10910144-62300 FY 2016-17 $ 9,855.00 Total $ 29.710.00 Funds will be budgeted and available for on -going software support and hardware systems maintenance as follows: Description Account No. Fiscal Year Amount Software & System Maintenance 01110130-62300 FY 2016-17 $ 18,601.21 01110130-62300 FY 2017-18 $ 38,001.24 01110130-62300 FY 2018-19 $ 39,638.79 01110130-62300 FY 2019-20 $ 41,358.23 01110130-62300 FY 2020-21 $ 43,163.65 01110130-62300 FY 2021-22 $ 22,044.18 Total On -going Software Support & Hardware Systems Maintenance Cost: $ 202.807.30 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency 11fi Exhibit: 1. Amended Agreement Jack Ciulla Chief Technology Innovations Officer Information Technology Department 25F-3 25F-4 SECOND AMENDMENT TO AGREEMENT THIS SECOND AMENDMENT TO AGREEMENT, is entered into on May 3, 2016, by and between System Innovators, a division of N. Harris Computer Corporation (System Innovators), a Florida 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 parties entered into a three year Software Support and Maintenance Agreement (Agreement #A-2014-073) effective April 1, 2014 (hereinafter "said Agreement") by which Consultant has provided citywide support and maintenance services which include revisions, updates and enhancements to the Software and related Hardware and materials under the Agreement. B. The parties thereafter entered into a First Amendment to that Agreement (A-2014-358) on December 16, 2014 to procure additional hardware and professional software services and related maintenance and support in connection with implementation of an Image Cash Letter Solution. C. In accordance with the terms and conditions of said Agreement, the parties wish to amend the Compensation for the third year of the original Term, as well as extend the Term. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in the afore -mentioned First Amendment to said Agreement, the parties agree as follows: 1. The parties hereto now desire to amend said Agreement to extend the Term by three (3) calendar years beginning with the 2017 calendar year with the option to further extend said Agreement for an additional period of two (2) calendar years (2020 and 2021), exercisable by the City Manager and City Attorney upon a written request executed by the City Manager, subject to non -substantive changes approved by the City Manager and City Attorney. 2. The parties hereto now desire to amend the Compensation under said Agreement for the third year of the original Term (calendar year 2016) to increase compensation to Consultant by adding an additional Twenty Nine Thousand Seven Hundred And Ten Dollars ($29,710) for additional professional software services and related maintenance and support as set forth in Consultant's "Additional Service Request — Santa Ana ASR 012716 — March 24, 2016" which is herein incorporated by reference as Exhibit A. Payment by City for additional professional software services and related maintenance and support as set forth in "Additional Service Request — Santa Ana ASR 012716 — March 24, 2016" shall be made in accordance therewith, following receipt of proper invoicing, subject to City accounting procedures. 3. The parties hereto now desire to amend Exhibit 1, Schedule B, of said Agreement to add years one (1) through five (5) of the extended Tenn of said Agreement during which Consultant agrees to extend and City agrees to accept the Novah software and hardware support and maintenance investment schedule as stated in Consultant's "Investment Schedule - City of Santa Ana - 3 + 2 Year Support Maintenance - April 15, 2016" which is herein incorporated by reference as Exhibit B and which sets forth annual software and hardware support fees for the base contract extension period of 2017, 2018, and 2019 and the optional contract extension period of 2020 and 2021 as set forth below: Exhibit 3. 25F-5 Base Contract Extension Period (2017 - 2018 - 2019) Software and Hardware Support and Maintenance 2017 Calendar Year= $37,202.42 2018 Calendar Year= $38,800.05 2019 Calendar Year = $40,477.54 Total = $116,480.01 Optional Contract Extension Period (2020 and 2021) Software and Hardware Support and Maintenance 2020 Calendar Year = $42,238.92 2021 Calendar Year= $44,088.37 Total = $86,327.29 4. Payment by City for Novah Software and Hardware Support and Maintenance as set forth in Consultant's "Investment Schedule - City of Santa Ana - 3 + 2 Year Support Maintenance - April 15, 2016" shall be made semi-annually in two installments as set forth below following receipt of proper invoicing, subject to City accoanting procedures: Base Contract Extension Period (2017 - 2018 - 2019) Semi -Annual Software and Hardware Support and Maintenance Payment Schedule January 15, 2017 = $18,601.21 July 15, 2017 = $18,601.21 January 15, 2018 = $19,400.03 July 15, 2018 = $19,400.02 January 15, 20t9 = $20,238.77 July 15, 2019 = $20,238.77 Total = $116,480.01 Optional Contract Extension Period (2020 and 2021) Semi -Annual Software and Hardware Support and Maintenance Payment Schedule January 15, 2020 = $21,119.46 July 15, 2020 = $21,119.46 January 15, 2021 = $22,044.19 July 15, 2021 = $22,044.18 Total = $86,327.29 Compensation in total shall not exceed $202,807.30 over the entire term of the Agreement. 5. Payment by City need not be made for work which fails to meet the standards of performance set forth in the Recitals of said Agreement which may reasonably be expected by City. 6. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. 7. This Agreement must be signed below and may be signed in counterpart and delivered by fax, or by email as a PDT (Portable Document Format) file attachment, or by other means that displays the original or a copy of the signatures. Any subsequent amendments may be signed and delivered in the same manner. 25F-6 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Agreement on the date and year first written above. ATTEST; MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIC R. CARVALHO City Attorney gy G.: Lisa. Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: Francisco Gutierrez Executive Director Finance & Management Services Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: System Innovators, a division of N. Harris Computer Corporation Name: Title: Tax ID# 25F-7 EXHIBIT A SANTA ANA ASR 012716 ENQUESTA & INVOICE CLOUD INTERFACE Additional Service Request City of Santa Ana March 24, 2016 City of Santa Ana (referred to as the "Client") has requested an Additional Service Request for the following professional services to develop a ASR_Desciption System Innovators will use its extensive Cashiering experience, knowledge and expertise to facilitate the implementation and delivery of customized software and services for the Client, as defined within this Statement of Work (SOW). System Innovators will work closely with the Client to manage the SOW and ensure success of the overall project. System Innovators expects the design; development and testing phase to take approximately 180 days to allow the Client to complete Acceptance and System Testing activities. The software and services defined within this SOW shall be deemed "Delivered" when the Client receives software and/or services, and the Client delivers a signed statement to System Innovators acknowledging Delivery. The software and services defined within this SOW shall be deemed "Accepted" when acceptance testing is satisfactorily completed with no critical or major defects, and the Client delivers a signed statement to System Innovators accepting the System, or the System is placed in a production environment and used for processing payments. Changes to this SOW will be processed in accordance with the Project Change Control procedure as described herein. The implementation of changes may result in modifications to the Scope, Schedule, Charges, and other terms of this SOW. Assumptions 1. The Client will employ the human resources necessary to ensure the project is successfully completed on schedule. These resources will include 1) a Project Manager who has the authority to represent the Client in all aspects of this Statement of Work (SOW); 2) subject matter experts who can define the requirements and business rules that dictate the design of the customizations; and 3) technical staff who can provide System Innovators with support for the Client's computing environment (personal computers, servers, network, software, and so forth) as well as technical support for third -party systems that interface with System Innovators' software. 2. The Client or Client's delegate will produce a tested and documented application programming interface (API) to any application to be interfaced with System Innovator products and/or software. 3. The Client will provide System Innovators with remote access to their computing environment so that System Innovators may support the Client with delivery, implementation, and testing of the customized software. System Innovators' access to the Client's computing environment may be accomplished through such means as a high-speed virtual private network (VPN) or an Internet -based remote access tool (such as Go To Meeting or Turbo Meeting). 4. The Client will provide a fully functional test system including hardware, software, documentation and any system software and/or upgrades necessary to complete acceptance testing. 5. The Client will install and configure all required personal computers, hardware, software, and communications networking in advance of planned delivery of Systems Innovator's software and/or services. The Client will inform System Innovators of any changes related to their system configuration 6. The Client will prepare an acceptance test plan and test scripts, perform acceptance testing in a timely manner, and report test results and identified problems to the Systems Innovator Project Manager. 25F-8 ASR SANTA ANA ENQUESTA AND INVOICE CLOUD INTEGRATION 03.24-16.DOCX Statement of Work and Investment Requirements Investment Requirements: Page 2 of 5 1lescrii3tl6ir � �a " r Rate ;"fatal iNovahW Application Software & Development Enquesta Real Time Interface 15,000 (Discount to Harris application) (5,000) Subtotal 10,000 Professional Services Enquesta Interface Services 20 Project Management $220.00 $4,400 35 Enquesta Requirements, Development, Testing and Documentation $180.00 $4,510 10 Go Live Support $180,00 $1,800 Invoice Cloud Interface Services 50 1 Invoice Cloud InterfaceWovahAPI SupportforWilly Payment Data $180 $9,000 �_ ���� ���'� �.�� �„z �oftwr,�,aS�r�rrcesa�d�Trave�Tbf�l�tn�estment+nttth � ��29;710 Notes for Investment Schedule iNovah'' interfaces, imports and export are priced as a supported custom software license. Prices shown are for license fees only. All professional services for project management, interfaces, customization, training and Installation are quoted separately and computed using the hourly rates shown above and estimated travel expenses. Real-time interface for payment inquiry, payment lookup and payment update functions. The scope of this Interface Is intended to allow iNovah Cashier and future iNovah related payment collection modules to Inquire/lookup on account number as well as to update the sourc system. System Innovators will create and provide a development specification that outlines the interface development and iNovah settings required to meet these requirements. Project Management - Coordination of project related activities, scheduled conference calls, minor business assessment, project related communications, creation and maintenance of project plans, and first level escalation. The hours included in this investment schedule are estimated to span over a five to six month period. Configuration support - Configuration changes required for the implementation and testing of said interface. This item also includes configuration planning and consulting with Customer. System Innovators — a division of N. Harris Computers 800.963.5000 • Fax: 904.645-8892 10550 Deerwood Park Blvd, Suite 700 Jacksonville, FL 32256 25F-9 ASR SANTA ANA ENQUESTA AND INVOICE CLOUD INTEGRATION 03-24-16.DOCX Estimated Delivery Schedule Page .3 of .5 Once the Client has authorized this additional service, System Innovators will prepare a project schedule for this additional service. The project schedule will identify the project start date and end date as well as a timellne for all project milestones. The project schedule will be mutually monitored and managed by the Client and System Innovators. Any variation to the dates and milestones defined in the project schedule must be mutually agreed upon by the Client and System Innovators. The following project timeline identifies the duration of the milestones for this additional service project. Specific dates for this additional service will be defined in the project schedule. Project Start: Starts upon signature. of contract Deliverable p1: Dedicated Remote Upgrade Support Deliverable N2r Onslte Testing Support Deliverable k3: Onsite Go -Live Support Completion: Completion of system acceptance testing by client or Implementation of =_d software System Innovators — a division of N. Harris Computers 800.963.5000 • Fax: 904,645-8892 To be determined 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL 32256 25F-10 ASR SANTA ANA ENQUESTA AND INVOICE CLOUD INTEGRATION 03-24-16.DOCX Payment Schedule Page 4 of 5 This investment represents the fixed -price professional services Investment for the design, development, coding, testing, and implementation the requested modification described in the Statement of Work. This investment will be paid in two Installments based on the milestones identified in the following payment schedule. 1 100%of License Fees due upon Execution of the Contract $10,000 2 50°% of Professional Services Investment due upon Execution of the Contract. $9,855 3 50%of Professional Services Investment due upon delivery of enhanced INcvah software $9,855 Software, Services and Travel Total Investment with : $29,710 Project Change Control All change requests will be submitted in writing, and they will describe the change; the rationale for the change, and specify any change in charges, estimated schedule or other terms, and describe the effect the change will have on the Agreement. The party submitting the change request shall deliver the change request to the other party for review and acceptance or rejection. Depending upon the extent and complexity of the requested change, Systems Innovators may charge a fee for the effort required to analyze It. When charges are necessary for such analysis, Systems Innovators will provide a written estimate of the fee and will provide such analysis upon written authorization by the Client. Both the Systems Innovators Project Manager and the Client Project Manager must approve each change before amending the Agreement and implementing the change. Approved changes affecting charges, schedule or other terms of this Agreement will be incorporated Into the Agreement through written Amendment. The terms of a mutually agreed upon Amendment will prevail over those of this Agreement or any previous Amendments. Required Consent The Client will promptly obtain and provide to System Innovators all Required Consents necessary for System Innovators to provide the Services described in this Agreement. A Required Consent means any consent or approvals required to give System Innovators and its subcontractors the right or license to access, use and/or modify (including creating derivative works) to the hardware, software, Firmware and other products that the Client uses, without Infringing the ownership or license rights (including patent and copyright) of the providers or owners of such products. Approval to Proceed/invoice Please provide the following information and sign where indicated. By signing below, City of Santa Ana authorizes System Innovators to proceed with the efforts necessary to perform this statement of work and accepts the investment obligations and responsibilities as defined. City of Santa Ana System Innovators, Authorized by: by Its duly authorized representative: by Its duly authorized representative: Title: Signature: System Innovators — a division of N. Barris Computers 800.963,5000 • Fax: 904.645-8892 Monica Moctezuma Senior Account Executive 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL 32256 25F-11 ASR SANTA ANA ENQUESTA AND INVOICE CLOUD INTEGRATION 03-24-16.DOCH Date: April 12, 2016 Page S of 5 Billing Information Please complete the billing and delivery information in the form below. If you require your purchase order number to be Included on invoices issued by System Innovators, please include the purchase order number in the form. Bill To Deliver To Name: Name: Title: Titter Address: Address:. City, State Zip: City, State Zip: Telephone: 'telephone: E-mail: E-mail: PO tF: (for internal use) Project Number. ACCifi/TEAM: Professional Services Consultant: System Innovators — a division of N. Harris Computers 800,963,5000 • Fax: 904.645-8892 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL 32256 25F-12 EXHIBIT B s Investment Schedule City of Santa Ana 3 + 2 Year Support Maintenance April 15, 2016 Summary City of Santa Ana has requested an investment schedule to extend maintenance and support of iNovahO for a 3 year term plus an additional two year term. Software Maintenance Services ON Descrrotron Software SUDDort 1 iNovah -SWS- Enterprise Includes: up to 200,000 annual receipts COMPROD/COMTE5T Database - For Business Licensing / Dog Licensing / Hotel Visitor Tax / Utility User Tax. Phoenix System Rearrime. Interface enquesta Rearnme Interface Credit Card - TransFi rst Term 1 Term 2 Term 3 Term 4 Term 5 $23,487.42 $29,911.80 $31,40M8 $32,977.75 $34,626,64 1 Check 21- ICL $3,465.00 $3,638.25 $3,820.16 $4,011.17 $4,211.73 1 Hardware Support $5,250.00 $5,250.00 $5,250.00 $5,250.00 $5,250.00 21 TPG A776 Printer 4410 4410 4410 4410 4410 12 APG Cash Drawer 840 840 840 840 840 TOTAL (US Dollars) (s) $37,202.42 $38,800.05 $40,477.54 $42,238.92 $44,088.37 SI Client Considerations: 5% year over year increase for Software Support Fixed price for Hardware Support System Innovators 800.963.5000 • Fax: 904.645,8892 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL. 32256 25F-13 Page 2 of 3 Footnotes for Investment Schedule (') iNovah is licensed based on the Annual Receipt Volume (the number of receipts processed through the iNovah Payment Portal). This license includes unlimited seats of cashiering and reporting modules. All payments (receipts) processed through iNovah are counted regardless of their source or ultimate disposition. Annual cashiering volume — 200,000 receipts annually (2) Organizations may share their iNovah license with multiple departments, provided that they share one server installation (common consolidated payment database) and upgrade to the required annual license volume and associatedmaintenance increase. (1) The annual support and maintenance investment for application interfaces applies only to those interfaces written and maintained by System Innovators. Support fees for interfaces include modifying interfaces to comply with changes forced by legislation or System Innovators system upgrade. (4) Support Fees for all payment collection software products licensed by System Innovators include help desk support services and upgrades to the latest versions of the licensed software as they become available. The annual Software Support Fee for iNovah entitles the Customer to upgrades/updates to iNovah as defined in the master annual support and maintenance agreement. i51 The maintenance pricing shown only includes the items listed in the table. Any increases to licensed receipt volume, adding new interfaces, customizations or new hardware will warrant new annual maintenance fees. Payment Schedule Term 1 Jan 1, 2017 — Dec 31, 2017 $37,202.42 Term 2 Jan 1, 2018 — Dec 31, 2018 $38,800,05 Term 3 Jan 1, 2019 — Dec 31, 2019 $40,477,54 Term 4 Jan 1, 2020 — Dec 31, 2020 $42,238.92 Term 5 Jan 1, 2021 — Dec 31, 2021 $44,088.37 System Innovators 800.963.5000 • Fax: 904.645.8892 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL 32256 25F-14 Page 3 of 3 Signature Block By signing below, City of Santa Ana authorizes System Innovators to proceed with the efforts necessary to perform this Statement of Work and accepts the investment obligations and responsibilities as defined City of Santa Ana Agreed to: by its duly authorized representative: Title: Signature: Date: System Innovators, by its duly authorized representative: Karin Raudsep Vice President of Client Services 4/7/2016 System Innovators 10550 Deerwood Park Blvd., Suite 700 800.963,5000 • Fax: 904.645,8892 Jacksonville, FL 32256 25F-15 25F-16 EXHIBIT A SANTA ANA ASR 012716 ENQUESTA & INVOICE CLOUD INTERFACE Additional Service Request City of Santa Ana March 24, 2016 Summary City of Santa Ana (referred to as the "Client") has requested an Additional Service Request for the following professional services to develop a ASR_Desciption System Innovators will use its extensive Cashiering experience, knowledge and expertise to facilitate the implementation and delivery of customized software and services for the Client, as defined within this Statement of Work (SOW). System Innovators will work closely with the Client to manage the SOW and ensure success of the overall project. System Innovators expects the design, development and testing phase to take approximately 180 days to allow the Client to complete Acceptance and System Testing activities. The software and services defined within this SOW shall be deemed "Delivered" when the Client receives software and/or services, and the Client delivers a signed statement to System Innovators acknowledging Delivery. The software and services defined within this SOW shall be deemed "Accepted" when acceptance testing is satisfactorily completed with no critical or major defects, and the Client delivers a signed statement to System Innovators accepting the System, or the System is placed in a production environment and used for processing payments. Changes to this SOW will be processed in accordance with the Project Change Control procedure as described herein. The implementation of changes may result in modifications to the Scope, Schedule, Charges, and other terms of this SOW. Assumptions 1. The Client will employ the human resources necessary to ensure the project is successfully completed on schedule. These resources will include 1) a Project Manager who has the authority to represent the Client in all aspects of this Statement of Work (SOW); 2) subject matter experts who can define the requirements and business rules that dictate the design of the customizations; and 3) technical staff who can provide System Innovators with support for the Client's computing environment (personal computers, servers, network, software, and so forth) as well as technical support for third -party systems that interface with System Innovators' software. 2. The Client or Client's delegate will produce a tested and documented application programming interface (API) to any application to be interfaced with System Innovator products and/or software. 3. The Client will provide System Innovators with remote access to their computing environment so that System Innovators may support the Client with delivery, implementation, and testing of the customized software. System Innovators' access to the Client's computing environment may be accomplished through such means as a high-speed virtual private network (VPN) or an Internet -based remote access tool (such as Go To Meeting or Turbo Meeting). 4. The Client will provide a fully functional test system including hardware, software, documentation and any system software and/or upgrades necessary to complete acceptance testing. 5. The Client will install and configure all required personal computers, hardware, software, and communications networking in advance of planned delivery of Systems Innovator's software and/or services. The Client will inform System Innovators of any changes related to their system configuration 6. The Client will prepare an acceptance test plan and test scripts, perform acceptance testing in a timely manner, and report test results and identified problems to the Systems Innovator Project Manager. 25F-17 ASR SANTA ANA ENQUESTA AND INVOICE CLOUD INTEGRATION 03-24-16.DOCX Statement of Work and Investment Requirements Investment Requirements: Page 2 of 5 Qty Description 'Rate Total iNovahTm Application Software & Development Enquesta Real Time Interface 15,000 (Discount to Harris application) (5,000) Subtotal 10,000 Professional Services Enquesta Interface Services 20 Project Management $220.00 $4,400 35 Enquesta Requirements, Development, Testing and Documentation $180.00 $4,510 10 Go Live Support $180.00 $1,800 Invoice Cloud Interface Services 50 Invoice Cloud Interface iNovah API Support for Utlity Payment Data $180 $9,000 Software, Services and Travel Total Investment with t $29,710 Notes for Investment Schedule iNovahTM interfaces, imports and export are priced as a supported custom software license. Prices shown are for license fees only. All professional services for project management, interfaces, customization, training and installation are quoted separately and computed using the hourly rates shown above and estimated travel expenses. Real-time interface for payment inquiry, payment lookup and payment update functions. The scope of this interface is intended to allow iNovah Cashier and future iNovah related payment collection modules to inquire/lookup on account number as well as to update the sourc system. System Innovators will create and provide a development specification that outlines the interface development and 1Novah settings required to meet these requirements. Project Management — Coordination of project related activities, scheduled conference calls, minor business assessment, project related communications, creation and maintenance of project plans, and first level escalation. The hours included in this investment schedule are estimated to span over a five to six month period. Configuration support — Configuration changes required for the implementation and testing of said interface. This item also includes configuration planning and consulting with Customer. System Innovators —a division of N. Harris Computers 800.963.5000 • Fax: 904.645-8892 10550 Deerwood Park Blvd.. Suite 700 Jacksonville, FL 32256 25F-18 ASR SANTA ANA ENQUESTA AND INVOICE CLOUD INTEGRATION 03-24-16.DOCX Estimated Delivery Schedule Page 3 of 5 Once the Client has authorized this additional service, System Innovators will prepare a project schedule for this additional service. The project schedule will identify the project start date and end date as well as a timeline for all project milestones. The project schedule will be mutually monitored and managed by the Client and System Innovators. Any variation to the dates and milestones defined in the project schedule must be mutually agreed upon by the Client and System Innovators. The following project timeline identifies the duration of the milestones for this additional service project. Specific dates for this additional service will be defined in the project schedule. Project Start: Starts upon signature of contract To be determined Deliverable N1: Dedicated Remote Upgrade Support Deliverable N2: Onsite Testing Support Deliverable N3: Onsite Go -Live Support Project Completion: Completion of system acceptance testing by client or Implementation of enhanced software System Innovators —a division of N. Harris Computers 800.963.5000 • Fax: 904.645-8892 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL 32256 25F-19 ASR SANTA ANA ENQUESTA AND INVOICE CLOUD INTEGRATION 03-24-16.DOCX Payment Schedule Page 4 of 5 This investment represents the fixed -price professional services investment for the design, development, coding, testing, and implementation the requested modification described in the Statement of Work. This investment will be paid in two installments based on the milestones identified in the following payment schedule. ci vt' P r Q o rtt 1 100%of License Fees due upon Execution of the Contract $10,000 2 50%of Professional Services Investment due upon Execution of the Contract. $9,855 3 50%of Professional Services Investment due upon delivery of enhanced iNovah software $9,855 Software, Services and Travel Total Investment with Project Change Control All change requests will be submitted in writing, and they will describe the change, the rationale for the change, and specify any change in charges, estimated schedule or other terms, and describe the effect the change will have on the Agreement. The party submitting the change request shall deliver the change request to the other party for review and acceptance or rejection. Depending upon the extent and complexity of the requested change, Systems Innovators may charge a fee for the effort required to analyze it. When charges are necessary for such analysis, Systems Innovators will provide a written estimate of the fee and will provide such analysis upon written authorization by the Client. Both the Systems Innovators Project Manager and the Client Project Manager must approve each change before amending the Agreement and implementing the change. Approved changes affecting charges, schedule or other terms of this Agreement will be incorporated into the Agreement through written Amendment. The terms of a mutually agreed upon Amendment will prevail over those of this Agreement or any previous Amendments. Required Consent The Client will promptly obtain and provide to System Innovators all Required Consents necessary for System Innovators to provide the Services described in this Agreement. A Required Consent means any consent or approvals required to give System Innovators and its subcontractors the right or license to access, use and/or modify (including creating derivative works) to the hardware, software, firmware and other products that the Client uses, without infringing the ownership or license rights (including patent and copyright) of the providers or owners of such products. Approval to Proceed/Invoice Please provide the following information and sign where indicated. By signing below, City of Santa Ana authorizes System Innovators to proceed with the efforts necessary to perform this statement of work and accepts the investment obligations and responsibilities as defined. City of Santa Ana Authorized by: by Its duly authorized representative: Title: Signature: System Innovators —a division of N. Harris Computers 800.963.5000 • Fax: 904.645-8892 System Innovators, by its duly authorized representative Monica Moctezuma Senior Account Executive 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL 32256 25F-20 ASR SANTA ANA ENQUESTA AND INVOICE CLOUD INTEGRATION 03-24-16.DOCX Date: Billing Information April 12, 2016 Page 5 of 5 Please complete the billing and delivery information in the form below. If you require your purchase order number to be included on invoices issued by System Innovators, please include the purchase order number in the form. Bill To Deliver To Name: Name: Title: Title: Address: Address: City, State Zip: City, State Zip: Telephone: Telephone: E-mail: E-mail: PO #: Note: This offer will expire on May 31, 2016 unless extended in writing by System Innovators. Upon completing this investment schedule, please scan and e-mail all pages of the investment schedule to System Innovators at mmoctezuma@systeminnovators.com. System Innovators cannot schedule nor proceed with any work on this additional service until the client has 1) provided all of the information requested in this investment schedule, 2) signed the investment schedule, and 3) returned the investment schedule in its entirety to System Innovators. (for internal use) Project Number: ACCT#/TEAM: Professional Services Consultant: System Innovators —a division of N. Harris Computers 800.963.5000 • Fax: 904.645-8892 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL 32256 25F-21 25F-22 EXHIBIT B illilC1_*' Investment Schedule City of Santa Ana 3 + 2 Year Support Maintenance April 15, 2016 Summary City of Santa Ana has requested an investment schedule to extend maintenance and support of iNovah®for a 3 year term plus an additional two year term. Software Maintenance Services aty Description Term 1 Term 2 Term 3 Term 4 Term 5 1/1/17- 1/1/18- 1/1/19- 1/1/20- 1/1/21- Software Support 12/31/17 12/31/18 12/31/19 12/31/20 12/31/21 1 iNovah -SWS- Enterprise $28,487.42 $29,911.80 $31,407.38 $32,977.75 $34,626.64 Includes: up to 200,000 annual receipts COMPROD/COMTEST Database - For Business Licensing / Dog Licensing / Hotel Visitor Tax / Utility User Tax Phoenix System RealTime Interface enQuesta RealTime Interface Credit Card - TransFirst 1 Check 21- ICL $3,465.00 $3,638.25 $3,820.16 $4,011.17 $4,211.73 1 Hardware Support $5,250.00 $5,250.00 $5,250.00 $5,250.00 $5,250.00 21 TPG A776 Printer 4410 4410 4410 4410 4410 12 APG Cash Drawer 840 840 840 840 840 TOTAL (US Dollars) Isl $37,202.42 $38,800.05 $40p477.54 $42,238.92 $44,088.37 SI Client Considerations: 5% year over year increase for Software Support Fixed price for Hardware Support System Innovators 800.963.5000 • Fax: 904.645.8892 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL 32256 25F-23 IJI�_L Footnotes for Investment Schedule Page 2 of 3 (1) iNovah is licensed based on the Annual Receipt Volume (the number of receipts processed through the iNovah Payment Portal). This license includes unlimited seats of cashiering and reporting modules. All payments (receipts) processed through iNovah are counted regardless of their source or ultimate disposition. Annual cashiering volume — 200,000 receipts annually (2) Organizations may share their iNovah license with multiple departments, provided that they share one server installation (common consolidated payment database) and upgrade to the required annual license volume and associated maintenance increase. (3) The annual support and maintenance investment for application interfaces applies only to those interfaces written and maintained by System Innovators. Support fees for interfaces include modifying interfaces to comply with changes forced by legislation or System Innovators system upgrade. (4) Support Fees for all payment collection software products licensed by System Innovators include help desk support services and upgrades to the latest versions of the licensed software as they become available. The annual Software Support Fee for iNovah entitles the Customer to upgrades/updates to iNovah as defined in the master annual support and maintenance agreement. (5) The maintenance pricing shown only includes the items listed in the table. Any increases to licensed receipt volume, adding new interfaces, customizations or new hardware will warrant new annual maintenance fees. Payment Schedule Annual Support and Maintenance Pee: Term 1 Jan 1, 2017 — Dec 31, 2017 $37,202.42 Term 2 Jan 1, 2018— Dec 31, 2018 $38,800.05 Term 3 Jan 1, 2019 — Dec 31, 2019 $40,477.54 Term 4 Jan 1, 2020— Dec 31, 2020 $42,238.92 Term 5 Jan 1, 2021 — Dec 31, 2021 $44,088.37 System Innovators 800.963.5000 • Fax: 904.645.8892 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL 32256 25F-24 Page 3 of 3 Signature Block By signing below, City of Santa Ana authorizes System Innovators to proceed with the efforts necessary to perform this Statement of Work and accepts the investment obligations and responsibilities as defined City of Santa Ana Agreed to: by its duly authorized representative: Title: Signature: Date: System Innovators 800.963.5000 • Fax: 904.645.8892 System Innovators, by its duly authorized representative: Karin Raudsep Vice President of Client Services 4/7/2016 10550 Deerwood Park Blvd., Suite 700 Jacksonville, FL 32256 25F-25 25F-26 6,0101110 M Imp CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: DONATION AGREEMENT WITH GRIZZLY ATHLETIC BOOSTER CLUB TO SUPPORT AN ATHLETIC CLUB AT GODINEZ HIGH SCHOOL (STRATEGIC PLAN NO. 5,4) CITY MANA ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _••t@7 ❑ As Recommended ❑ As Amended ❑ Ordinance on 131 Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Grizzly Athletic Booster Club for a one-time donation amount of $2,500, subject to nonsubstantive changes approved by the City Manager and the City Attorney. DISCUSSION On August 4, 2015, City Council adopted Resolution 2015-042 establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. This resolution and policy outlines the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Councilmember Tinajero recommends the appropriation of $2,500 to Grizzly Athletic Booster Club to support an ongoing athletic camp program that will begin on Thursday, June 21, 2016, in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 25G-1 Donation Agreement with Grizzly Athletic Booster Club May 3, 2016 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the fiscal year 2015-16 General Non -Departmental account (01105015-62300). The $2,500 will be spent from Councilmember Sal Tinajero's appropriated amount for FY 2015-2016. APPROVED AS TO FUNDS AND ACCOUNTS f : NNzN � S.Es�i' x Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: 1. Donation Request Form 2. Donation Agreement 25G-2 nagr's City of Santa Ana City Ma20 Civic OCenter Plaza Donation Request P.O. Box 1988 Santa Ana, CA 92702 a (714) 647.5200 Contact Information Name: Michael Echaves —� �rne: Teacher/ Head Football Cc1 Address. 3002 Centennial Road city, state, zip: Santa Ana, Ca. IPhone:� u �(714) 433-6600 Email: f michael.echaves@sausd.us fFax: I(714) 433-6731 Orgari. o 0 Name: � Grizzly Athletic Booster Club Tax rapt Status: Is your organization a non-profit or public tax-exempt organization as _ Select One: defined under Section 501(c)(3) of the Internal Revenue Code? �� Yes _e ❑ No �— If No, you will only qualify for a credit for City -related costs for your request (i. e. permit fees, If as, staff time, rental rates for facilities or equipment, etc.). Costs for City services vary and if 26-2749598 approved, credit may or may not cover full cost of requested City services. ax ID #: Do o City Services Credit —(�-- $ Date Needed: May 15, 2016 Mayor/Councilmember: Tinajero mount Requested: Direct Payment Amount 52500oquested:.00 Event Date: II�SpringandS Event Time: June21,2016 — Event Location: untlamental High School Address, City, State, Zip F.002teth Roatl a, C.92704 scription of F Our spring and summer camps are practices that focus on developing our ent I Pnrpese: athlete's skills, competitiveness, confidence, and character. Through the use of these funds, our athletes will benefit dramatically through their ability to self reflect on I community Benefit: their skill development.This benefit well continue on throughout the following years for the program. _—� - —!April Applicant Signature: IDate: 11, 2016 '— Mail: City Manager's Office— M-31 _ Email: donationrequest@santa-ana.org 20 Civic Center Plaza Fax: (714) 647.6954 P.O. Box 1988 Santa Ana, CA 92702 Donation RequestDR • - _ --_--—__—_'-- `_—`— _ :Council Meeting Date: f&verencek or, all related nnv>�� —_--__�____l _—_____ Eligibility Met: I YES / NO Approved Amount: City Manager Signature Date: IT Revised 11/16/2015 25G-4 CITY OF SANTA ANA DONATION AGREEMENT WITH GRIZZLY ATHLETIC BOOSTER CLUB 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on MAY 3, 2016 by and between the City of Santa Ana, a municipal corporation ("City") and, GRIZZLY ATHLETIC BOOSTER CLUB, a California 501(c)3 NON-PROFIT ORGANIZATION ("Recipient"). City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in PROVIDING A SUMMER CAMP TO HELP STUDENTS BUILD ATHLETIC SKILLS AND ABILITIES ("Community Benefit"), The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide funding. 2.2 PubIic Propose. The City, by recommendation of COUNCILMEMBER SAL TINAJERO, believes there is a public purpose in supporting the Community Benefit because it will HELP STUDENTS ENGAGE IN CONFIDENCE AND CHARACTER -BUILDING. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3. TERMS AND CONDITIONS 3.1 Use of Funds, The City has chosen to provide Recipient with a one-time payment of TWO THOUSAND, FIVE HUNDRED DOLLARS ($2,500) for an ongoing program that will begin on Thursday, June 21, 2016, 'because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the funds for such purpose or otherwise comply fully with the terms of this Agreement, City shall have the right to terminate this Agreement and demand the return of the funds pursuant to Section 3.2 below. 3.2 Term: Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect unless and until terminated by the City. The City has the right to terminate this Agreement upon one day's notice, with or without cause, Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10%) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.3 Waivers, Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the fiords will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and CITY OR SANTA ANA DONATION AGREEMENT Page 2 of 3 participant waiver/release protections. This right shall be on -going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3A No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused, by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. -- signatures on following page -- EXHIBIT 2 25G-6 CITY OF SANTA ANA DONATION AGREEMENT Page 3 of 3 CITY OF SANTA ANA By: David Cavazos City Manager Attest: By: Maria D. Haizar Clerk of Council Approved as to Form: By: . TA_ J n M. Funk Assistant City Attorney GRIZZLY ATHLETIC BOOSTER CLUB a 501(c)3 NON-PROFIT ORGANIZATION By: _ Signature Name Title � VITZ 25G-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: AMEND SITE LICENSE AGREEMENT WITH THE ORANGE COUNTY TRANSPORTATION AUTHORITY FOR BUS PASSENGER SERVICES AT THE SANTA ANA REGIONAL TRANSPORTATION CENTER (STRATEGIC PLAN NO, 3, 2C) CITY MAjII GER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the First Amendment to the Site License Agreement with Orange County Transportation Authority, for the term beginning May 3, 2016, through the remaining three of five one-year renewal options to be granted at the City's discretion, to compensate the City $2,282 annually for the use of the license area for bus passenger services at the Santa Ana Regional Transportation Center, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Regional Transportation Center (SARTC) is a regional transportation hub that brings together Amtrak, Metrolink, Orange County Transportation Authority (OCTA), and interstate bus services. It is open to the public seven days a week from 5:00 a.m. to midnight. The facility contains approximately 35,000 square feet of total rental space, including ten bus bays. Currently, four bus bays are licensed to OCTA, five are licensed to private bus operators, and one bus bay remains vacant. In 2009, the City entered into Site License Agreement No. N-2009-046 with OCTA for the use of four bus bays at the Santa Ana Regional Transportation Center (Exhibit 1). Bus Bays 1, 2, and 3 primarily service OCTA commuter services Monday through Friday. Bus Bay 10 services OCTA bus Route 59, which operates seven days a week. Earlier this year, OCTA contacted the City requesting to license one additional bus bay for the implementation of Bravo! Route 560 service starting in June 2016. This new route will operate every 12 minutes during rush hour and every 18 minutes, midday, between SARTC and Goldenwest Street in Westminster. Every other trip will serve Long Beach. Route 560 will travel Seventeenth Street and Westminster Avenue along the same route as OCTA's existing Route 60 but with fewer stops. This new rapid bus service will 25H-1 Amend Site License Agreement for Bus Passenger Services at the SARTC May 3, 2016 Page 2 reduce travel time from Santa Ana to Long Beach by twenty percent, a trip that currently takes more than ninety minutes. Of the ten bus bays at SARTC, five are licensed to private bus service passenger providers at an average of $33,000 annually per bus bay. At this time, the City is agreeing to license to OCTA a total of five bus bays for a total annual amount of $2,282, subject to CPI increases. 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), Strategy C (promote and market Santa Ana specific strengths in the regional economy including: location, size of workforce, proximity to airport/train, and availability of industrial/commercial opportunities such as 55-freeway corridor, South Main corridor, South Bristol Street, Harbor Boulevard, Downtown and Streetcar Corridor). FISCAL IMPACT The Site License Agreement grants OCTA the option of monthly payments or a single, annual payment. Revenues received in FY 2015116 will be deposited into the PWA-SARTC Operations revenue account (No. 06717002-53819). Annual revenue of $2,282 will be recognized in the same revenue account and budgeted for expenditure in the FY 2016/17 PWA SARTC-Operations Budget (Accounting Unit No. 06717650) and in subsequent budgets, if remaining extension options are exercised. i re Mousavipour Executive Director Public Works Agency FM/MLM/GPL APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez' ° Executive Director Finance & Management Services Agency Exhibits: 1. Site License Agreement No. N-2009-046 2. Amendment to Site License Agreement — OCTA 25H-2 N-2009-046 INSURANCE ON FILE DO NOT RECORD WORK MAY PROCEED UNTIL INSURANCE EXPIRES Sf CLERK OF COUNCIL SITE LICENSE AGREEMENT DATE: MAY 2 0 2o09 BETWEEN THE CITY OF SANI'A ANA AND ORANGE COUNTY TRANSPORTATION AUTHORITY THIS LICENSE AGREEMENT ("Agreement") is made and entered into this r__day of :JUj',) 2. , 2009, by and between the City of Santa Ana, a charter city, and municipal corporation, duly organized and exiting tinder the constitution and laws of the State of California, herein referred to as "Licensor", and the Orange County Transportation Authority herein referred to as "Licensee". RECITALS: A. The City of Santa Ana desires to provide the Licensee with Bus Bays 1, 2, 3, and 10 at The Santa Ana Regional Transportation Center ("SARTC"), and Licensee desires to contract for such services with Licensor. B. Licensee represents that it is qualified to provide such services to City. In undertaking the performance of this Agreement, Licensee represents that it is knowledgeable in its field and that any service performed under this Agreement will be performed in compliance with all required standards of Interstate Commerce Commission and United States Department of Transportation and include all City, County, and State licenses. NOW THEREFORE, in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all terms and conditions hereof, the parties hereto agree as follows: ARTICLE I —TERM OF LICENSE Section 1.01 License Area and Use (a) Licensor owns the real property described in Exhibit "A" attached hereto and made a part hereof (the "Property"), commonly know as The Depot at Santa Ana located at 1000 East Santa Ana Boulevard, Santa Ana, California. Licensor grants to Licensee the privilege of a personal, non- exclusive, revocable license ("License") to encroach upon the "License Area", as herein described and shown in general in Exhibit "B", attached hereto and incorporated herein by reference, for the purpose of accommodating a bus transportation Company and for no other purpose. (b) The right and permission of Licensee is subordinate to the prior and paramount right of Licensor to use the Property in its entirety for public L�'�,11olml 25H-3 Is EXHIBIT A OMq 25H-4 a a- 44 EW4 z P� 25H-5 DO NOT RECORD purposes to which it presently is and may, at the option of Licensor, be devoted. Licensee undertakes and agrees to use the License Area and to exercise this License at all times in such manner as will not unreasonably interfere with the full use and enjoyment of the Property by Licensor. (c) Licensee hereby acknowledges that title to the Property is vested in Licensor and agrees never to assail or resist the same, and further agrees that Licensee's use and occupancy of License Area shall be referable solely to the permission herein given. Section 1.02 Term The term of the Agreement for the License Area ("Term") shall be Five Years (5) commencing on the date of execution hereof ("Commencement Date"), At the Licensoe's sole discretion, Licensee may be granted extension of this Agreement, by and through 5 one-year options to extend the term. Earlier termination of this License shall be in conformance with Section 5.02, Section 1,03 Consideration/Maintenance Fee (a) Licensee shall pay to Licensor an annual Maintenance Fee for the maintenance and upkeep of the License Area in the amount of One Thousand Six Hundred Fifty Dollars ($1,650.00) payable in one full payment upon execution of this Agreement, and thereafter, on each anniversary date of this Agreement. Licensee may choose to pay said Maintenance Fee on a monthly basis with payments in the amount of One Hundred Thirty Seven Dollars and Fifty Cents ($137.50) per month. Payments will be due upon execution of this Agreement and thereafter on or before the 10'h of each month, payable to "The City of Santa Ana" and remitted to: The Depot at Santa Ana, 1000 East Santa Ana Blvd., Suite 108, Santa Ana, CA 92701. A late charge often percent (10%) shall be applied after any payment hereunder is due but unpaid. (b) Said Maintenance Fee shall be applied towards the maintenance and upkeep of Licensee's four bus bays. Regular maintenance includes, but is not limited to the following: quarterly power washing of each of the bus bays, repair/replacement of four wheel stops, striping for each bus bay, removal of all trash, debris, graffiti, etc. (c) Licensee's annual maintenance payments shall be subject to an automatic annual adjustment in accordance with, and proportionate to, the change in the Consumer Price Index for Los Angeles —Anaheim —Riverside (CPI). Licensor shall calculate the amount of the CPI adjustment and notify Licensee in writing on each anniversary of this Agreement. 25H-6 DO NOT RECORD Section 1.04 RESERVED Section 1.05 Non -Possessory Interest Licensor retains full possession of the License Area and Licensee will not acquire any interest temporary, permanent, irrevocable, possessory or otherwise by reason of this Agreement, or by the exercise of the permission given herein. Licensee will make no claim to any such interest. Any violation of this provision will immediately void and terminate this Agreement. Section 1,06 Non -Recording Neither party shall record this Agreement ARTICLE 2 — RESERVED. ARTICLE 3 — IMPROVEMENTS AND ACCESS Section 3.01 Licensee's Equipment (a) Licensee shall hold title only to any equipment placed on the License Area by Licensee. All of Licensee's equipment shall remain the property of Licensee and are not fixtures that will stay on the License Area or Property. Licensee has the right to remove all of its equipment at its sole cost and expense on or before the expiration or termination of this Agreement; provided that such removal shall be done in a professional and careful manner, without interference or damage to any other equipment, structures or operations on the License Area or the Properly, including the use of the License Area or Property by Licensor or any of Licensor's licensees, assignees or lessees. Licensee shall repair any damage to the License Area caused by such removal and will leave the License Area in satisfactory condition as approved in writing by Licensor. Licensee shall be required to remove all its equipment upon expiration/termination of the License, and if Licensee fails to do so within thirty (30) days, Licensor may elect to do so at Licensee's sole cost and expense, or elect to not remove such equipment, in which case, such equipment shall become the property of Licensor, at Licensor's option. Any personal property, equipment or other improvements that are not removed within said thirty - day period shall become the property of Licensor, at Licensor's option. Licensee's obligation to pay compensation to Licensor shall not cease, unless and until the equipment that Licensee must remove, are removed to Licensor's approval, (b) Each party shall provide access to the License Area to the other party, and its employees, agents, contactors and subcontractors, twenty-four (24) 25H-7 DO NOT RECORD hours a day, seven (7) days a week. Except in the case of emergencies, Licensor shall give Licensee twenty-four (24) hours notice prior to entry into the License Area. Licensor represents and warrants that it has full rights of ingress and egress to and from the License Area, and hereby grants such rights to Licensee to the extent required to maintain, and operate Licensee's equipment within the License Area. Licensee's exercise of such rights shall not cause undue inconvenience to Licensor. (c) Reserved. (d) Upon the expiration or termination of this Agreement, Licensor shall approve in writing the surrender of the License Area by Licensee only after being satisfied that License Area has been left in good and clean condition, less ordinary wear and tear. (e) Quiet Enjoyment, Upon Licensee paying the license tee reserved hereunder, and observing and performing all of the covenants, conditions, and provisions on Licensee's part to be observed and performed hereunder, Licensee shall have quiet possession of its License Area for the entire term hereof, subject to all the provisions of this License, Section 3.02 Liens Licensee will not permit any mechanics' or materialmens' or other liens to stand against the License Area by reason of any use or occupancy by Licensee, or any person claiming under Licensee. ARTICLE 4 — INDEMNITY AND INSURANCE Section 4.01 Indemnification, Defense, Hold Harmless Licensee shall indemnify, defend and hold harmless the City, its agents, officers, employees and volunteers from and against any and all claims (including attorneys' fees and reasonable expenses for litigation or settlement) for any loss or damages, bodily injuries, including death, damage to or loss of use of property caused by the negligent acts, omissions or willful misconduct by Licensee, its officers, directors, employees, agents, subcontractors or suppliers in connection with or arising out of the performance of this Agreement. Section 4.02 Insurance A. Licensee shall maintain self insurance coverage during the entire term of this Agreement. Licensee shall provide the following self insurance coverage: 25H-8 DO NOT RECORD 1. Commercial General Liability, to include Products/Completed Operations, Independent Contractors', Contractual Liability, and Personal Injury Liability with a limit of $4,000,000.00 per occurrence, 2. Automobile Liability Insurance to include owned, hired and non -owned autos with a limit of $4,000,000.00 each accident; 3. Workers' Compensation with limits as required by the State of California; and 4. Employers' Liability with minimum limits of $1,000,000,00. B. Proof of self insurance coverage, in the form of an insurance certificate will be submitted by Licensee to Licensor prior to commencement of the Agreement. It is agreed that such self insurance shall be primary and non -contributive to any insurance or self-insurance maintained by the Licensor. Section 4.03 Reserved, Section 4.04 Certificates of Insurance; Additional Insured Endorsements Prior to execution of this Agreement, Licensee shall furnish to Licensor certificates of insurance and additional insured endorsements to each of Licensee's insurance policies, subject to approval of the City Attorney, evidencing the foregoing insurance coverages as required by this Agreement; these certificates shall: I . provide the name and policy number of each carrier and policy; 2. shall state that the policy is currently in force; and 3. shall promise to provide that such policies will not be canceled, suspended, voided, reduced in coverage or in limits, or modified without thirty (30) days prior written notice of Licensor; and 4. If Licensee self insures, Licenssee shall provide proof of self insurance including the following: "Licensee represents to Licensor and Licensor acknowledges that Licensee self -insures in the ordinary course of its business. Notwithstanding any other provision contained herein to the contrary, the insurance obligations of Licensee set forth in this License may be satisfied by endorsements to existhrg excesshimbrella policies written by companies of recognized standing showing a self-insurance retention of not less than the public liability requirement." Licensee shall maintain the foregoing insurance coverages in force throughout the term of this Agreement. The requirement for carrying the foregoing insurance coverages shall 25H-9 DO NOT RECORD not derogate from the provisions for indemnification of Licensor by Licensee under the Agreement, Licensor or its representatives shall at all times have the right to demand the original or a copy of all these policies of insurance, which Licensee shall provide within fifteen (15) days of Licensor's request. ARTICLE 5 — TERMINATION AND DEFAULT Section 5,01 Termination in the Event of Casualty or Condemnation (a) In the event of any damage, destruction or condemnation of the License Area, which renders the License Area unusable or inoperable in Licensor's judgment, Licensee shall have the right, but not the obligation, to terminate the Agreement with respect to the subject License Area by giving written notice to Licensor within thirty (30) days after such damage, destruction or condemnation. If by virtue of such casualty or condemnation, Licensor determines that the License Area is no longer adequate for Licensee to continue its operations, or any repairs to the License Area have not been completed or cannot reasonably be completed within sissy (60) days from the date of the damage, destruction or condemnation, This License Agreement will become null and void. (b) In the event of condemnation, unless Licensee is allowed by the condemning authority to continue its operations in the License Area, this Agreement shall terminate as of the date title to the Property vests in the condemning authority or Licensee is required to cease its operations, whichever is earlier. If any property described herein or hereinafter added hereto is taken in eminent domain, the entire award shall be paid to Licensor. Section 5.02 Termination (a) For Cause: This Agreement may be terminated on fifteen (15) days prior written notice as follows: (1) by either party upon a default of any covenant or term hereof by the other party, which default has been noticed and is not cured within thirty (30) days of receipt of written notice of default, provided that the grace period for any monetary default is only ten (10) days from receipt of notice; or (2) by Licensee if Licensee is unable to occupy and utilize the License Area due to any action of the Interstate Commerce Conunission or the Department of Transportation. (b) Without Cause: Either party may terminate this Agreement with ninety (90) days prior written notice to the other party. ARTICLE 6 — ASSIGNMENT, ABANDONMENT, DEFAULT, INSOLVENCY 25H-10 DO NOT RECORD Section 6.01 Assignment Licensee may not assign this Agreement. '['his Agreement is personal to Licensee, and Licensee will not assign, transfer or sell this Agreement or any privilege hereunder in whole or in part, and any attempt to do so will be void and confer no right upon any third party. Licensee shall have the right to enter into contractual agreements with independent contractor acting as agent, package deliverers, telegraphic, monetary or other transmittal operators. Section 6.02 Abandonment by Licensee Should Licensee breach this Agreement and abandon the License Area prior to the expiration of the Term or Renewal Term, Licensor may: (a) Continue this License in effect by not terminating Licensee's right to the License Area, in which event Licensor shall be entitled to enforce all of its rights and remedies under this Agreement, including the right to recover the connpensationleonsideration specified in this Agreement as it becomes due under this Agreement; or (b) Terminate this Agreement and recover from Licensee; 1, The worth at the time of award of the unpaid compensation which has been carried or the stint of one (1) year's compensation, whichever is greater, at the time of termination of the Agreement; or 2. The worth at the time of award of the amount by which the unpaid compensation which would have been canted after termination of the Agreement until the time of award exceeds the amount of compensation loss that Licensee proves could have been reasonably avoided; or 3. The worth at the time of award of the amount by which the unpaid compensation for the balance of the term of this Agreement after the time of award; and, 4. Any other amount necessary to compensate Licensor for all detriment proximately caused by Licensee's failure to perform its obligations under this Agreement. Section 6.03 Default by Licensee Should Licensee default in the performance of ,my of the terms, conditions, or obligations contained in this Agreement, Licensor may, in addition to the remedies specified in Section 6.02 of this License, re-enter and regain possession of the License Area in the manner provided by the laws of unlawful detainer of the State of California then in effect. 25H-11 DO NOT RECORD Section 6.04 Insolvency of Licensee The insolvency of Licensee as evidenced by a receiver being appointed to take possession of all or substantially all of the property of Licensee, or the making of a general assignment for the benefit of creditors by Licensee, or the filing of a petition in bankruptcy shall terminate this Agreement and entitle Licensor to re-enter and regain possession of the License Area. Section 6.05 Cumulative Remedies The remedies given to Licensor in this Agreement shall not be exclusive, but shall be cumulative and in addition to all remedies now and hereafter allowed by law or elsewhere provided in this Agreement. Section 6.06 Waiver of Breach The waiver by Licensor of any breach by Licensee of any of the provisions of this Agreement shall not constitute a continuing waiver or a waiver of any subsequent breach by Licensee either of the same or another provision of this Agreement. ARTICLE 7 —HAZARDOUS MATERIALS Section 7.01 At the time of execution of this License, Licensor warrants that the License Area is clean and contains no kno-wn hazardous materials. Licensee represents and warrants that it will comply with all environmental laws during the term of this License; its use of the License Area herein will not generate any hazardous substance, and it will not store or dispose on the License Area nor transport to or over the License Area any hazardous substance, Licensee further agrees to clean-up and remedfate any hazardous substance on the License Area and Property caused by Licensee, and hold Licensor harmless from and indemnify Licensor against any release of any such hazardous substance and any damage, loss, or expense or liability resulting from such release including all attorneys' fees, costs and penalties incurred as a result thereof. "Hazardous substance" shall be interpreted broadly to mean any substance or material defined or designated as hazardous or toxic waste, hazardous or toxic material, hazardous or toxic or radioactive substance, or other similar term by any federal, state or local environmental law, regulation or rule presently in effect or promulgated in the future, as such laws, regulations or rules may be amended from time to time; and it shall be interpreted to include, but not be limited to, any substance which after release into the environment will or may reasonably be anticipated to cause sickness, death or disease. ARTICLE 8 — LIISCELLANEOUS 25H-12 DO NOT RECORD Section 8.01 Force Mai eure —Unavoidable Delays Should the performance of any act required by this Agreement to be performed by either Licensor or Licensee be prevented or delayed by reason of an act of God, strike, lockout, labor troubles, inability to secure materials, restrictive governmental laws or regulations, or any other cause except financial inability not the fault of the party required to perform the act, the time for performance of the act will be extended for a period equivalent to the period of delay, and performance of the act during the period of delay will be excused, provided, however, that nothing contained in this section shall excuse the prompt payment of compensation by Licensee as required by this Agreement or the performance of any act rendered difficult solely because of the financial condition of the party, Licensor or Licensee, required to perform the act. Section 8.02 Notice Any written notice or required submittals, given under the terms of this Agreement, shall be delivered personally, or mailed, certified mail, postage prepaid, addressed to the party concerned as follows: To Licensor: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P,O. Box 1988 Santa Ana, CA 92702.1988 Telefacsimile (714) 647-6956 With courtesy copies to: and, Deputy City Manager for Development Services City of Santa Ana 20 Civic Center Plaza (M-25) P.O. Box 1988 Santa Ana, CA 92702 Telefacsimile (714) 647-6549 City Attorney City of Santa Ana 20 Civic Center Plaza (Ivl-29) RO. Box 1988 Santa Ana, CA 92702 Telefacsimile (714) 647-6515 To Licensee: 25H-13 DO NOT RECORD Orange County Transportation Authority 550 S. Main Street Orange, CA 92863-1584 Attn: Ryan Erickson A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed asset forth above. If sent by telefacsimile, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. Section 8.03 Contract Administrator The Executive Director of the Community Development Agency, or his/her designee, shall be City's License Administrator for this Agreement and all approval and notices required to be given herein shall be so directed and addressed. Section 8.04 Compliance with Laws Licensee shall at Licensee's own cost and expense comply with all statutes, ordinances, regulations, and requirements of all governmental entities, including federal and state, county and municipal, relating to Licensee's use and occupancy of the License Area and Licensee's equipment whether such statute, ordinances, regulations, and requirements be now in force or hereinafter enacted. Thejudgnnent of any court of competentjurisdiction, or the admission by Licensee in a proceeding brought against Licensee by any government entity, that Licensee has violated any such statute, ordinance, regulation, or requirement shall be conclusive as between Licensor and Licensee and shall be considered grounds for termination of this Agreement by Licensor. Licensee will obtain all permits and other governmental approvals, required in connection with Licensee's activities hereunder, and update such permits/approvals as necessary, Section 8.05 Binding on Heirs and Successes This Agreement shall be binding on and shall inure to the benefit of tine heirs, executors, administrators, successors, and assigns of the parties hereto, The provisions of this Section shall not be deemed to be a waiver of any of the conditions against assignment set forth herein. Section 8.06 Partial Invalidity to 25H-14 DO NOT RECORD Should any provision of this Agreement be held by a court of competentjurisdiction to be either invalid, void, or unenforceable, the remaining provisions of this Agreement shall remain in full force and effect unimpaired by the holding, so long as the reasonable expectations of the parties hereto are not materially impaired. Section 8.07 Waste or Nuisance Licensee shall not commit or permit the connnission by others of any waste on tlue License Area. Licensee shall not maintain, commit, or permit the maintenance or commission of any nuisance as defined in Section 3479 and/or Section 3480 of the California Civil Code on the Promises or License Area; and Licensee shall not use or permit the use of tlue License Area for any unlawful purpose. Section 8.08 Repairs Licensee shall be required to make any repairs to the License Area occurring from damages caused by Licensee, its employees, agents, contractors, and subcontractors. Section 8.09 Time of Essence Time is expressly declared to be of the essence in this Agreement. Section 8.10 Governing Law 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 vonue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. Section 8.11 Survival 'terms and conditions of this Agreement which by their sense and context survive the tormhuation or expiration of this Agreement, shall so survive. Section 8,12 State of Emergency/Publie Necessity Due to the fact that'fhe Depot has been designated a Homeland Security Evacuation Center, upon the declaration of a state of emergency/public necessity, Licensor may, give immediate notice in writing to Licensee to suspend or revoke normal operation under this Agreement without liability to Licensee when the emergency/public necessity so requires, or to suspend operation immediately hereunder temporarily in the event of such public emergency, as may be determined by the City Manager. Such suspension will terminate as soon as the public necessity or emergency no longer exists. Licensee shall 11 25H-15 DO NOT RECORD be compensated for any time of suspended use or operation by Licensor in the form of an equal amount of time added onto the term of the License by Licensor (i.e. Licensee suspends operation for 2 months due to state of emergency, License is extended an additional 2 months). Section 8.13 Conflict of Interest Licensee covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of this License Agreement specified herein. Section 8,14 Attorney's Fees In the event suit is brought by either party to enforce the terms and provisions of this Agreement or to secure the performance hereof, each party shall bear its own attorney's fees. Section 8,15 Exclusivity and Amendment This Agreement constitutes the entire agreement and understanding between Licensor and Licensee respecting the License Area, the licensing of the License Area to Licensee, or the License Term herein specified, and correctly sets forth the obligations of Licensor and Licensee to each other as of its date. Any agreements or representations respecting the License Area or their licensing between the parties not expressly set forth in this instrument are null and void. This Agreement or any part of it may not be changed, altered, modified, limited or extended orally or by any Agreement between the parties, unless such Agreement is expressed in writing, signed and acknowledged by Licensor and Licensee, or their successors in interest. Section 8.16 Captions Captions used in this Agreement are for ease of reference only and shall not affect the construction or interpretation of this Agreement. Section 817 Non -Discrimination Licensee shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or mental or physical disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Licensee affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 12 25H-16 DO NOT RECORD IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by and through their authorized officers the day, month and year first written above. CITY OF SANTA ANA DAVID N. REAM I City Manager ATTEST: �"I�ATI iCIA F. HEALY Clark of the Council APPROVED AS TO FORM: Joseph W. Fletcher City Attorney BY: Lisa E. Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: Cynthia J. Nel on, Deputy City Manager for Development Services ORANGE COUNTY TRANSPORTATION AUTHORITY 13 JAMES S. KENAQ' Interim Chief Executive Officer ATTEST: q� WENDY KNOWL S Clerk of the Board APPROVED AS TO FORM: Lioagg� ` Kennard R. Smart, General Counsel By: Title; Tax ID # 25H-17 25H-18 FIRST AMENDMENT TO SITE LICENSE AGREEMENT BETWEEN THE CITY OF SANTA ANA AND ORANGE COUNTY TRANSPORTATION AUTHORITY THIS FIRST AMENDMENT TO SITE LICENSE AGREEMENT BETWEEN THE CITY OF SANTA ANA AND ORANGE COUNTY TRANSPORTATION AUTHORITY ("License Agreement") is made and entered into this 3rd day of May, 2016, by and between the above -referenced parties. RECITALS A. On June 1, 2009, the City of Santa Ana ("Licensor") entered into Agreement #N-2009-046 with the Orange County Transportation Authority ("Licensee") for the purpose of licensing bus bays 1, 2, 3, and 10 to Licensee at the City -owned Santa Ana Regional Transportation Center (`SARTC"), which is also known as "The Depot". B. The original term of the License Agreement was 5 years, from June 1, 2009 through May 31, 2014, with 5 one-year extension options to be granted at Licensor's sole discretion. C. Through such options, the Agreement remains in effect through May 31, 2016 and is subject to three remaining one-year options at Licensor's sole discretion. D. The parties now wish to amend the Agreement to include a fifth bus bay to the "License Area" that is defined in the License Agreement by reference to Exhibit B to the License Agreement. The Parties therefore agree: The original Exhibit B to the License Agreement shall be superseded in its entirety by the Site Plan that is attached to this First Amendment bearing the same exhibit title and depicting bus bays 1, 2, 3, 9, and 10. All references to the "License Area" shall mean the new Site Plan and more specifically these five numbered bus bays. There is no Exhibit A to this First Amendment. 2. Section 1.03(a), Consideration/Maintenance Fee, is amended to read in its entirety: "Licensee shall pay to Licensor an annual Maintenance Fee for the maintenance and upkeep of the License Area in the amount of Two Thousand Two Hundred Eighty -Two Dollars ($2,282,00) payable effective June 1, 2016, and thereafter, in its entirety on June 1" of each year of this Agreement. Licensee may choose to pay said Maintenance Fee on a monthly basis with payments in the amount of $190.17 per month. Payments will be due upon execution of this First Amendment and thereafter on or before the 10°i of each month, payable to "The City of Santa Ana" and remitted to: The Depot at Santa Ana, 1000 East Santa Ana Blvd, Suite 108, Santa Ana, CA 92701. A late charge of ten percent (10%) shall be applied after any payment hereunder is due but unpaid." 3. Except as modified by this First Amendment, the terms and conditions of the License Agreement remain unchanged and in full force and effect. Exhibit 2 Page I of 2 25H-19 IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the Agreement the date and year first written above. CITY OF SANTA, ANA David Cavazos City Manager ATTEST Maria D. Huizar Clerk of Council APPROVED AS TO FORM _ ie. Jo M. Fink Assistant. City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency ORANGE COUNTY TRANSPORTATION AUTHORITY Nance: Title: ATTEST Name: Title: APPROVED AS TO FORM Nance: Page 2 of 2 25H-20 -^- r,A�aO�Ja 3 �• � E nt�$aiMeRe�lan�l Genlq kbq RepioneL � `� � 4 5 � IT • p � }, Yrsn partgtio � ; � ! j InK Sthllon a �c .�a cmiz-`,y� iSlP..l�q i Hq[dwoods ® [ ° 25H-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE; AGREEMENT AMENDMENTS WITH WM CURBSIDE AND WELLDYNE/RX WEST FOR HAZARDOUS WASTE COLLECTION SERVICES (STRATEGIC PLAN NO.4, 1; 5) CITY MANAGER IyzK*1u im4a"OvisowN CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1"Reading ❑ Ordinance on 2n® Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1, Authorize the City Manager and Clark of the Council to amend the agreements with WM Curbside, LLC, for residential universal waste collection and battery recycling, by amending the term of the existing agreements to expire on June 30, 2018, and increasing the funding allocation by an amount not to exceed $25,000 for each agreement, subject to nonsubstantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager and Clerk of the Council to amend the agreement with Welldyne/RxWest for medical sharps disposal services, by amending the term of the agreement to expire on June 30, 2018, and increasing the funding allocation by an amount not to exceed $25,000, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION Assembly Bill 939 mandates municipalities to divert 50 percent of all waste generated from being dumped into the landfill and to implement recycling programs, The City has demonstrated compliance by implementing a variety of programs through its solid waste collection contractor, The City recently engaged solid waste consultant Sloan Vasquez to develop a scope of work for new solid waste services and programs that would be Implemented upon the expiration of the current solid waste agreement in June 2018, Along with the programs provided through solid waste collection services, the City has separate agreements with WM Curbside, LLC, to provide curbside collection of universal waste from Santa Ana residents, and for used battery collection at City facilities. The City also has an agreement with Welidyne/RxWest to provide residents with free, safe disposal of medical sharps and needles, which require special handling, All three agreements expire upon expenditure of allocated funds, which is expected by May 2016. 251-1 Amend Agreements with WM Curbside, LLC, and Welldyne/RxWest May 3, 2016 Page 2 The development of the new scope of work for solid waste services may include some, or all, of the additional waste collection services. However, preparatory work to develop the new solid waste agreement scope of work is not scheduled to be completed until after the three agreements expire. Staff recommends extending the agreements through June 30, 2018, to provide an opportunity to include as many of these support programs in the implementation of the new solid waste services agreement and to ensure continuation of the mandated programs in the interim. Compensation for each agreement will be increased by $25,000 for services to be rendered through June 30, 2018. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #4 - City Financial Stability, Objective #1 (maintain a stable, efficient and transparent financial environment); and Goal #5 - Community Health, Livability, Engagement & Sustainability. ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funds in the amount of $75,000 are available in the FY 2015-16 Public Works Refuse Collection Service Account (No. 06917640-62300) and will be encumbered to meet contractual obligations of all three agreements. Preliminary estimates of fiscal year expenditures for this project are as follows and are subject to change: Fiscal Year Account No Amount 2016117 06917640-62300 $37,500 2017/18 06917640-62300 $37,500 TOTAL: $75,000 Fre d4Mous vipour Executive Director Public Works Agency FM/MLM/CK APPROVED AS TO FUNDS AND ACCOUNTS: -Sszl� Francisco Gutierrez � Executive Director Finance & Management Services Agency Exhibit: 1. Residential Universal Waste Collection Agreement with WM Curbside, LLC 2. Battery Recycling Agreement with WM Curbside, LLC 3. Medical Sharps Disposal Agreement with Welldyne/RxWest 251-2 MRST AMENDMENT TO AGREEMENT TO PROVIDE RESIDENTIAL UNIVERSAL WASTE COLLECTION THIS FIRST AMENDMENT TO AGREEMENT is entered into this Ora day of May, 2016, by and between WMCurbside, Inc. ("Consultant"), and 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"). RECITALS A. The patties entered into Agreement A-2008-062 dated April 7, 2008, to provide universal waste collection. B. In accordance with the terms and conditions of the Agreement, the parties desire to amend the compensation and extend the Term of the Agreement. WHEREFORE, in consideration of the covenants contained in the Agreement, and subject to all the terms and conditions of the Agreement, the parties agree as follows: 1. Section 2, COMPENSATION, shall be amended to increase compensation in the amount not to exceed $25,000.00, to pay for the additional services during the extended term. 2. Section 3, TERM, shall be amended to extend the term of said Agreement period to June 30, 2018, Except as hereinabove modified, the terms and conditions of said Agreement remain unchanged and in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID CAVAZOS Cleric of the Council City Manager APPROVED AS TO FORM: Page I of 2 Exhibit 1 251-3 Sonia R. Carvalho, City Attorney 0 y. SESANDOV )�E S ssi YChi'd Assistant City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT FRED MOUSAVIPOUR, P.E. -B—Yll Executive Director of Title: Public Works Agency Page 2 of 2 251-4 SECOND AMENDMENT TO AGREEMENT TO PROVIDE BATTERY RECYCLING THIS SECOND AMENDMENT TO AGREEMENT is entered into this 4Trr day of May, 2016, by mud between WMCurbside, hie, ("Consultant"), and 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"), RECITALS A. The parties entered into Agreement N-2007-086, dated July 1, 2007, to provide Small Battery Recycling. B. On September I, 2009, the parties executed an Amendment N-2007-086-001, to extend the term of the agreement. C. In accordance with the terms and conditions of the Agreement, the parties desire to amend the compensation and extend the Tenn of the Agreement. WHEREFORE, in consideration of die covenants contained in the Agreement, and subject to all the terms and conditions of the Agreement, except those amended by the Amendment and this Second Amendment, the parties agree as follows: Section 2, COMPE.NSATION, shall be amended to increase compensation in the amount not to exceed $25,000.00, to pay for the additional services during the extended term. 2. Section 3, TERM, shall be amended to extend the term of said Agreement period to June 30, 2018. Except as hereinabove modified, the terms and conditions of said. Agreement remain unchanged and in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to the Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA IVL4RIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: Page 1 of 2 Exhibit 2 251-5 Sonia R. Carvatho, City Attorney B J SE SAINDOVA �t�v ef � i hief Assistant City A torney RECONITMENDED FOR APPROVAL: CONSULTANT FRED MOUSAVfPOUR, P.E. By; Executive Director of Title: Public Works Agency Page 2 of 2 251-6 THIRD AMENDMENT TO AGREEMENT THIS THIRD AMENDMENT TO AGREEMENT is entered into this 47 day of May, 2016, by and between WellDyne/RxWest ("Consultant"), and 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"). RECITALS A. The parties entered into Agreement A-2007-278, dated December 3, 2007, to ensure used medical needles ("sharps") are collected and disposed of in safe and sanitary manner, B. On December 31, 2008, the parties executed a First Amendment to the Agreement No. A-2007-278-01, to extend the term of the agreement. C. On June 30, 2010, the parties executed a Second Amendment to the Agreement No, A-2007-278-02, to extend the compensation and term of the Agreement. C. In accordance with the terms and conditions of the Agreement, the parties desire to amend the compensation and extend the Tenn of the Agreement. WHEREFORE, in consideration of the covenants contained in the Agreement, and subject to all the terms and conditions of the Agreement, except those amended by the First and Second Amendment, the parties agree as follows: Section 4, COMPENSATION, shall be amended to increase compensation in the amount not to exceed $25,000.00, to pay for the additional services during the extended tens. 2. Section 3, TERM, shall be amended to extend the tern of said Agreement period to June 30, 2018, Except as hereinabove modified, the terms and conditions of said Agreement remain unchanged and in frill force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Third Amendment to the Agreement the date and year first above written. A17EST: MARIA D. HUIZAR Cleric ofthe Council CITY OF SANTA ANA DAVID CAVA70S City Manager Page 1 of 2 Exhibit 3 251-7 APPROVED AS 7*0 FORM: Carvallio, City Attorney FOSE SANDOV/ fL Chief Assistant City RECOMMENDED FOR APPROVAL: CONSULTANT FRED M:OUSAVFPOUR, P.E. By: Executive Director of Title: Public Works Agency Page 2 of 2 251-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: AGREEMENT WITH FIELDTURF FOR SYNTHETIC TURF REPLACEMENT SERVICES AT DAN YOUNG SOCCER COMPLEX FIELDS #2 AND #4 (RFP NO. 16-01) (PROJECT 16-2660 AND 16-2666) (STRATEGIC PLAN NO. 6, 1 F) (SURPLUS ALLOCATION FUNDING) / CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _":e - k ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on Zed Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO IJIR41THIII&IIA 7 Authorize the City Manager and Clerk of the Council to execute an agreement with FieldTurf to provide synthetic turf field replacement services for a one-year term beginning May 8, 2016, in an amount not to exceed $1,035,675 over the life of the agreement, which includes a 15 percent contingency, subject to nonsubstantive changes approved by the City Manager and City Attorney. Project in accordance with the Council approved Surplus Allocation Plan as of October 20, 2015. Department: Project: Category Total Funding: Parks and Recreation Dan Young Soccer Court Field #2 Syn Turf Parks $640,000 DISCUSSION The Dan Young Sports Complex (DYSC) is located at 3000 W. Edinger Avenue in Centennial Regional Park. Field No. 4 was constructed with synthetic turf in 2004 and Field No. 2 was constructed with synthetic turf in 2005. Both fields were constructed with complete drainage systems underneath the synthetic turf. Due to heavy use, weathering, and expiration of synthetic turf service life, the turf needs to be replaced. This turf replacement project involves removal and disposal of the worn turf, inspection of the drainage system, preparation for new turf, and installation of the synthetic turf system in Centennial Regional Park Field No. 2 and Field No. 4. The project also includes providing maintenance equipment and training necessary for the upkeep of the synthetic turf fields. 25J-1 Agreement with FieldTurf for Synthetic Turf Replacement Services Agreement May 3, 2016 Page 2 A Request for Proposals (RFP No. 16-01) for DYSC Field Numbers 2 and 4 Synthetic Turf was posted on the City website on March 9, 2016, with proposals due on March 31, 2016. Six proposals were received from different synthetic turf firms. Most firms submitted multiple synthetic turf products for a total of 13 different products. The proposals from the firms and corresponding product options were review by a four -member committee comprised of Public Works Agency and Parks & Recreation staff. The firms were evaluated based on qualifications, understanding of needs, and overall proposal. Consideration was given to all the synthetic turf products based on manufacturing quality and product specifications. Each product proposal fee schedule was evaluated, resulting in a percentage score assigned for each firm/product combination. This process ensured the selection of a qualified firm and a quality synthetic turf product. The final rankings of the top six firm/product proposals are as follows: Rank Firm / Product Score 1 FieldTurf / FTRV 360 94 2 FieldTurf / XM6-60 84 3 Shaw / Momentum SD 72 4 Hellas / Matrix Real 72 5 Hellas / Matrix 46oz 70 6 OHNO Construction / MTHM 68 The proposal from FieldTurf with FTRV 360 synthetic turf provides the best combination of synthetic turf quality, installation services, and proposed price to complete the project. The firm's rates are reasonable and within industry standards. Therefore, staff recommends that FieldTurf be retained to provide synthetic turf replacement services using FTRV 360 synthetic turf. The base and extended services by FieldTurf are estimated to cost $904,905. Staff also recommends authorization of a $130,770 contingency (approximately 15 percent of the base services) to cover unforeseen work related to the synthetic turf replacement. The resultant contract amount is not to exceed $1,035,675. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. 2016-43 was filed for these projects. 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 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). 25J-2 Agreement with FieldTurf for Synthetic Turf Replacement Services Agreement May 3, 2016 Page 3 FISCAL IMPACT Funds for this project in the amount of $517,837.50 are budgeted and available for expenditure in the FY 2015-16 Capital Improvement Program (Project 16-2660) in the Strategic Plan Fund - Parks, Recreation and Community Services Agency account (No. 05213018-66220) and Parks Acquisition & Development Fund -Residential Development District 2, in Lieu, account (No. 31213261-66220). Funds in the amount of $111,771.50 are also budgeted and available in the FY 2015-16 Capital Improvement Program (Project 16-2666) in the Strategic Plan Fund -Parks, Recreation and Community Services Agency account (No. 05013018-66220). Funds in the amount of $406,066.00 will be budgeted and appropriated for Project 16-2666 in the Capital Improvement Program FY 2016-17 in the Strategic Plan Fund -Parks, Recreation and Community Services Agency Account (No. 05013018-66220). Preliminary estimates of fiscal year expenditures for this project are as follows and are subject to change. Any unspent encumbered balance will be carried forward into subsequent fiscal years as needed to fulfill the agreement obligations. Contract Period Project No. Account No. Amount FY 2015-16 (May -June) 16-2660 05213018-66220 $50,000.00 FY 2015-16 (May -June) 16-2660 31213261-66220 $122,439.89 FY 2015-16 (May -June) 16-2666 05013018-66220 $111,771.50 FY 2016-17 (July -May) 16-2660 31213261-66220 $345,397.61 FY 2016-17 (July -May) 16-2666 05013018-66220 $406,066.00 TOTAL: $1,035,675.00 :;red fleoZuesoatipo Executive Director Public Works Agency Gerardo Mouet Executive Director Parks, Recreation and Community Services Agency FM/EWG/ML Exhibits: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: nf'asceri. r.:, Francisco Gutierrez Executive Director Finance & Management Services Agency IF 25J-3 25J-4 CONSULTANT, AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 'L8th day of NU 2016 by and between FieldTurf , (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: Synthetic turf fields to replace existing worn-out synthetic turf soccer fields at Dan Young Soccer Field Complex Fields #2 and #4. The required services include but are not limited to the removal and recycling of existing worn-out synthetic turf and the installation of new synthetic turf 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: 1. SCOPE OF SERVICES Consultant shall perform dining the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference. The Scope of Services shall include a Schedule for the Delivery of Services, which shall be delivered as scheduled, beginning upon the City's issuance of a Notice to Proceed. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for fee of $904,906, at the rates and charges identified in Exhibit B attached hereto and incorporated by reference. A contingency of fifteen percent (15%) shall be available, at the sole discretion of the Executive Director of Public Works, for services that are currently not anticipated, but may be required to complete the Project. The total stun to be expended under this Agreement shall not exceed $1,035,675 during the tern of this Agreement. 3. TERM This Agreement shall commence on May 81h, 2016 for a one (1) year term', unless terminated earlier in accordance with Section 15, below. Exhibit 1 25J-5 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 govenung 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 OF 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 under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were 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. 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. Such insurance shall (a) name the City, its officers, employees, agents, 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. 05 03 16 XXX P W A 07a Agieement wField Tm-f for Dan Young Sports Complex Tu f Replacement -Exhibit l (002) Page 2 of 8 25J-6 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved 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. iv. Consultant shall supply City with a fully executed additional insured endorsement. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims"), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. INTELLECTUAL PROPERTY INDEMNIFICATION 05 03 16 XXX PWA 07a Agreement wField Turf For Dan Young Sports Complex Turf Replacement - Exhibit l ()02) Page 3 of 8 25J-7 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. 9. RECORDS 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 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. 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. Conflict may be farther specified in Certifications - Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. DISCRIMINATION 05 03 16 XXX P WA 07a Agreement wField Turf for Dan Young Sports Complex Turf Replacement - Exhibit I (002) Page 4 of 8 25J-8 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. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive staternent 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 the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 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. TERMINATION This Agreement maybe terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, 05 03 16 XXX P WA 07a Agreement wField Turf for Dan Young Spoils Complex Turf Replacement - Exhibit t (002) Page 5 of 8 25J-9 interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services 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. 18. PAYMENTS & INVOICES a. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. b. Invoices should be submitted on the 15th of each month and shall include the following information at a minimum: V. Consultant's invoice number and City's agreement number vi. Beginning and ending dates for services vii. City Project and/or Task Order number and/or name (if applicable) viii. Work site address/location (if applicable) ix. Tasks or deliverables completed and percentage (%) of total services completed. X. Remaining Overall and Task Order budget available 19. MISCELLANEOUS PROVISIONS a. Additional provisions, if any, are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. C. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 20. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be 05 03 16 XXX PWA 07a Agreement wField Turf for Dan Young sports Complex Tui' Replacement - Exhibit 1 (002) Page 6 of 8 25J-10 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 With courtesy copies to: Fred Mousavipour Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax:714- 647-5635 To Consultant: Pedro Azevedo Chief Financial Officer FieldTurf 7445 Cote de Liesse Road Suite 200 Montreal, QC H4T Fax: 514-340-9374 Sonia R. Carvalho City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-6515 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. 05 03 l6 XXX P WA 07a Agreement wField Turf for Dan Young Sports Complex Turff Replacement - Exhibit t (002) Page 7 of 8 25J-11 ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORDO: SONIAR. CARVALHO City Attorney,,---,,, Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency C[TY OF SANTA ANA David Cavazos City Manager CONSULTANT: (Pedro Azevedo) (Chief Financial Officer) 'Pax ID# 05 03 16 XXX P WA 07a Agreement wPield Tmi for Dan Young Spons Complex Tuff Replacement- Exhibit[ (002) Page 8 of 8 25J-12 EXHIBIT A SCOPE OF SERVICES 25J-13 ADDENDUM ONE (3/22/2016) Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR DAN YOUNG SOCCER COMPLEX FIELD #2 AND #4 SYNTHETIC TURF RFP NO.: 16-01 Introduction and Backtiround: The Dan Young Sports Complex (DYSC) is located at 3000 W. Edinger Avenue in the Centennial Regional Park of Santa Ana. Field #4 was constructed with synthetic turf in 2004 and field 42 was constructed with synthetic turf in 2005. Both fields were constructed with complete drainage system underneath the synthetic turf. Due to heavy use, weathering and expected life of synthetic turf, the current turf needs to be replaced. The drainage system underneath the field appears to be structurally sound. Field size and description: Field #2: 85,000 SF with soccer and football striping Field #4: 75,200 SF with soccer striping only Description of Work: The city wishes to engage a firm to replace two existing worn-out synthetic turf soccer fields with new and improved synthetic turf. This RFP is soliciting proposals to accomplish the replacement and installation of synthetic turf fields in a design -build manner. The required services include the removal, recycling of the existing worn-out turf, and the installation of synthetic turf system in Centennial Regional Park field #2 and field #4 of the City of Santa Ana. All work shall be done per Greenbook Standards. The services also include providing maintenance equipment and training that the firm considers necessary for the upkeep of the synthetic turf field. It is the responsibility of the firm to provide all labor, materials, equipment and tools necessary for the complete installation of the synthetic turf. Task 1: Review and Assessment The firm is responsible for assessing the existing field #2 and #4 inclusively and recommending the most relevant type of synthetic turf for the City's need from the initial proposal. • Review the current synthetic turf field system, underlying drainage system, and as -built plans (for reference only). • Identify what needs to be removed, salvaged, repaired, installed, etc. • Inspect and test underlying drainage system for any damages. • Perform percolation test to ensure the drainage meets the new turf system. • Submit work plan and cut -sheets detailing the process of replacing synthetic turf. Task 2: Improvements The firm is responsible for the design and build of the proposed improvements. • Remove and recycle existing synthetic turf. • Repair and modify the drainage system as needed or required by the new synthetic turf specifications. City of Santa Ana RFP 16-01 2TJ'14 ADDENDUM ONE (3/22/2016) Laser Level/Re-Grade synthetic turf base if needed. Install new synthetic turf per standards and specifications submitted in Firm/Contractor Proposal. Install field striping and marking. Task 3: Maintenance and Warranty A. Provide maintenance equipment required for surface brushing, aerating, racking, sweeping, and tow trailer for hauling equipment off site. Provide maintenance instructions and training to City staff that will be maintaining the fields. Firm is also responsible for providing any other equipment that is required or recommend for the long term maintenance and upkeep of synthetic turf fields. B. The firm is encouraged to list their recommended maintenance equipment and the cost for each. The City will decide on which items they will be included as part of the awarded contract. The cost proposal of the equipment will be weighted separately based on the equipment that the City will decide to purchase. C. Warranty shall cover, in general, the usability of the turf surface, accessories, use characteristic, and suitability of installations. All items covered by warrant are to be replaced or repaired with new materials, including installation at the sole expense of the warranting contractor for the period of eight (8) years to the City, for the designated uses. D. A principal of the applicable firm, duly -authorized to make contracts, shall sign the warranty. This warranty document must list all warranty items and procedures. E. The turf is to be tested for dynamic cushioning ("G" Test) by a licensed testing laboratory acceptable to the City at completion of the installation shortly prior to acceptance inspection by the City, at the anniversary date of the second year, and 60 days prior to the anniversary date of the warranty expiration. Fee Proposal: In addition to Section IV.B.3 (Submittal Requirements: Fee Proposal) fee schedule shall be structured as follows: The firm must use this form (one for each product per specifications) to list the price of the system that is proposed. Description Field #2 Synthetic Turf/ SF include warrant SF 85,000 $ Field #4 Synthetic Turf / SF include warrant SF 75,200 $ Design & Repair Incidental Drainage* SF 8,000 $ Replace damaged perimeter wood edging Field #2 LF 250 $ Laser Level Re -Grade Filed #2 $ Laser Level Re -Grade Field #4 $ Additional Costs: Inlaid Soccer Field Markings $ Gmax Tests before completion $ Gmax Tests during warranty period EA 5 $ TOTAL $ *Proposers are required to confirm the suitability and the compatibility of the existing underlying drainage system and sub -grade with the proposed synthetic turf. Proposers are allowed to schedule an individual field walks to conduct any required testing. This item is to be used if the existing drainage system and sub -grade are unsuitable and incompatible with the proposed system. If the drainage system and sub -grade is suitable and compatible with the proposed synthetic turf enter $0. City of Santa Ana RFP 16-01 2*#*.r 5 Firm must use this form to describe the recommended equipment and provide the cost of each unit in the following table. Maintenance Equipment: Description of Equipment Unit Quantity Cost/Unit Total The fee proposal will be opened and reviewed concurrently with the proposal, and weighted per the percentage identified in "I. GENERAL". City Responsibilities: The City will be responsible for providing As -Built plans and project information such as copies of available plans and existing documentation on file relating to the Dan Young Soccer Fields. Manufacturing and Product Specifications Submittals: Include Manufacturer's specifications for materials and installation including but not limited to height of exposed fiber, depth of infill, physical properties of infill, weight of infill, designated proportions of infill, seaming method, and installation methods. Include a currently valid certificate of compliance for the approved synthetic turf system from an independent laboratory such as Testing Services, Inc of Dalton, GA (706-226-1400) or other laboratory, pre -approved by the City, showing the following data: A. Pile Height, Face or Pile Weight and Total Fabric Weight, ASTM D5823 or D5848 B. Total Backing Weight, ASTM D5848 C. Grab Tear Strength, ASTM D5034 Provide the following materials or data (per each product if submitting multiple options): (1) One (1) boxed fabric samples infilled to the proper depth. (Label clearly the name and specifications of material submitted) (2) One (1) fabric only samples, minimum approximately 18" by 24" with seam joint, backing and perforations and a tufted -in white and yellow stripes, 4-inches wide. (Label clearly the name and specifications of material submitted) City of Santa Ana RFP 16-01 2TJ116 (3). One -quart sample of infill materiat(s) and corresponding sieve analysis from a testing laboratory. (4). Copy of the sample 8-year, insured warranty and insurance policy information. (5). Copy of the sample certificate of insurance policy information. (6). Copy of a published independent safety study of the proposed synthetic turf system. (7). Copy of a GMAX test report from a recent project of the same proposed synthetic turf system. (8). Manufacturer's data, photographs, maintenance manuals and operating instructions for synthetic turf maintenance equipment. (9). Manufacturer's MSDS data on synthetic turf system and seam adhesives (10). The firm is also encouraged to provide as much information as possible about the synthetic turf in the following table. City of Santa Ana RFP 16-01 23UP-17 a. Product Name: FTRv 360 2. s YARN PHYSICAL PROPERTIES SPECIFICATION S Unit STANDARD Fiber Denier Yarn linear density) 14, 500 Denier DI577 Grab tear (length) >200 Lbs D5034 Grab tear (width) >200 Lbs D5034 Maximum elongation 51.7 % D3575 Pile yarn type U 1Resistant Poyethylene NA NA Tape thickness 380 Microns D3218 UV Performance Pass se naa pas cableRDe NA UV warrant 8 Years ISO 4892-2 Yarn BreakingStrength 27.82 IsF D2256 Yarn MeltingPoint 246 D789 Yarn Structure Monofilament NA CARPET PHYSICAL PROPERTIES Pile height 2.5 Inches D5823 Pile weight (Face weight) 42 OZ/SY D5848 Stitch gauge (tuffspacing) 3/4 Inches OC D5793 Total backing weight 21+ OZ/SY D5848 Tuff bind without infill e+ Lbs/Force D1335 System Physical Properties Depth of infill 1.75 Inches Exposed height of fiber 0.75 Inches Percentage of weight of rubber infill to sand infill 33%/3 Lbs/SF Percentage of weight of sand infill to rubber infill 67a/6.z Lbs/SF Permeability 40 Inches/Ho ur D4491 Drainage type; holes or pores Pores NA NA Pill burn test Pass D2859 Pounds of rubber infill per square foot 3 Lbs/SF Pounds of sand infill per square foot 6.2 Lbs/SF Pounds of total infill per square foot 9.2 Lbs/SF Rubber infill manufacturer 3AS Recycling Seam type; glues or sewn sewn Shock attenuation over warrant <200 G-Max F1936 Size of rubber infill 14-30/ 10-14 MM Size of sand infill 20-40 MM Type of sand infill: Silica Type of rubber infill; ambient or cryogenic Cryogenic Weight of system with infill 1,388 OZ/SY NA Weight of system without infill 63 OZ/SY D5848 City of Santa Ana RFP 16-01 25JA$ b. Are there options to the proposed system? Yes: = No: Please use additional sheets when needed to explain or clarify any options to the proposed system. c. Does the system have unique environmental benefits? Yes: ® No: Explain: d. Describe your Warranty, Maintenance, and Service. Yes: ® No: Please us additional sheets when needed to explain or clarify. City of Santa Ana RFP 16-01 M49 b. Are there options to the proposed system? Yes; F-71 No; = Please use additional sheets when needed to explain or clarify any options to the proposedsystem. XM6-60 offered in fee proposal as alternate c. Does the system have unique environmental henefits? Yes: = No: Explain; The proposed infill can be removed / cleaned and replaced into a new system. All FieldTurf Products are 100% recylable Making a real difference: 31,066,000,000 - Gallons of Water saved since 1995 1.04,000,000 - Tires diverted from landfills since 1995 329,720,000 - Pounds of Fertilizer eliminated since 1995 d. Describe your Warranty, Maintenance, and Service. Yes: = No: Warranty: 8 Years pre -paid warranty * see sample warranty in product binder. Maintenance / Service: FieldCare program added as an additional option. Sweeping and brushing of the field plus infill verification. For any service needed contact toll free at 1-800-724-2969. Please us additional sheets when needed to explain or clarify. City of Santa Ana RFP 18.01 Page 16 25J-20 Minimum Specifications for Synthetic Turf System Materials: A. Material that fails to meet these minimum specifications will be rejected. The material specifications in this section are minimums. The manufacturer of the synthetic turf fiber and fabric may elect to exceed these specifications to insure compliance with all requirements and the warranty as specified in this section. Provide a fee proposal that would meet these minimum requirements and a separate fee proposal that exceeds these specifications. Specify which specifications the firm recommends for installation. B. Pile Yarn shall be textured 100% polyethylene athletic quality yarn designed specifically for outdoor use and stabilized to resist the effects of ultra -violet degradation, heat, wear, water and airborne pollutions. Item ASTM Property 1. D1577 Yarn Denier 2. D2256 Yarn Breaking Strength 3. D2256 Yarn Elongation 4. D789 Yarn Melting Point Minimum Specifications 7,000 1.2 gmd/denier 9% to break 240o F. C. Fabric Composition: Shall consist of slit film texturized 100% polyethylene yarn tufted into polypropylene backings coated with high-grade latex or polyurethane to assure suitable tuft bind strength, dimensional stability, and long-term wearing properties. The following minimum specifications shall apply to synthetic turf systems that utilize sand and rubber infill materials. Item ASTM PropertX 1. D418 Pile Weight 2. D418 Primary Backing 3. D418 Back Coating 4. D418 Total Weight 5. D418 Pile Height 6. D1335 Tuft Bind (without infill) 7. D1682 Grab/Tear Strenght 8. D2859 Pill Burn Test Minimum Specifications 33 oz/sq yard 7 oz/sq yard total 18 oz/sq yard 58 oz/sq yard 2.3" 7 lbs. 170 lbs. Pass City of Santa Ana RFP 16-01 25-121 The following minimum specifications shall apply to synthetic turf systems that utilize all rubber infill materials. The pile weights listed are minimums for the polyethylene yarn only and do not include any supplemental fibers of other composition. 1. D418 Pile Weight (w/o supplemental fibers) 35 oz/sq yard D418 Pile Weight (with supplemental fibers) 30 oz/sq yard 2. D418 Primary Backing 7 oz/sq yard total 3. D418 Back Coating 22 oz/sq yard 4. D418 Total Weight 62 oz/sq yard 5. D418 Pile Height 2.00" 6. D1335 Tuft Bind (without infill) 10 lbs. 7. D1682 Grab/Tear Strength 175 lbs. 8. D2859 Pill Burn Test Pass D. Color of synthetic turf to be Green and approved by City with white and yellow/gold for the lines and markings. The fiber used for the lines and markings shall be of the same composition as that used for the green field areas. City of Santa Ana R�FP 16-01 LL 25Jg 3! m n o ;f a llfs. .3i rc r r � E � n � " o c Y ILL_ E� N e 9 Y G E � rl Ell F f' E r r _ n r ♦ 3 � g 3 � F .. r. 3 F. r E r 3 9 ^ A A a a A A A A A ^ a a ^ a LL v v a a v e ^ a 25J-23 EXHIBIT B COMPENSATION Fee Proposal including hourly rates (from Consultant Proposal) The total compensation may include a line item for the cost from the Fee Proposal, followed by a line item for any contingency, followed by a grand total not to exceed (NTE) Amount. This is what may be transferred to the front page of the contract. 25J-24 Reld"I""urf t Sports Company �, Description .... �' atn t" C amity it' : GostlUnON Teti `�w MAN 'R r 5. Laser Level Re -Grade Filed #2 ♦ k" Field#4 tt t d ♦ tt t 7, Inlaid Soccer Field Markings !,!■i■i Football markingson Field ` 4a R • 1NVA K Y R R Descri fio'n p Unit : Quanfilt os _.. .� ��� Y •i��� r � t it t ttt t .t t iRe-GradeField t Y( it tt Inlaid7. Soccer Field Markings! R i Footballmarkings •'2I�I,IIII R ,kirmo ,,- �'�'-'' - {r�''�'t$iit�J'i�liL3�L7 IIII■I�I t t� t t t t .�t 1 al® FeldTud- 7445 Cbte-de-t.lesse Road Suite 200 - Montreal, QC H4T 102-Tel 11 WO 724-2969 - Fax (514) 340-0374 wwwBoldTurf,com 25J-25 FlueldTurf A Ta rkett S ports Co m pa ny Maintenance Equipment: 1. SweepRight Pro EA 1 $4500.00 $4500,00 2. GroorriRight Pro FA 1 $5000.00 $5000.00 EA 1 4. EA I 5. EA I FieldCare Maintenance Program (2 Visits for 6 Visits § Years (Field #2 and Field #4) EA 10 $1500.00 $15,000.00 �A �Ql_ j et 4C /00�& W13�2z> F13 Pedro Azeveda Chief Executive Office, Finance rieldTurf USA Inc. CA#849044 DIR#1000004625 FieldTuif-7445COte-da-Liesse Road WWOO—Miinlreal, QC H4T 1(32 —Tel 1-800-724-2969 -Fax (514) 34H374 www.FieldTurf.com 25J-26 EXHIBIT C CERTIFICATIONS C-1 through C-3 25J-27 — — --- APPENDL% ATTACHMENT 3-1: NON -COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA. REQUEST FOR PROPOSALS FOR DAN YOUNG SOCCER COMPLEX FII+,LD #2 AND 94 SYNTHETIC TURF RFP NO.: 16-01 NON -COLLUSION AFFIDAVIT (Title 23 United Suites Code Section 112 and Public Contract Code Section 7106) To tho 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 flxe bid is not made in the interest of, or on behalf of, any undisclosed Person, partnership, company, association, cgganuadon, 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 pat in a tease or sham bid, and has not directly or uxdirectly colluded, conspired, comilved or agreed with, any BIDDER. or anyone else to put in a sham bid, or that arxyone shall refrain from bidding; that the BIDDER has not in any manner, directly of 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 secrue any advantage against the public body awarding the contract of anyone interesiod in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate acollusive, or sham bid. Note: The above Non -collusion Affidavil fs part of the Proposal. Signing this Proposal on the signature portion thereof slial al o constitute sigua of tl Non -collusion Affidavit. BIDDERS are cautioned that making a false certification ysbjectfhe�eeocTi prosecution. Signed nc1. CaanKy OR q Subscribed and sworn to (or affirmed) before me on this day of c-(&2Cb by (� Az_-_o proved to me onthe basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal 800hos chrislapor Papaxiaa # 212767 City of Santa cAnaa RFP 16-01 2SaJ'L8 APPFNDLX A7ITACI3mNT 3-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR DAN YOUNG SOCCER COMPLEX FIELD 92 AND 94 SYNTHETIC TURF REP NO., The prospective participant certifies, by signing and submitting this bid or proposal, to the best of.his or her knowledge and belief, that: 1. No federal appropriated funds have been paid or will be paid, by or on behalf of 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". S t This certification is a material representation offact upon which reliance was placed when iris transaction was made or entered into. Submission of this certification is a. prerequisite for making or ontervag into this transaction imposed by Section 1352; Tittle 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 andnotmore than $100,000 for each suchfa hare. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this cerfification be included in all lower for subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. }date Cch Zg4'Y1 0,-"l kfp City of Santa Ana RFP 16-01 2 J2029 APPENDIX ATTACHMENT 3-3: NON-DISCRIMINATION C RTIFICATION CERTIL+ICATIONS MY OF SANTA ANA RE' QUEST FOR PROPOSALS FOR DAN YOUNG SOCCER COWLEX FIELD 412 AND #4 SYNTHETIC TURF RFP NO.: 16-01 The undersigned firm or corporate officer, during the performance of this contract, certifies as follows: 1. The Firm shall not discriminate -against any employee or applicant for employment because of race, color; religion, sex, or, national origin. The Firm 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 Firm 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 Firm shall, in all solicitations or advertisements for employees placed by or on behalf of the Firm, state that all qualified applicants will receive consideration for employment without regard to race, color, .religion, sex, or national origin.. 3. The Firm shall send to each labor unionor representative of worker..,, with which he/she has a collective bargaining agreement or other contract or understandrig, a notice to be provided advising the said labor union or workers' representatives of the Firm's commitments under this section; and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Finn shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules; regulations, and relevant orders of the Secretary of Labor. 5. The Firm 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/ber books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Fhm'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 Firm 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 Firm 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 riles, regulations, or orders of.the Secretary. of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Firm; becomes involved in, or is threatened with, litigation with a subfirm or vendor as a result of such direction by the administering. agency, the Firm 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 discriminationn shall be inade in the employment of persons upon public works because of race, religious creed, color, national origin, anfiestry, physical handicaps, tnental condition, marital status, or sex of suoh persons, e t as provided in S Lion ;1420, and any firm of pirblio works violating this Section is subject to all the penal es in used f r viol ion, of the Chapter, Sigzied: Title: Firm: Date: _"ar VA 2q'4A-1I City of S it a lip 16-01 — s C,nM C yr 1e 4ee ova, c ; ' AI�F1� ATTACHMENT 3-4: BONDS MY OF SANTA ANA REQUEST FOR PROPOSALS FOR D©N YOUNG SOCCER COMPLEX FILMD #2 AND #4 SYNTHETIC TITRF RFP NO.: 16-01 FATT14FU'L PERFORMANCE BOND KNOW ALL MEIN BY THESE PRESENTS that as CONTRACTOR, and a corporation, organized and existing under the laws of the State, and duly authorized to transact business under the laws of the State of Califoriva, as SURETY, are held and firmly bound unto the City"of Santa Ana, as AGENCY, in the penal sum of Dollars ($ ), which is 100 percent of the total contract :mount for the above stated project, for the payment of which sum., CONTRACTOR and SURETY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas CONTRACTOR has been awarded and is abort to enter into the annexed Contract Agreement with AGFNCY dated for if CONTRACTOR faithfully performs and fulfills all obligations in the performance of the Work of Improvement to be done under said. Contract Agreement in the manner and time specified therein, then this obligation shall be null and void, otherwise it shall remain in full force and effect in favor of AGENCY; provided that any alterations in the obligations or time for completion made pursuant to the terms of the contract documents shall not in any way release either CONTRACTOR or SURETY, and notice of such alterations is hereby waived by SURETY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this day of 20—. CONTRACTOR* SURETY* Subscribed and sworn to before me, 20— Signature: Notary Public in and for the County of Rate of premium on this bond is $ Total amount of premium charge is $ State this day of per thousand. To be filled In by Surety *ProwdeCONTBACTOR1ADJ=EDSURETYnarne address andWephonenumberandthename title address and telephone Lum&eLofauthorized representative. of KNOW ALI, MEN.SY THESE PRESENTS that as CONTRACTOR, and a corporation, organized and existing under the lav the laws of the State of California, as SURETY, AGENCY, inthopenal sum of s of the State, and duly authorized to transact business under are held and firmly bound unto the City of Santa .Ana, as which is 100 percent of the total contract amount for the above stated project, for the payment ofwhich sum, CONTRACTOR and SURETY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas CONTRACTOR has been awarded and is about to enter into the annexed Contract Agreement with AGENCY dated for if CONTRACTOR or any subcontractor fails to pay for any labor or rnaterial of any kind used in the perferrnance of the Work of Improvement to be. done under said Contract Agreement; or fails to submit amounts due under the State Unemploymcnt Insurance Act with respect to said labor, SURETY will pay for the same in an amount not exceeding the sum set forth above, which amount shall insure to the benefit of all persons entitled to file claims under the State Code of Civil Procedures; provided that airy alterations in the work to be done, materials to be furnished, or time for completion .made pursuant to the terms of the contract documents shall not in any way release either CONTRACTOR or SURETY, and notice of said alterations is hereby waived by SURETY. i, IN WITNESS WHEREOF the parties hereto have set their naives, titles, hinds, and seal this day of 20 . CONTRACTOR* SURETY* Subscribed and sworn to before me, .zo Signature: Notary Public in and for the County of , State of Rate ofpremium on this bond is $ ,_ _ Total amount of premium charge is $ this day of )or thousand. To befilled In by Surety Provide CONTR<4CTOR /t1DMITILD SURETi'.ngtna, address ctnd ephone number and the inns title address and tolezrhone number ofaufhorized rz re ent 've, WARRAINTY PERFORMANCE AND PAYMENT BOND (To be submitted upon project completion as a condition of project acceptance) KNOW ALL MFN BY TIC,SE PRESENTS that as CONTRACTOR, and a corporation, organized and existing under the laws of the State, and duly authorized to transact business larder the Iaws of the State of California, as SURETY, are field and firmly hound unto the City of Santa Ana, as AGENCY, in the penal sum of Dollars ($ } which is gS percent of the final contract amount for the above stated project, for the Payment of which sum, CONTRACTOR and SURETY agree to be bound, jointly and severally, fhmdy by these presents, THE CONDITIONS Or THIS OBLIGATION ARE SUCH that, whereas CONTRACTOR. has been awarded and is about to enter into the annexed Contract Agreement with AGENCY dated for if CONTRACTOR faithfully warrants the work done tinder said Contract Agreement against material or quality defects for a period of one year after acceptance by the AGENCY, then this obligation shall be null and void, otherwise it shall remain in full force and effect in favor of AGENCY; provided that any alterations in the obligations or time for completion made pursuant to the terms of the contract documents shall not in any way release either CONTRACTOR or SURETY, and notice of such alterations is hereby waived by SURETY. 1N WSTNESS WHEREOF the parties hereto have set thch names, titles, hands, and seal this day of 29. CONTRACTOR* SURETY* Subscribed and sworn to before me, zo_ Signature; Notary Public in and for the County of Rate of premium on this bond is $ — Total amount of premium charge is $ _ this day of State of )erthousand. To be filled in by S'tmety "Provfde CONTRACTOR IA.D=ED 81=nanae address and telephone number and the name tit? address. rznd te7e hone number o1 authorized representative 16-01 ADDENDUM ONE (3/9-2/2016) APPENDIX ATTACHMENT 9-5a PREVAILING WAGE COMPLIANCE STATEMENT CITY OF SANTA ANA REQUEST FOP, PROPOSALS FOR DAiT YOUNG SOCCER COMPLEX FIELD n AND ##4 SYM°LTETIC TURF REP NO., 16-01 Contractor is aware of the requirements of California Labor Code Section 1720, et seq., as well as California Code of Regulations, Title S, Section 16,000, et seq., C Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. Since f-ie services are being performed as part of an applicable "public worlds" or. "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Contractor shall make copies of the prevailing rates of'per diem wages for each craft, classification or type of worker needed to execute the services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failuxe'or alleged failure to comply with the Prevailing Wage Laws, Tke vndersiened cerfifies that the fore ofn is htze and correef. Name of Finn Signature of BIDDER Title ('nL e (if an individual, so state) ADDENDUM. ONE (3/22/2016) APPENDIX ATTACHMENT 3-6: CONTRACTOR. LICENSING AND REGISTRATION STATEMENT CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR DAY YOUNG SOCCER COMPLEX FIELD 62 AND 04,SYNTf3ETIC TURF RFP NO.: 16-01 The undersigned contractor, or corporate officer, declares under penalty of perjury that he/she and all his/her subcontractors are registered with the State of California Department of Industrial Relations (D1R), and that the following is true and. oorrect. Contractor's Name: Ft eof i x-� otA, _ Business Address: �-` i 4 G ( � G,���t e �� , (�- h p 2oc) �I (� , C7? Cr �i 1 i G 2 Business E-Mail Address: �5 tth�o Telephone: State Contractor's License No. and Class, License Expiration Date: CiC ToeK (2.. ' r �o State Dept. of Industrial Relations (DIR) ^� Registration No.: l f�bf��✓ac>tJ� State Dekniration&:: strial elation, (DIR) Registrat-U0 e 3 c2(2(K) Signed: ().f © A t) Title: 3,EL36 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: PURCHASE AGREEMENTS FOR BRISTOL STREET IMPROVEMENTS PHASE 3A (PROJECT NO. 136792) (NON -GENERAL FUND) (STRATEGIC PLAN NO. 6, 1G & 3, 2C) Z CITY MANA R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: TIT.J00TOWT101 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Residing ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute purchase agreements for the full purchase price for the real property listed below and goodwill (if any) with the following property owners, subject to nonsubstantive changes approved by the City Manager and City Attorney: No Property Owner Property commonly known/located Amount 1 David P. Cohen and Summer 827 N Bristol $420,000 L. Cohen (APN 405-262-21) 2 John P.S. Park and Grace 911 N Bristol $470,000 P.C. Park Trustees (APN 405-262-24) DISCUSSION Bristol Street is a north -south transportation facility which is designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane is a long-term priority project that will be constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and bike lanes. Public Works Agency staff is acquiring properties for the development of Phase 3A, bounded by Civic Center Drive and Washington Avenue. Property acquisitions for this phase are expected to be completed by spring 2017, with construction scheduled to begin in summer 2017. To accommodate the improvements and widening for Phase 3A, acquisition of the entire properties listed above is required (Exhibit 1). The offers were based on the appraised values prepared by a licensed appraiser in the State of California and were accepted by the property owners. The compensation amounts are listed above and shown in the attached agreements (Exhibits 2 and 3). 25K-1 Purchase Agreements for Bristol Street Improvements Phase 3A May 3, 2016 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the Bristol Street Final Environmental Impact Statement) Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications in Phase 3A, which lies between Civic Center Drive and Washington Avenue, an Addendum to the FEIS/EIR was prepared and adopted pursuant to the California Environmental Quality Act by City Council on April 7, 2015. FISCAL IMPACT Funds are appropriated in the Bristol Street Improvements Project (No. 136792) for expenditures in FY 2015/2016 as follows: $205,060 in the Select Street Construction Fund (Account No. 05917661-66100), $445,000 in the Measure M2 Street Construction Fund (Account No. 03217663-66100), and $239,940 in the Select Street Construction Fund (Account No. 05917660- 66100), subject to nonsubstantive changes. Executive Director Public Works Agency FM/EWG/JG/KN/ML Exhibits: 1. Location Map 2. Agreement for 3. Agreement for APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez —� Executive Director Finance & Management Services Agency APN 405-262-21 APN 405-262-24 25K-2 (NTS) MATCHLINE SEE BELOW RIGHT 10TH STREET 9TH STREET H- W LU -T7 41;X4201 sm—SUBJECT' PPOPEPfIE5 —ACOUIREO PROPM-TIE; 405-262-24 1 405-262-23 1 405-262-22 1 0 z CIVIC CENTER DR. F-T EXHIBIT 1 WASHINGTON AVENUE MATCHLINE SEE TOP LEFT SANTA ANA TITLE: PURCHASE AGREEMENTS FOR CITY COUNCIL BRISTOL STREET IMPROVEMENTS P V V A AGENDA DATE PHASE IIIA (PROJECT NO. 13M2 MAY 03, 20% NONGENERAL FUND) PUBLIC WORKS ACCNcw (Strategic Plan No. 6,1, G; and 3, 2, C) PAGE 1 OF 1 25K-3 25K-4 PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA"), entered into on 1 2016, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter "City" or "Buyer"), and David P, Cohen and Summer L. Cohen, incumbent Trustees of the Cohen Living Trust under Declaration dated July 1, 2002 (hereinafter "Seller"), regardless of number or gender; THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter "Said Real Property") legally described as follows: SEE EXHIBIT "A" — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 627 N. Bristol Street, Santa Ana, California) (APN 405-262-21) Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1. Conveyance by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the office of Commonwealth Land Title Company, 4100 Newport Place Drive, Suite 120, Newport Beach, California, within sixty (60) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. Seller, agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, including any and all leasehold interests), liens, clouds or defects in title except those exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or without knowledge of any condition, restriction, reservation, exception, easement, assessment, profit, limitation, encumbrance (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of Four Hundred Twenty Thousand and no/100 Dollars ($420,000,00) Insuring the title of the City to said real property is free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the failure of Seller to convey title or to provide title insurance as required in this Agreement. 'AW5 4. Escrow. City agrees to open an escrow at the office of Commonwealth land Title Company, 4100 Newport Place Drive, Suite 120, Newport Beach, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within sixty (60) days of the City's execution of this Agreement. If escrow is not in a condition to close by the Close of Escrow, and failure to close is due to unforeseen conditions of title or interest of third parties in the Property that cannot be resolved in Escrow, then buyer may, at its option, request cancellation of escrow and this Agreement and return of any funds it has deposited into escrow. Thereupon, all obligations and liabilities of the Parties under this Agreement shall cease and terminate. If no such request is made, Escrow shall be closed as soon as possible thereafter. Buyer shall be entitled to possession of the Property immediately upon close of Escrow. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described in Exhibit "B" attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title insurance, re -conveyance fees, document preparation fees, escrow fees and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240. The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed upon it under Section 4, Section 6, Section 8 and Exhibit "B" of the General Provisions of this Agreement. 5. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Cade of the State of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made uncollectible if unpaid by reason of Section 5086 of the Revenue and Taxation Code of the State of California. To the extent that Seller has prepaid any taxes or assessments attributable to the Property; Seller shall be solely responsible for obtaining any refund due thereon from the taxing authority. Upon written request, Buyer shall assist Seller, at Seller's sale cost, in obtaining said refund, if any; however, in no case shall Buyer credit or otherwise pay Seller for that refund, if any, through or outside of Escrow. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as and for the full purchase price for said real property, fixtures & equipment (improvements pertaining to the realty), goodwill (if any), and severance damages, the total sum of Four Hundred Twenty Thousand and no1100 Dollars ($420,000.00). City agrees to deposit said purchase price in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after: (a) Conveyance of said real property by Seller to City as hereinabove provided; (b) Acceptance by City of a Grant Deed conveying said real property to City; 25K-6 (c) Delivery to City of the policy of title insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City. 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. 8. Rental and Occupancy By Seller. Seller agrees to execute a complete, current and correct statement of rentals (Seller Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 30-day month/36C-day year consistent with that statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement is executed by seller, or which may be vacated by present occupants prior to close of escrow, In return, the City agrees to reimburse seller lost rentals incurred by keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements, Seller also warrants that there are no oral or written leases on all or any portion of the subject property exceeding a period of one month. 9. Waivers. The waiver by City of any breach of any covenant or agreement herein contalned on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 10. Heirs, Assigns, Successors -in -Interest. 'This PSA, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective Parties hereto. 11, Time is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time is and shall be of the essence. 12. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property and includes payment for fixtures & equipment (improvements pertaining to the realty), goodwill (if any), and severance damages, 13. Acknowledgment of Full Benefits and Release A. By execution of this Agreement, Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby acknowledges that this Agreement provides full payment for the acquisition of the Property by Buyer, and Seller hereby expressly and unconditionally waives any claim for compensation for injury to the remainder ("severance damages"); precondemnation damages; claims for inverse condemnation; loss of goodwill and/or lost profits; loss or impairment of any "bonus value" attributable to any lease; damage to or loss of improvements pertaining to the realty; damage to or loss of machinery, fixtures, inventory, equipment and/or personal property; any right to repurchase, leaseback from Seller, or receive any financial gain from, the sale of any portion of the Property , or challenge Buyer's adoption of a resolution of necessity, pursuant to Code of Civil Procedure sections 1245.245; any right to receive any notices pursuant to Code of Civil Procedure section 1245.245; any right to enforce any other obligation placed upon Seller pursuant to Code of Civil Procedure sections 1245.245, 1263.025 and 1263.615; any other rights conferred upon Defendants pursuant to Code of Civil Procedure sections 1245.245 and 1263.615 and 1263.025; and attorney's fees and costs. It being understood that this is a complete and full settlement of all 25K-7 acquisition claims, liabilities, or benefits of any type or nature whatsoever relating to or in connection with the acquisition of the Property by Buyer. This release shall survive the Close of Escrow. B. This Agreement arose out of Buyer's efforts to acquire the Property through its municipal authority. Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby fully releases Buyer, its successors, agents, representatives (including attorneys), and assigns, and all other persons and associations, known or unknown, from all claims and causes of action by reason of any damage which has been sustained by Seller, or may be sustained by Seller, as a result of Buyer's efforts to acquire the Property or to construct the works of improvement thereon, or any preliminary steps thereto. This Agreement does not, and shall not be construed to, require Seller to indemnify Buyer for damages which may arise as a result of Buyer's efforts to construct improvements on the Property. C. Seller hereby acknowledges that he either has consulted with legal counsel, or had an opportunity to consult with legal counsel, regarding the provisions of the California Civil Code section 1542, which provides as follows: "A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor." Seller acknowledges that he may have sustained damage, loss, costs or expenses which are presently unknown and unsuspected, and such damage, loss, costs or expenses which may have been sustained, may give rise to additional damage, loss, costs or expenses in the future. Nevertheless, Seller hereby acknowledges that this Agreement has been negotiated and agreed upon in light of that situation, and hereby expressly waives any and all rights which Seller may have under California Civil Code Section 1542, or under any statute or common law or equitable principal of similar effect. This acknowledgment and release shall survive the Close of Escrow. 14. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M-36, P.O. Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seller is 4922 E. Somerton Avenue, Orange, CA 92867 15. Exceptions. City agrees to accept title to said real property subject to the following: NONE. 16. Entire Agreement, It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of Said Real Property by City. 17. Hazardous Waste. Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter -Presley -Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous material", "hazardous substance", or "hazardous waste" under Section 25501 of the California Health and 25K-8 Safety Code, Division 20, Chapter 6 95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. 86901 et sec. (42 U.S.C. S6903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C. S9601 at sue. (42 U.S.C. S9601). 18. Compliance With Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus. 19. Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (i) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost wages, business income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). This indemnity extends only to liability created prior to or up to the date this escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow. 20. Contingency. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 21. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 22. Partial Invalidity. Any provision of this PSA that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the remaining provisions of this PSA shall remain in full force. 23. Captions. Captions and headings in this PSA, including the title of this PSA, are for convenience only and are not to be considered in construing this PSA. 24. Governing Law. This PSA shall be governed by and construed in accordance with the laws of the State of California. 25K-9 25. No Reliance By One Party On The Other. Each party has received independent legal advice from its attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The provisions of this PSA shall be construed as to their fair meaning, and not for or against any party based upon any attribution to such party as the source of the language in question. 26. No Third Party Beneficiary. This PSA is intended to benefit only the Parties hereto and no other person or entity has or shall acquire any rights hereunder. 27. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this PSA, without cost. 28. Applicability of Agreement To Assignees. This PSA shall be binding upon and shall inure to the benefit of the successors and assigns of the Parties to this PSA. 29. Authority to Execute Agreement. Each undersigned represents and warrants that Its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this PSA, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 30. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. 25K-10 IN WITNESS WHEREOF, the Parties hereto have executed this PSA on the date and year first written above. City/Buyer City of Santa Ana David Cavazos City Manager Attest: Maria D. Huizar City Clerk Approved as to Form: �#-sq Sandoval h' f Assistant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency Date: r - i 2— .12016 Date: -'.5- ";rL , 2016 Date: 2016 Date: 2016 Date: M &a,c, . A-. , 2016 25K-11 EXHIBIT "A" LEGAL DESIRIPTION All that certain real property situated in the County of Orange, State of California, described as follows: That portion of Laurie's Subdivision, in the City of Santa Ana, County of Orange, State of California, as per map recorded in Book 1, pace 62 of Miscellaneous Records, in the Office of the County Recorder of said County, described as follows: The North 50.00 feet of the South 150.00 feet to the following: Beginning at a point 325.00 feet West of the Northeast corner of Lot 4, Block "A' of Hedges Addition to Santa Ana, as per map thereof recorded in Book 31. PaQP, 48 of Miscellaneous Maps, in the Office of the Count Recorder of Los Angeles County, California; thence North parallel to the West line of Baker Street 374.00 feet; thence West 325.00 feet to the East of line of Bristol Street, as said street is shown on the map hereinabove referred to; thence South along the East line of Bristol Street 374.00 feet to the Northwest corner of Lot 19 in Block "B" of said Hedges Addition and thence East 325,00 feet to the point of beginning. Except the East 170 feet thereof. Also except that portion of the West conveyed to the City of Santa Ana for street PUFP05as by dead recorded in Book 610, Peas 136 of Deeds. 25K-1 2 EXHIBIT "B" (Commonwealth Land Title Company) GENERAL ESCROW PROVISIONS All disbursements shall be made by Escrow's check. All funds received in this escrow shall be deposited in one or more of your general escrow accounts with any bank doing business in the State of California and may be transferred to any other general escrow account or accounts. The expression "close of escrow" means the date on which instruments referred to herein are filed for record. All adjustments are to be made on the basis of a 30-day month. Recordation of any instruments delivered through this escrow, if necessary or proper in the issuance of a policy of title insurance called for, is hereby authorized. There shall be no proration of any existing insurance policies in this escrow. You are to furnish a copy of these instructions, amendments thereto, closing statements and/or any other documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and/or the attorney or attorneys involved in this transaction upon request of such lenders, brokers or attorneys. Should you before or after close of escrow receive or become aware of any conflicting demands or claims with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such conflict is resolved to your satisfaction, and you shall have the further right to commence or defend any action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred by you in connection with, or arising out of this escrow, including, but without limiting the generality of the foregoing, a suit in interpleader brought by you. In the event you file a suit in interpleader, you shall ipso facto be fully released and discharged from all obligations imposed upon you in this escrow. If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly charge as custodian thereof of not less than $10.00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of which independently shall have the same effect as if it were the original, and all of which taken together shall constitute one and the same instruction. 25K-13 25K-14 PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA"), entered into on 2016, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter "City" or "Buyer"), and John P. S. Park and Grace P. C. Park, Trustees of the 2013 Park Family Trust dated September 4, 2013 (hereinafter "Seller"), regardless of number or gender; THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter "Said Real Property") legally described as follows: SEE EXHIBIT "A" — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 911 N. Bristol Street, Santa Ana, CA) (APN 405-262-24 ) Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1. Conveyance by Seller. Seiler agrees to convey said real property to City, by Grant Deed, at the office of Commonwealth Land Title Company, 4100 Newport Place Drive, Suite 120, Newport. Beach, California, within sixty (60) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. Seiler agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, including any and all leasehold interests), liens, clouds or defects in title except those exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or without knowledge of any condition, restriction, reservation, exception, easement, assessment, profit, limitation, encumbrance (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of Four Hundred Seventy Thousand and no/100 Dollars ($470,000.00) insuring the title of the City to said real property is free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the failure of Seller to convey title or to provide title insurance as required in this Agreement. Exhibit 3 25K-15 4. Escrow. City agrees to open an escrow at the office of Commonwealth Land Title Company, 4100 Newport Place Drive, Suite 120, Newport Beach, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the Joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within sixty (60) days of the City's execution of this Agreement. If escrow is not in a condition to close by the Close of Escrow, and failure to close is due to unforeseen conditions of title or interest of third parties in the Property that cannot be resolved in Escrow, then buyer may, at its option, request cancellation of escrow and this Agreement and return of any funds it has deposited into escrow. Thereuopn, all obligations and liabilities of the Parties under this Agreement shall cease and terminate. If no such request is made, Escrow shall be closed as soon as possible thereafter. Buyer shall be entitled to possession of the Property immediately upon close of Escrow. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described in Exhibit "B" attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title insurance, re -conveyance fees, document preparation fees, escrow fees and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240, The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed upon it under Section 4, Section 6, Section 8 and Exhibit "B" of the General Provisions of this Agreement. S. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made uncollectible if unpaid by reason of Section 5086 of the Revenue and Taxation Code of the State of California. To the extent that Seller has prepaid any taxes or assessments attributable to the Property; Seller shall be solely responsible for obtaining any refund due thereon from the taxing authority. Upon written request, Buyer shall assist Seller, at Seller's sole cost, in obtaining said refund, if any; however, in no case shall Buyer credit or otherwise pay Seller for that refund, if any, through or outside of Escrow. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as and for the full purchase price for said real property, fixtures & equipment (improvements pertaining to the realty), goodwill (if any), and severance damages, the total sum of Four Hundred Seventy Thousand and noll00 Dollars ($470,000.00). City agrees to deposit said purchase price in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after: (a) Conveyance of said real property by Seller to City as hereinabove provided; (b) Acceptance by City of a Grant Deed conveying said real property to City; 25K-16 (c) Delivery to City of the policy of title insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City. 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City Is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. 6. Rental and Occupancy By Seller. Seller agrees to execute a complete, current and correct statement of rentals (Seller Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 30-day month/360-day year consistent with that statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement is executed by seller, or which may be vacated by present occupants prior to close of escrow. In return, the City agrees to reimburse seller lost rentals incurred by keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements. Seller also warrants that there are no oral or written leases on all or any portion of the subject property exceeding a period of one month. 9. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 10. Heirs Assigns, Successors -in -Interest. This PSA, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective Parties hereto. 11. Time Is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time is and shall be of the essence. 12. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property and includes payment for fixtures & equipment (improvements pertaining to the realty), goodwill (if any), and severance damages. 13. Acknowledgment of Full Benefits and Releasg A. By execution of this Agreement, Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby acknowledges that this Agreement provides full payment for the acquisition of the Property by Buyer, and Seller hereby expressly and unconditionally waives any claim for compensation for injury to the remainder ("severance damages"); precondemnation damages; claims for inverse condemnation; loss of goodwill and/or lost profits; loss or impairment of any "bonus value' attributable to any lease; damage to or loss of improvements pertaining to the realty; damage to or loss of machinery, fixtures, inventory, equipment and/or personal property; any right to repurchase, leaseback from Seller, or receive any financial gain from, the sale of any portion of the Property , or challenge Buyer's adoption of a resolution of necessity, pursuant to Code of Civil Procedure sections 1245,245; any right to receive any notices pursuant to Code of Civil Procedure section 1245.245; any right to enforce any other obligation placed upon Seller pursuant to Code of Civil Procedure sections 1245.245, 1263.025 and 1263.615; any other rights conferred upon Defendants pursuant to Code of Civil Procedure sections 1245.245 and 1263,615 and 1263,025; and attorney's fees and costs. It being understood that this is a complete and full settlement of all 25K-17 acquisition claims, liabilities, or benefits of any type or nature whatsoever relating to or in connection with the acquisition of the Property by Buyer. This release shall survive the Close of Escrow. B. This Agreement arose out of Buyer's efforts to acquire the Property through its municipal authority. Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby fully releases Buyer, its successors, agents, representatives (including attorneys), and assigns, and all other persons and associations, known or unknown, from all claims and causes of action by reason of any damage which has been sustained by Seller, or may be sustained by Seller, as a result of Buyer's efforts to acquire the Property or to construct the works of improvement thereon, or any preliminary steps thereto. This Agreement does not, and shall not be construed to, require Seller to indemnify Buyer for damages which may arise as a result of Buyer's efforts to construct improvements on the Property. C. Seller hereby acknowledges that he either has consulted with legal counsel, or had an opportunity to consult with legal counsel, regarding the provisions of the California Civil Code section 1542, which provides as follows: "A general release does not extend to claims which the creditor does not know or suspect to exist In his or her favor at the time of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor." Seller acknowledges that he may have sustained damage, loss, costs or expenses which are presently unknown and unsuspected, and such damage, loss, costs or expenses which may have been sustained, may give rise to additional damage, loss, costs or expenses in the future. Nevertheless, Seiler hereby acknowledges that this Agreement has been negotiated and agreed upon in light of that situation, and hereby expressly waives any and all rights which Seller may have under California Civil Code Section 1542, or under any statute or common law or equitable principal of similar effect. This acknowledgment and release shall survive the Close of Escrow. 14. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M-36, P.O, Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seller is 22805 Lellmont Dr., Lake Forest, CA 92630. 16. Exceptions. City agrees to accept title to said real property subject to the following: NONE. 16, Entire Agreement. It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement• Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been ralsed In connection with the acquisition of Said Real Property by City. 17. Hazardous Waste. Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter -Presley -Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous material", "hazardous substance", or "hazardous waste" under Section 25501 of the California Health and 25K-18 Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U S.C, S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. S6901 et sec. (42 U.S.C. S6903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C. S9801 et sec. (42 U.S.G. S9601), 18. Compllance With Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus. 19. Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (i) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost wages, business income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). This indemnity extends only to liability created prior to or up to the date this escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow. 2®. Continpencv. it is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 21. Modification and Amendment, This PSA may not be modified or amended except in writing signed by the Seller and City. 22. Partial Invalldity. Any provision of this PSA that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the remaining provisions of this PSA shall remain in full force. 23. Captions. Captions and headings in this PSA, including the title of this PSA, are for convenience only and are not to be considered in construing this PSA. 24, Governing Law, This PSA shall be governed by and construed in accordance with the laws of the State of California. 25K-19 25. No Reliance By One Party On The Other. Each party has received independent legal advice from its attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The provisions of this PSA shall be construed as to their fair meaning, and not for or against any party based upon any attribution to such party as the source of the language in question. X No Third Party Beneficiary. This PSA is intended to benefit only the Parties hereto and no other person or entity has or shall acquire any rights hereunder. 27. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this PSA, without cost. 28, Applicability of Aareement To Assignees. This PSA shall be binding upon and shall inure to the benefit of the successors and assigns of the Parties to this PSA. 29. Authority to Execute Aareement. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this PSA, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 30. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. 25K-20 IN WITNESS WHEREOF, the Parties hereto have executed this PSA on the date and year first written above. SELLER: City]Buyer City of Santa Ana David Cavazos City Manager Attest: Maria D. Huizar City Clerk Approved as to Form: j��L- J s Sandoval C ie Assistant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency Date: ; �_ _, 2016 Date: 2016 Date: a�- 2016 2016 Date: Mrkkc L 0-1 , 2016 25K-21 EXHIBIT "A" Legal Description All that certain real property situated in the County of Orange, State of California, described as follows: That portion of "Lourie's Subdivision of portion of Hedges Addition to Santa Ana' in the City of Santa Ana, County of Orange, State of California, as shown on a Map recorded in Book 5 Paae U of Miscellaneous Maps, Records of Orange County, California, described as follows: The West one-half (W1/2) of the South 50 feet of the North 124 feet of the following described land: Beginning at a point 325 feet West of the North-East corner of Lot 4 in Block "A" of Hedges Addition to Santa Ana, as shown on a map recorded in Book 31, Page 48 of Miscellaneous Records of Los Angeles County, California; Thence North parallel to the West line of Baker Street 374 feet; Thence West 325 feet to the East line of Bristol Street, as said street existed on May 26, 1908; Thence South along the East line of said Bristol Street, 374 feet to the Noah -West corner of Lot 19 in Block "B" of said Hedges Addition; Thence East 325 feet to the point of beginning. Excepting therefrom that portion of said land conveyed to the City of Santa Ana for street purposes by deed recorded January 6, 1927 in gook Z Paae 40 of Official Records of said Orange County. 25K-22 EXHIBIT "B" (Commonwealth Land Title Company) GENERAL ESCROW PROVISIONS All disbursements shall be made by Escrow's check. All funds received in this escrow shall be deposited in one or more of your general escrow accounts with any bank doing business in the State of California and may be transferred to any other general escrow account or accounts. The expression "close of escrow" means the date on which instruments referred to herein are filed for record. All adjustments are to be made on the basis of a 30-day month Recordation of any instruments delivered through this escrow, if necessary or proper in the issuance of a policy of title insurance called for, is hereby authorized, There shall be no proration of any existing insurance policies in this escrow. You are to furnish a copy of these instructions, amendments thereto, closing statements and/or any other documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and/or the attorney or attorneys involved in this transaction upon request of such lenders, brokers or attorneys. Should you before or after close of escrow receive or become aware of any conflicting demands or claims with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such conflict is resolved to your satisfaction, and you shall have the further right to commence or defend any action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred by you in connection with, or arising out of this escrow, including, but without limiting the generality of the foregoing, a suit in interpleader brought by you. In the event you file a suit in interpleader, you shall ipso facto be fully released and discharged from all obligations imposed upon you in this escrow. If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly charge as custodian thereof of not less than $10.00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of which independently shall have the same effect as if it were the original, and all of which taken together shall constitute one and the same instruction. 25K-23 CERTIFICATE OF ACCEPTANCE. This is to certify that the interest in the real property conveyed by the Grant Deed dated March 25, 2016, from John P. S, Park and Grace P. C, Park, Trustees of the 2013 Park Family Trust dated September 4, 2013, to the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, is hereby accepted by the undersigned officer or agent on behalf of the City Council pursuant to authority conferred by Ordinance No. NS-2352 and Section No. 33-55 of the Santa Ana Municipal Code adopted by the City Council on Tune 1, 1998, in compliance with California Government Code Section 27281 and the grantee consents to recordation thereof by its duly authorized officer. Dated For the City of Santa Ana: City Manager 25K-24 When recorded, please mail this instrument and tax statements to: Clerk of the Council City of Santa Ana 20 Civic Center Plaza, M-30 Santa Ana, California 92701 Free recording requested by THIS CITY OF .SANTA ANA PER GOVERNMENT CODE SECTION 6103. SPACE ATiOVE 7111S LINT FOR RECORDER'S USE CANCEL TAXES APPROVED AS TO FORM BY Al"I'Y. APPROVED BY DIRRC fOR DESCIMMON Wftil'1'EN fiY DESCRIPTION CHECKED -OR. AP. NUNIBER405-262.24 RRYN'IAP NUMBER. PROJECT NUMBER X Yl 1 N. fl m.1 Streel.. knta Any. CA DGEU IJUNIHFR GRANTDEED FOR VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, John P.S. Park and Grace P. C. Park, Trustees of the 2013 Park Family Trust dated September 4, 2013 Do Hereby Grant to the CITY OF SANTA ANA, a charter City and municipal corporation duly organized under the Constitution and laws of the State of California, for public roadway purposes, all that real property in the City of Santa Ana, Orange County, State of California, located at 911 N. Bristol Street, described as follows: SEE EXHIBIT "A" ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF; --� Dated: 31 Z Dated: ! 6 l By ohn P.S. Park, Trustee Grace P.C. Park, Trustee 25K-25 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, f personally appeared 711V` " ' 9 lr1GLt v fn �.nn . WVry who proved to me on the basis of s9tisfactory evidenc to be the person(s) whose name(;) jl/are subscribed to the within instrument and acknowledged to me that iT44/0e/they executed the same in lA/fAr/their authorized capacity(ies), and that by h)d/hgr/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. rdAMONA R. MONTANO WITNESS my hand and official seal., ®�2 COMM. #1993778 y `U LOSANotaNGELES COUNTY " M cmmm. IX . IIT I P01 11 ;oiary- blest a_WW (Notary Public See]) quaff i4_i_a n:-liEi"ETollg\�IYTIEffll'"IENF±=y"� DESCRIPTION OF THE ATTACHED DOCUMENT (rille or description of attached document) (Title or description of atk�clred document continued) Number of Pages _ Document Date___.._ CAPACITY CLAIMED f3Y THE SIGNER ❑ Individual (s) ❑ Corporate Officer (Title) ❑ Partner(s) Attorney -in -Fact ❑ Trustee(s) Other 2015 Version wwuv.NotaryClass s.com 800-873-P885 INSTRUCTIONS FOR COMPLETING THIS FORM ON TLis form comphes mith enure+nt Ca fo nin s rants; regardh q nnnuy a+ording mnl, if needed, should Le completed and aaaehed to the docmnent. Acknomladgments ,iron? other scenes nrap be completed for documents being sent to that state so long as the rreading does not squire The California notary to violate California notary law. • State and County information must be the Stale and County where the document signer(;) personally appeared before the notary public for acknowledgment. • Date of notarization must be die date that the, signor(s) personally appeared which must' also be the same date the acknowledgment is completed. • The notary public must print his or her mmme as it appears within his or her commission followed by a eommna and then yvur title (notary public). • Print the ]ionic($) of document signal (s) who personally appear at the time of notarization. • Indicate the correct singular or plural forms by crossing off incorrect fomns (i.a. be/sheffilel- - is/,are) or circling the correct forms. Failure to correctly indicate this information may lead to rejection of doctnrrent recording. • 'The notary seal fmpression must be clear and photographically reproducible. Impression roust not cover text or lines. If seal impression snualges, re -seal if a sufficient area pennies, otherwise complete a different acknowledgment form. • Sio nature of the notary public nmst match the signature on file with the office of the county clerk. Additional inronnation is not required but could help to ensure this acknowledgment is not misused or attached to a d ilierent document. Indicate title a'tvpe of attached document, number or pages and date. Indicate the capacity claimed by the signer. if the claimed capacity is a corporate officer, indicate the title (i.e. CEO, CFO, Secretary). • Seuurcly anaah thin documout to the signed document with asfiple. 25K-26 EXHIBIT "A" Legal Description All that certain real property situated in the County of Orange, State of California, described as follows: That portion of "Lourle's Subdivision of portion of Hedges Addition to Santa Ana" In the City of Santa Ana, County of Orange, State of California, as shown on a Map recorded in Book 5, Pacig 12 of Miscellaneous Maps, Records of Orange County, California, described as follows: The West one-half (W1/2) of the South 50 feet of the North 124 feet of the following described land: Beginning at a point 325 feet West of the North-East corner of Lot 4 in Block "A" of Hedges Addition to Santa Ana, as shown on a map recorded In Book 31, Page 48 of Miscellaneous Records of Los Angeles County, California; Thence North parallel to the West line of Baker Street 374 feet; Thence West 325 feet to the East line of Bristol Street, as said street existed on May 26, 1908; Thence South along the East line of said Bristol Street, 374 feet to the North-West corner of Lot 19 in Block "B" of said Hedges Addition; Thence East 325 feet to the point of beginning. Excepting therefrom that portion of said land conveyed to the City of Santa Ana for street purposes by deed recorded January 6, 1927 In Dggk Z Page 40 of Official Records of said Orange County. 25K-27 25K-28 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: PURCHASE AGREEMENT FOR BRISTOL STREET IMPROVEMENTS PHASE 4 (PROJECT NO. 116741) (NONGENERAL FUND) {STRATEGIC PLAN NO. 6, 1G & 3, 2C) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO a111114,101i&I 7:111 Authorize the City Manager and Clerk of the Council to execute a purchase agreement for the full purchase price for the real property listed below and goodwill (if any), with the following property owners, subject to nonsubstantive changes approved by the City Manager and City Attorney No. Property Owner Property commonly known as/located Amount 1 Eduardo Palacio and 1242 W. Saint Anne Place Elisa Palacio (APN 015-216-01) $450,000 2 Loyd Van Dan 1302 W. Saint Anne Place $540,000 (APN 408-336-01) Bristol Street is a north -south transportation facility which is designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane is a long-term priority project that will be constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and bike lanes. Public Works Agency staff is acquiring properties for the development of Phase 4, bounded by Warner Avenue and Saint Andrew Place. Property acquisitions for this phase are expected to be completed by spring 2017, with construction is scheduled to begin in summer 2017. To accommodate the improvements and widening for Phase 4, acquisition of the entire properties listed above are required (Exhibit 1). The offers were based on the appraised values prepared by a licensed appraiser in the State of California and were accepted by the property owners. The compensation amounts are listed above and shown in the attached agreements (Exhibits 2 and 3). 25L-1 Purchase Agreement for Bristol Street Improvements Phase 4 May 3, 2016 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the Bristol Street Final Environmental Impact Statement/ Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications in Phase 4, which lies between Warner Avenue and St. Andrew Place, an Addendum to the FEIS/EIR was prepared and adopted pursuant to the California Environmental Quality Act by City Council on April 7, 2015. FISCAL IMPACT Funds are appropriated in the Bristol Street Improvements Project (No. 116741) for expenditure in FY 2015-2016: $247,500 in the Select Street Construction Fund (Account No. 05917661- 66100), $495,000 in the Measure M2 Street Construction Fund (Account No. 03217663-66100), and $247,500 in the Select Street Construction Fund (Account No. 05917660-66100), subject to nonsubstantive changes. i Fred Mousavipour Executive Director Public Works Agency FM/EWG/JGIKN/ML Exhibits: 1. Location Map 2. Agreement for APN 015-216-01 3. Agreement for APN 408-336-01 APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25L-2 MATCHLINE SEE BELOW RIGHT I I f i I I I a0633847 I I I I i ST GERTftUDE PL 1 1409-171411 I I I i 405-071.,7 W i '�ryry 4J e " LEGEND I I I I 1 I ' 408.471.06 ' I I 408471,,06 I i R 1a1 fi-Y 94Air-. _..� I NNN F --I 0,5-t9M1.231: 015-134.24! _._..� 'os-,aa-sy 'a,aa94-3ep 1, J'W S-184-]18; 1 F11549428: bt5-i 4A.28; ' 015.199-36, I I I WARNER AVENUE -SUBJECT PROPERTY -aeou nlco PenrEenes I I I I a ry l I I ST ANDREW PL -7..-7---�- — J L..L-'L. CARLTON PL I I I v o w! C9 ®1 1 1 1 GLENWOOD PL J C0 I I {I CAMEN PL I j j I 7- 7--- - �ST ANNE PL EXHIBIT 1 MATCHLINE SEE TOP LEFT SANTA ANA PURCHASE AGREEMENT FOR CITY COUNCIL BRISTOL STREET IMPROVEMENTS PWA AGENDA DATE PHASE IV (PROJECT NO.116741 PUBLIC waers ncenicr MAY, 03, 2016 NONGENERAL FUND) (Strategic Plan No. 6, 1, G; and 3, 2, C) PAGE 1 OF 1 25L-3 25L-4 PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA"), entered into on 'bI94 i' , 2016, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter "City" or 'Buyer"), and Eduardo Palacio, an individual and Elisa Palacio, an individual, collectively (hereinafter "Seller"), regardless of number or gender; THEREFORE for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter "Said Real Property") legally described as follows: SEE EXHIBIT "A" — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 1242 W. Saint Anne Place, Santa Ana) (APN 015-216-01) Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1. Conveyance by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, within ninety (90) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. Seller agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, including any and all leasehold interests), liens, clouds or defects in title except those exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or Without knowledge of any condition, restriction, reservation, exception, easement, assessment, profit, limitation, encumbrance (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place herehabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of Four Hundred Fifty Thousand and no/100 Dollars ($450,000.00) insuring the title of the City to said real property is free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the failure of Seller to convey title or to provide title insurance as required in this Agreement. Exhibit 2 25L-5 4, Escrow. City agrees to open an escrow at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within sixty (60) days of the City's execution of this Agreement. If escrow is not in a condition to close by the Close of Escrow, and failure to close is due to unforeseen conditions of title or interest of third parties in the Property that cannot be resolved in Escrow, then buyer may, at its option, request cancellation of escrow and this Agreement and return of any funds it has deposited into escrow. Thereupon, all obligations and liabilities of the Parties under this Agreement shall cease and terminate. If no such request is made, Escrow shall be closed as soon as possible thereafter. Buyer shall be entitled to possession of the Property immediately upon close of Escrow. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described in Exhibit "B" attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title insurance, re -conveyance fees, document preparation fees, escrow fees and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240. The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed upon it under Section 4, Section 6, Section 8 and Exhibit "B" of the General Provisions of this Agreement. 5. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made uncollectibie if unpaid by reason of Section 5086 of the Revenue and Taxation Code of the State of California. To the extent that Seller has prepaid any taxes or assessments attributable to the Property; Seller shall be solely responsible for obtaining any refund due thereon from the taxing authority. Upon written request, Buyer shall assist Seller, at Seller's sole cost, in obtaining said refund, if any; however, in no case shall Buyer credit or otherwise pay Seller for that refund, if any, through or outside of Escrow. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as and for the full purchase price for said real property, the total sum of Four Hundred Fifty Thousand and no1100 Dollars ($450,000,00). City agrees to deposit said purchase price in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after: (a) Conveyance of said real property by Seller to City as hereinabove provided; (b) Acceptance by City of a Grant Deed conveying said real property to City; 25L-6 (c) Delivery to City of the policy of title insurance as hereinabove provided (d) Recordation of the Deed conveying said real property to City. 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. 8. Rental and Occupancy By Seller. Seller agrees to execute a complete, current and correct statement of rentals (Seller Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 90-day month/360-day year consistent with that statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement is executed by seller, or which may be vacated by present occupants prior to close of escrow. In return, the City agrees to reimburse seller lost rentals incurred by keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements. Seller also warrants that there are no oral or written leases on all or any portion of the subject property exceeding a period of one month. 9, Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 10. Heirs, Assigns, Successors -in -Interest. This PSA, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective Parties hereto. 11. Time is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time is and shall be of the essence. 12. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property. 13. Acknowledgment of Full Benefits and Release A. By execution of this Agreement, Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby acknowledges that this Agreement provides full payment for the acquisition of the Property by Buyer, and Seller hereby expressly and unconditionally waives any claim for compensation for injury to the remainder ("severance damages"); precondemnation damages; claims for inverse condemnation; loss or impairment of any "bonus value" attributable to any lease; damage to or loss of improvements pertaining to the realty; any right to repurchase, leaseback from Seller, or receive any financial gain from, the sale of any portion of the Property , or challenge Buyer's adoption of a resolution of necessity, pursuant to Code of Civil Procedure sections 1245.245; any right to receive any notices pursuant to Code of Civil Procedure section 1245.245; any right to enforce any other obligation placed upon Seller pursuant to Code of Civil Procedure sections 1245.245, 1263.025 and 1263.615; any other rights conferred upon Defendants pursuant to Code of Civil Procedure sections 1245.245 and 1263.615 and 1263.025; and attorney's fees and costs. It being understood that this is a complete and full settlement of ail acquisition claims, liabilities, or benefits of any type or nature whatsoever relating to or in connection with the acquisition of the Property by Buyer. This release shall survive the Close of Escrow. 25L-7 This Agreement arose out of Buyer's efforts to acquire the Property through its municipal authority. Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby fully releases Buyer, its successors, agents, representatives (including attorneys), and assigns, and all other persons and associations, known or unknown, from all claims and causes of action by reason of any damage which has been sustained by Seller, or may be sustained by Seller, as a result of Buyer's efforts to acquire the Property or to construct the works of improvement thereon, or any preliminary steps thereto. This Agreement does not, and shall not be construed to, require Seller to indemnify Buyer for damages which may arise as a result of Buyer's efforts to construct improvements on the Property. C. Seller hereby acknowledges that he either has consulted with legal counsel, or had an opportunity to consult with legal counsel, regarding the provisions of the California Civil Code section 1542, which provides as follows: "A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which If known by him or her must have materially affected his or her settlement with the debtor." Seller acknowledges that he may have sustained damage, loss, costs or expenses which are presently unknown and unsuspected, and such damage, loss, costs or expenses which may have been sustained, may give rise to additional damage, loss, costs or expenses in the future. Nevertheless, Seller hereby acknowledges that this Agreement has been negotiated and agreed upon in light of that situation, and hereby expressly waives any and all rights which Seller may have under California Civil Code Section 1542, or under any statute or common law or equitable principal of similar effect. This acknowledgment and release shall survive the Close of Escrow. 14. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M-36, P.O. Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seller is Eduardo and Elise Palacio, 2906 S. Baker Street, Santa Ana, CA 92707. 16, Exceptions. City agrees to accept title to said real property subject to the following: NONE. 16, Entire Agreement. It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of Said Real Property by City. 17. Hazardous Waste. Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seiler shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property, The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" under Section 26115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter -Presley -Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous material", "hazardous substance", or "hazardous waste" under Section 25501 of the California Health and Safety Code, Division 20, Chapter 6,95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 25L-8 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. S6901 et sec. (42 U.S.C. S6903) or (A) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C. S9601 et sue. (42 U.S.C. S9601), 18. Compliance With Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus. % Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (1) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost wages, business income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). This indemnity extends only to liability created prior to or up to the date this escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow. 20. Contingency. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 21. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 22. Partial Invalidity. Any provision of this PSA that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the remaining provisions of this PSA shall remain in full force. 23. Captions. Captions and headings in this PSA, including the title of this PSA, are for convenience only and are not to be considered in construing this PSA. 24. Governing Law. This PSA shall be governed by and construed in accordance with the laws of the State of California. 25L-9 M No Reliance By One Party On The Other. Each party has received Independent legal advice from its attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The provisions of this PSA shall be construed as to their fair meaning, and not for or against any party based upon any attribution to such party as the source of the language in question. 26. No Third Party Beneficiary. This PSA is intended to benefit only the Parties hereto and no other person or entity has or shall acquire any rights hereunder. 27. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this PSA, without cost, 28. Applicability of Agreement To Assignees. This PSA shall be binding upon and shall inure to the benefit of the successors and assigns of the Parties to this RSA. 29. Authority to Execute Agreement. 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 PSA, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn, 30. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. 25L-10 IN WITNESS WHEREOF, the Parties hereto have executed this PSA on the date and year first written above. SELLER: Eduardo Palacio, an individual, and Elisa Palacio, an individual Date: 5-- 2- 2016 Eduardo Palacio, an -individual 4_kk c d Elisa Palacio, an individual City/Buyer City of Santa Ana David Cavazos City Manager Attest: Maria D. Huizar City Clerk Approved as to Form: se Sandoval C ' f Assistant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency Date:, 2016 Date: 2016 Date: 12016 Date: MP,&r.L J-1_., 2016 25L-11 EXHIBIT "A" LEGAL, DESRIPTION THE LAND REFERRED TO HEREIN IS SITUATED IN THE STATE OF CALIFORNIA, COUNTY OF ORANGE, CITY OF SANTA ANA, AND IS DESCRIBED AS FOLLOWS: LOT 40 OF TRACT NO, 1383, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS PER MAP RECORDED IN BOOK 41, PAGE(S) 47 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY. 25L-12 EXHIBIT "B" (First American) GENERAL, ESCROW PROVISIONS All disbursements shall be made by Escrow's check, All funds received in this escrow shall be deposited in one or more of your general escrow accounts with any bank doing business in the State of California and may be transferred to any other general escrow account or accounts. The expression "close of escrow" means the date on which instruments referred to herein are filed for record. All,adjustments are to be made on the basis of a 30-day month. Recordation of any instruments delivered through this escrow, if necessary or proper in the issuance of a policy of title insurance called for, is hereby authorized. There shall be no proration of any existing insurance policies in this escrow. You are to furnish a copy of these instructions, amendments thereto, closing statements and/or any other documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and/or the attorney or attorneys involved in this transaction upon request.of such lenders, brokers or attorneys. Should you before or after close of escrow receive or become aware of any conflicting demands or claims with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such conflict is resolved to your satisfaction, and you shall have the further right to commence or defend any action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred by you in connection with, or arising out of this escrow, including, but without limiting the generality of the foregoing, a suit in interpleader brought by you. In the event you file a suit in interpleader, you shall ipso facto be fully released and discharged from all obligations imposed upon you in this escrow. If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly charge as custodian thereof of not less than $10.00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of which independently shall have the same effect as if it were the original, and all of which taken together shall constitute one and the same instruction. 25L-13 When recorded, please mail this instrument and tax statements to: Clerk of the Council City of Santa Ana 20 Civic Center Plaza, M-30 Santa Ana, California 92701 Free r000rding requested by T1-IE CITY OF SANTA ANA PER GOVERNMENT CODE SECTION 6103. SPACE ABOVE THIS LINE FOR RECORDER'S USE CANCEL APPROVED AS TO APPROVED BY DFSCWTTON DESCRIPTTONM' AT PROJECT TAXES PORMBYNEY. DIRECTOR WRI'rIHNDY CRE-cmO-O.K NUT MIMHER N ER x 015-216-01 12E2 W. Smut A= Plaoe, Santa Mn, CA 92704 ABED NUMBER FOR VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, Eduardo Palacio and Elisa Palacio, husband and wife as joint tenants Do Hereby Grant to the CITY OF SANTA ANA. a charter City and municipal; corporation duly organized under the Constitution and laws of the State of California, for public roadway purposes, all that real property in the City of Santa Ana, Orange County, State of California, located at 1242 W. Saint Anne Place, Santa Ana, CA 92.704 described as follows: SEE EXHIBITS "A" AND "B" ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF; Dated r 2.-� ` j� By. ti Eduardo Palacio, an individual Dated / By: L _ Elisa Palacio, an individual 25L-14 CERTIFICATE OF ACCEPTANCE This is to certify that the interest in the real property conveyed by the Grant Deed dated March 24, 2016, from Eduardo Palacio, an individual and Elisa Palacio, an individual, collectively, to the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, is hereby accepted by the undersigned officer or agent on behalf of the City Council pursuant to authority conferred by Ordinance No. NS-2352 and Section No. 33-55 of the Santa Ana Municipal Code adopted by the City Council on June 1, 1998, in compliance with California Government Code Section 27281 and the grantee consents to recordation thereof by its duly authorized officer. Dated For the City of Santa Ana: City Manager 25L-15 EXHIBIT "A" LEGAL DESRIPTION THE LAND REFERRED TO HEREIN IS SITUATED IN THE STATE OF CALIFORNIA, COUNTY OF ORANGE, CITY OF SANTA ANA, AND IS DESCRIBED AS FOLLOWS: LOT 40 OF TRACT NO. 1383, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS PER MAP RECORDED IN BOOK 41, PAGE(S) 47 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY. APN:015-21 25L-16 WNW01W. \ � OrderNumaOSA- _m, Page _a. 7 !; • y , ; E122� , a y \d `/§ !: •7 , \(\ ; ` bzynR !L ; ! R £M ® ACKNOWLEDGMENT 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 validitV of that document. State of California County of On before me,jj t �U[1(��GtJiU}tiiU�J�1( (insert name and title of the officer personally appeared tjl'`inyul(dolD who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) s re subscribed to the within instrument and acknowledged to me that hethey executed the same in his(�e their authorized capacity(ies), and that by his re 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. WITNESS my hand and official seal, J QKATHERINE CADANILIA OGMM. 021097065 No ty Public • Callfamla j/fJ fjJj/J LOB ANGELES COUNTY i Signatur64/Gjj� J-1 (Seal) ra=. , F .17 2019 25L-18 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 D1' MV) ) 1�' nn,, �tt L t" On �2� )LD before me, �ta tri nt to apllliq r i't(11a!N 2411b (insert name and title of the officer) personally appeared rd U (A V6A0 V61 I U U 0 ---~— """"�'m _ who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) s re subscribed to the within instrument and acknowledged to me tha t she/they executed the same in is her/their authorized capacity(ies), and that by is er/their signature(s) on the instrument the 9 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. WITNESS my hand and official seal. KAiHERINECABANILLAL COMM. #2097866 Notary Public • California m LOS ANGELES COVN7Y A yy �/ Ceram, P /7 2019 Signature aUt.L'74, � ��( �� (Seal) 25L-19 25L-20 PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA"), entered into on 2 0 16, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter "City" or "Buyer"), and Loyd Van Dad, an individual (hereinafter "Seller"), regardless of number or gender; THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter "Said Real Property") legally described as follows: SEE EXHIBIT "A" — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 1302 W. Saint Anne Place, Santa Ana) (APN 408-336-01) Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1, Conveyance by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, within ninety (90) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. Seller agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, including any and all leasehold interests), liens, clouds or defects in title except those exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or without knowledge of any condition, restriction, reservation, exception, easement, assessment, profit, limitation, encumbrance (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of Five Hundred Fourty Thousand and no/100 Dollars ($540,000.00) insuring the title of the City to said real property is free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the failure of Seller to convey title or to provide title insurance as required in this Agreement. EY25U21 4. Escrow. City agrees to open an escrow at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement, This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within sixty (60) days of the City's execution of this Agreement. If escrow is not in a condition to close by the Close or Escrow, and failure to close is due to unforeseen conditions of title or interest of third parties in the Property that cannot be resolved in Escrow, then buyer may, at its option, request cancellation of escrow and this Agreement and return of any funds it has deposited into escrow. Thereupon, all obligations and liabilities of the Parties under this Agreement shall cease and terminate. if no such request is made, Escrow shall be closed as soon as possible thereafter, Buyer shall be entitled to possession of the Property immediately upon close of Escrow. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described in Exhibit "B" attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title insurance, re -conveyance fees, document preparation fees, escrow fees and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240. The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed upon it under Section 4, Section 6, Section 8 and Exhibit "B" of the General Provisions of this Agreement. 5. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State of California, Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made unoollectible if unpaid by reason of Section 5086 of the Revenue and Taxation Code of the State of California. To the extent that Seller has prepaid any taxes or assessments attributable to the Property; Seller shall be solely responsible for obtaining any refund due thereon from the taxing authority. Upon written request, Buyer shall assist Seller, at Seller's sole cost, in obtaining said refund, if any; however, in no case shall Buyer credit or otherwise pay Seller for that refund, if any, through or outside of Escrow. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as and for the full purchase price for said real property, the total sum of Five Hundred Fourty Thousand and no/100 Dollars ($540,000.00). City agrees to deposit said purchase price in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after: 25L-22 (a) Conveyance of said real property by Seller to City as hereinabove provided; (b) Acceptance by City of a Grant Deed conveying said real property to City; (c) Delivery to City of the policy of title insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City. 7, Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. 8, Rental and Occupancy By Seiler. Seller agrees to execute a complete, current and correct statement of rentals (Seller Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 90-day month/360-day year consistent with that statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement is executed by seller, or which may be vacated by present occupants prior to close of escrow. In return, the City agrees to reimburse seller lost rentals incurred by keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements. Seller also warrants that there are no oral or written leases on all or any portion of the subject property exceeding a period of one month. 9. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 10. Heirs, Assigns, Successors -in -Interest. This PSA, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective Parties hereto. 11. Time is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time is and shall be of the essence. 12. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property. 13. Acknowledgment of Full Benefits and Release. A. By execution of this Agreement, Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby acknowledges that this Agreement provides full payment for the acquisition of the Property by Buyer, and Seller hereby expressly and unconditionally waives any claim for compensation for Injury to the remainder ("severance damages"); precondemnation damages; claims for inverse condemnation; loss or 25L-23 impairment of any "bonus value" attributable to any lease; damage to or loss of improvements pertaining to the realty; any right to repurchase, leaseback from Seller, or receive any financial gain from, the sale of any portion of the Property, or challenge Buyer's adoption of a resolution of necessity, pursuant to Code of Civil Procedure sections 1245.245; any right to receive any notices pursuant to Code of Civil Procedure section 1245,245; any right to enforce any other obligation placed upon Seller pursuant to Code of Civil Procedure sections 1245.245, 1263.025 and 1263.615; any other rights conferred upon Defendants pursuant to Code of Civil Procedure sections 1245.245 and 1263.615 and 1263.025; and attorney's fees and costs. It being understood that this is a complete and full settlement of all acquisition claims, liabilities, or benefits of any type or nature whatsoever relating to or in connection with the acquisition of the Property by Buyer. This release shall survive the Close of Escrow, B. This Agreement arose out of Buyer's efforts to acquire the Property through its municipal authority. Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby fully releases Buyer, its successors, agents, representatives (including attorneys), and assigns, and all other persons and associations, known or unknown, from all claims and causes of action by reason of any damage which has been sustained by Seller, or may be sustained by Seller, as a result of Buyer's efforts to acquire the Property or to construct the works of improvement thereon, or any preliminary steps thereto. This Agreement does not, and shall not be construed to, require Seller to indemnify Buyer for damages which may arise as a result of Buyer's efforts to construct improvements on the Property. C. Seller hereby acknowledges that he either has consulted with legal counsel, or had an opportunity to consult with legal counsel, regarding the provisions of the California Civil Code section 1542, which provides as follows: "A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor." Seller acknowledges that he may have sustained damage, loss, costs or expenses which are presently unknown and unsuspected, and such damage, loss, costs or expenses which may have been sustained, may give rise to additional damage, loss, costs or expenses in the future. Nevertheless, Seller hereby acknowledges that this Agreement has been negotiated and agreed upon in light of that situation, and hereby expressly waives any and all rights which Seller may have under California Civil Code Section 1542, or under any statute or common law or equitable principal of similar effect. This acknowledgment and release shall survive the Close of Escrow. 14, Notices, The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M-36, P.O. Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seiler is Loyd Van Dec, 1302 W. Saint Anne Place, Santa Ana, CA 92704, 15. Exceptions. City agrees to accept title to said real property subject to the following: NONE. 16. Entire Agreement. It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of Said Real Property by City. 25L-24 17. Hazardous Waste, Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter -Presley -Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous material", "hazardous substance", or "hazardous waste" under Section 25501 of the California Health and Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (AK) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. S6901 et sec. (42 U.S.C. 86903) or (A) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C. S9601 et sea. (42 U.S.C, S9601). 18. Compliance With Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus. 19. Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (1) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost wages, business income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). This indemnity extends only to liability created prior to or up to the date this escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow. 25L-25 20. Contingency. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 21. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 22. Partial Invalidity. Any provision of this PSA that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the remaining provisions of this PSA shall remain in full force. 23. Captions. Captions and headings in this PSA, including the title of this PSA, are for convenience only and are not to be considered in construing this PSA. 24. Governing Law. This PSA shall be governed by and construed in accordance with the laws of the State of California. 25. No Reliance By One Party On The Other. from its attorneys with respect to the advisability provisions hereof. The provisions of this PSA shall or against any party based upon any attribution question. Each party has received independent legal advice of executing this PSA and the meaning of the be construed as to their fair meaning, and not for o such party as the source of the language in 26. No Third Party Beneficiary. This PSA is intended to benefit only the Parties hereto and no other person or entity has or shall acquire any rights hereunder. 27. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this PSA, without cost. 28. Applicability of Agreement To Assignees. This PSA shall be binding upon and shall Inure to the benefit of the successors and assigns of the Parties to this PSA. 29. Authority to Execute Agreement. 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 PSA, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, In fact, held by the signatory or is withdrawn. 30, Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. 25L-26 IN WITNESS WHEREOF, the Parties hereto have executed this PSA on the date and year first written above. SELLER: Loyd Van Dao, an individual Loyd Van Dao, B individual City/Buyer City of Santa Ana David Cavazos City Manager Attest: Maria D. Huizar City Clerk Approved as to Form: e andoval ~-- C i Assistant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency Date: n,�jg jtF, , 2016 Date: 2016 Date: .2016 Date: M K9,e L 213, 2016 25L-27 EXHIBIT "A" LEGAL DESRIPTION THE LAND REFERRED TO HEREIN IS SITUATED IN THE STATE OF CALIFORNIA, COUNTY OF ORANGE, CITY OF SANTA ANA, AND IS DESCRIBED AS FOLLOWS: LOT 18 OF TRACT NO. 2209, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 64, PAGES 25 AND 26 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY. 25L-28 EXHIBIT "B" (First American) GENERAL ESCROW PROVISIONS All disbursements shall be made by Escrow's check. All funds received in this escrow shall be deposited in one or more of your general escrow accounts with any bank doing business In the State of California and may be transferred to any other general escrow account or accounts. The expression "close of escrow" means the date on which instruments referred to herein are filed for record. All adjustments are to be made on the basis of a 30-day month. Recordation of any instruments delivered through this escrow, if necessary or proper in the issuance of a policy of title insurance called for, is hereby authorized. There shall be no proration of any existing insurance policies in this escrow. You are to furnish a copy of these instructions, amendments thereto, closing statements and/or any other documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and/or the attorney or attorneys involved in this transaction upon request of such lenders, brokers or attorneys. Should you before or after close of escrow receive or become aware of any conflicting demands or claims with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such conflict is resolved to your satisfaction, and you shall have the further right to commence or defend any action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred by you in connection with, or arising out of this escrow, including, but without limiting the generality of the foregoing, a suit in interpleader brought by you. In the event you file a suit in interpleader, you shall ipso facto be fully released and discharged from all obligations imposed upon you in this escrow. If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly charge as custodian thereof of not less than $10.00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of which independently shall have the same effect as if it were the original, and all of which taken together shall constitute one and the same instruction, 25L-29 25L-30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: SETTLEMENT AGREEMENT FOR TENANT AT 1607 NORTH BRISTOL STREET FOR BRISTOL STREET IMPROVEMENTS (PROJECT NO. 116740) (NONGENERAL FUND) (STRATEGIC PLAN NO. 6, 1G & 3, 2C) CITY MAN95tR CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on Is'Reading ❑ Ordinance on 2n0 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a settlement agreement with Joe Garrido dba Farmers Insurance, tenant of the property located at 1607 North Bristol Street (APN 399-085-11), in the amount of $30,000, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION Bristol Street is a north -south transportation facility which is designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane is a long-term priority project that will be constructed in several phases. Improvements include widening the street from two to three lanes in each direction, and installing raised landscape medians and bike lanes. Public Works Agency staff is acquiring properties for the development of Phase 3B, bounded by Washington Avenue and Seventeenth Street. The right-of-way acquisition process is expected to be completed by spring 2017, with construction scheduled to begin in summer 2017. To accommodate the widening for Phase 3B, the project necessitates acquisition of properties and relocation of tenants at various acquired parcels. The Public Works Agency is in negotiations with the owner of the property at 1607 North Bristol Street (Exhibit 1). Joe Garrido (dba Farmers Insurance), the tenant at 1607 N. Bristol, has agreed to the settlement amount of $30,000 as total compensation for all obligations of the City to tenant. This amount includes --without limitations -- relocation assistance, relocation benefits, moving expenses, interest of any kind in the real estate and leasehold, loss of business goodwill, compensation for personal property (loss of inventory), furniture, fixtures and equipment, interest, attorney's fees, appraisal fees, or damages of any nature (Exhibit 2). 25M-1 Settlement Agreement for Tenant at 1607 N. Bristol May 3, 2016 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans), Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the Bristol Street Final Environmental Impact Statement/ Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications in Phase 3B, which encompasses the area between Washington Avenue and Seventeenth Street, an Addendum to the FEIS/EIR was prepared and adopted by City Council on June 3, 2014, pursuant to the California Environmental Quality Act. FISCAL IMPACT Funds are appropriated in the Bristol Street Improvements Project (No. 116740) for expenditure in FY 2015-2016: $7,500 in the Select Street Construction Fund (Account No. 05917661-66220) and $22,500 in the Measure M2 Street Construction Fund (Account No. 03217662-66220). Fr4 Mousavipour Executive Director Public Works Agency FM/EWG/KN Exhibits: 1. Location Map 2. Settlement Agreement APPROVED AS TO FUNDS AND ACCOUNTS: , cQsz ti 4 Y' f Ctp"ems Francisco Gutierrez Executive Director Finance & Management Services Agency 25M-2 4 (NTS) LEGEND SANTA ANA wa c YYYYYY. YYY H .YYY H 18TH STREET 17TH STREET H W W F J cr m 405-252�21 -SUBJECT PROPERTY -AODU I RED PROPERTIES EXHIBIT 1 WASHINGTON AVENUE �� SETTLEMENT AGREEMENT FOR TENANT AT 1607 CITY COUNCIL NORTH BRISTOL STREET FOR BRISTOL STREET AGENDA DATE: IMPROVEMENTS (PROJECT NO.116740) MAY 3, 2016 (NONGENERAL FUND) (STRATEGIC PLAN NO, 6, 1G AND 3, 20 25M-3 25M-4 ALL INCLUSIVE SETTLEMENT AGREEMENT This Agreement ("Agreement") is made by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("City") and JOE GARRIDO DBA FARMERS INSURANCE ("Tenant"). The City and Tenant are hereinafter sometimes referred collectively as the "Parties." The Effective Date of this Agreement shall be _, 2016, the date on which the Agreement has been fully executed by the City and Tenant. RECITALS A. Tenant operates a business, commonly known as Farmers insurance, located at 1607 N. Bristol Street, Santa Ana, CA 92703 (the "Property"). B. The City is in the process of purchasing the Property for the Bristol Street Improvements Project Phase 111B. As a result of the City's acquisition, the Tenant will be displaced from the Property. C. The Parties desire to resolve all issues relating to the City's acquisition of the Property in accordance with the terms and conditions set forth below. D. The Parties acknowledge that the payment as set forth in paragraph 1(a) and other consideration given in connection with this Agreement are the result of a compromise and settlement of disputed claims, and shall never, at any time or for any purpose, be considered an admission of liability or responsibility on the part of any of the parties herein released. NOW, THEREFORE, in consideration of the foregoing and of the mutual promises and covenants hereinafter set forth, it is hereby agreed by and among the Parties that: 1. Consideration (a) The City shall pay to Tenant the sum of $30,000.00 (Thirty Thousand Dollars and Zero Cents) (Tenant Settlement Payment) as total compensation for relocation assistance and any and all related expenses and claims as more fully described in paragraph 1(b) below. Upon full execution of this Agreement, the City will make a final payment to Tenant in the amount of $30,000.00. (b) Tenant agrees, that the consideration received pursuant to paragraph 1(a) above constitutes full satisfaction of any and all obligations of the City to Tenant, including, without limitation, any obligations for relocation assistance, relocation benefits, moving expenses, interest of any kind in the real estate and leasehold, loss of business goodwill, compensation for personal property (loss of inventory), furniture, fixtures and equipment, interest, attorney's fees, appraisal fees, or damages of any nature. (c) Tenant will vacate the Property on S+ 2016 ("Vacate Date"). (d) Tenant hereby agrees that City may remove and dispose of any personal property or trash that was not moved upon the Vacate Date, as it elects and desires, without any notice to Tenant. Exhibit 2 1 of 7 25M-5 2. Release (a) Nothing contained herein shall constitute a release or discharge by either party for any of the undertakings of the other party to this Settlement Agreement, This Agreement shall serve as a full release and discharge by the Parties, on behalf of themselves, their agents, representatives, assigns, trustees, administrators, attorneys, heirs, relatives, spouses, ex -spouses, beneficiaries, and successors in interest, in consideration of the mutual covenants and promises contained herein, of the Tenant, the City of Santa Ana, the City of Santa Ana Public Works Agency, and those parties' accountants, other professionals, agents, representatives, assigns, employees, administrators, trustees, insurers, attorneys, heirs, beneficiaries, and successors in interest (collectively the "Released Parties"), from all rights, claims or cross -claims, demands, actions, or causes of action, including those for damages, compensation, relocation assistance, relocation benefits, loss of goodwill, property interest, compensation for personal property (loss of inventory), furniture, fixtures and equipment, punitive damages, interest, costs, attorney's and appraisal fees, injunctive or declaratory relief, or for relief by way of writ of mandate, or for demands, damages, refunds, debts, liabilities, reckonings, accounts, obligations, costs, expenses, liens, actions, causes, and causes of action of whatever kind, at law or in equity, that the Parties have now or may have against any of the Released Parties arising from the facts and circumstances described in this Agreement including but not limited to (1) the acquisition of the Property by the City, (2) Tenant's leasehold interest, if any, in the Property (or any portion thereof) or (3) any other right or interest Tenant may have, assert, or claim by reason of City's actions or failure to act, including, but not limited to, any claim to relocation assistance, relocation benefits or compensation for property or loss of goodwill from the City. (b) In making this release, the Parties intend to and do release, acquit and discharge the Released Parties, and each of them, from any liability of any nature whatsoever for any claim, injury, damages, or equitable or declaratory relief of any kind, whether the claim, or any facts on which such claim might be based, is known or unknown to the party possessing the claim. Each party expressly acknowledges and waives any and all rights under Section 1542 of the California Civil Code, which the Parties understand provides as follows: A general release does not extend to claims which the creditor does not know or suspect to exist in his/her favor at the time of executing the release, which if known by him/her must have materially affected his/her settlement with the debtor. Each party acknowledges the foregoing waiver of the provisions of California Civil Code Section 1542 was separately bargained for and expressly consents that this Agreement shall be given full force and effect in accordance with each and all of its express terms and provisions, including those terms and provisions relating to unknown or unsuspected claims, demands and causes of action, if any, to the same effect as those terms and provisions relating to any other claims, demands and causes of action herein above specified. 2of7 25M-6 (c) Each party acknowledges that it may hereafter discover facts or law different from or in addition to those which it now believes to be true with respect to the release of claims. Each party agrees that the foregoing release shall be and remain effective in all respects notwithstanding such different or additional facts or law or any party's discovery thereof. The Parties shall not be entitled to any relief in connection therewith, including, but not limited to, any damages or any right or claim to set aside or rescind this Agreement. (d) None of the Parties or their respective agents nor any related entities have made any statement or presentation to the other regarding any fact relied upon in entering into this Agreement and the Parties, and each of them, expressly do not rely upon any statement, representation or promise of any other party or any party's agent or related entities in executing this Agreement, except as is expressly set forth herein. Each of the Parties has made such investigation of the facts and law pertaining to the subject matter of this Agreement as it deems necessary, and has consulted with legal counsel of its own choosing concerning these matters. (e) Tenant hereby represents and warrants as of the Effective Date of this Agreement that (1) to its actual knowledge, no other entity or person has any right, title, or interest whatsoever in the released claims, and (2) that there has been no assignment, transfer, conveyance or other disposition by Tenant of any of the released claims, and that Tenant will not make any such assignment, transfer, conveyance or other disposition subsequent to the Effective Date of this Agreement. Tenant acknowledges that the Authority has relied and is relying upon such representations and warranties in entering into this Agreement. (f) Tenant will Hold Harmless and defend representatives from any claims that any other interests in the Property agreement. City, its employees, agents, contractors or may arise from Tenant's nondisclosure of or personal property referenced by this (g) This Agreement represents a settlement of doubtful and disputed claims between the Parties and does not constitute any admission of liability by either party to the other party to this Agreement. City has delivered to Owner an offer to purchase the Property under threat of eminent domain pursuant to Government Code Section 7267.2. Tenant and City now wish to enter into this Agreement in lieu of eminent domain proceedings. 3. Third Party Beneficiaries Except as explicitly set forth herein, nothing in this Agreement is intended to create any third party beneficiaries under this Agreement, and no person or entity other than Authority and Tenant shall be authorized to enforce the provisions of this Agreement. 4. Attorney's Fees 3of7 25M-7 In the event of litigation relating to or arising out of this Agreement, the prevailing party shall be entitled to be reimbursed by the non -prevailing party for all reasonable costs and expenses incurred thereby, including, but not limited to reasonable attorney's fees and costs for services rendered to such prevailing party. 5. Indemnity Each party shall indemnify, defend and hold the other party and the Released Parties harmless from and against any claims, damages, demands, liabilities, losses, judgments, expenses and attorney's fees and/or costs resulting from the breach by such indemnifying party of any provision of this Agreement, the falsity of any representation or warranty made by the indemnifying party contained in this Agreement. 6, Entire Agreement This Agreement together contains the entire Agreement of the Parties, and supersedes any prior written or oral agreements between them, concerning the subject matter of this Agreement. 7. Partiallnvalidity In the event that any term, covenant, condition or provision of this Agreement shall be determined by a court of competent jurisdiction to be invalid or against public policy, the remaining provisions shall continue in full force and effect. 8. Waiver and/or Modification The provisions of this Agreement may not be waived, altered, amended or repealed, in whole or in part, except upon a written agreement signed by each of the Parties. The waiver by one party of the performance of any provisions of this Agreement shall not invalidate this Agreement, nor shall it be deemed a waiver of any other provision hereof. 8. Headings The headings, subheadings and numbering of the different paragraphs of this Agreement are inserted for convenience and for reference only and shall not be considered for any purpose in construing this Agreement. 9. Governing Law The rights and obligations of the Parties under this Agreement shall be construed and enforced in accordance with, and governed by, the laws of the State of California. 10, Successors In Interest Subject to any restrictions against assignment contained herein, this Agreement shall inure to the benefit of, and shall be binding upon, the assigns, successors in interest, personal representatives, executors, estates, heirs, legatees, agents and related entities of each of the Parties. 11. Necessary Acts 4of7 25M-8 Each of the Parties agrees to perform such further acts, and execute and deliver such further documents, as may be reasonably necessary to carry out the provisions of this Agreement. 12. Advise of Counsel The Parties, and each of the, acknowledge that in connection with the negotiations and execution of this Agreement, they have each been represented by independent counsel of their own choosing and the Parties executed the Agreement after review by such independent counsel; or, if they were not so represented, said non -representation is and was the voluntary, intelligent and informed decision and election of the party not so represented; and, prior to executing the Agreement, each party has had an adequate opportunity to conduct an independent investigation of all the facts and circumstances with respect to the matters which are the subject of this Agreement including but not limited to the advisability of entering into this Agreement and the meaning of California Civil Code Section 1542. 13, Authority to Execute This Aqreement Each person executing this Agreement on behalf of an entity represents that he or she is authorized to execute this Agreement on behalf of that entity and to bind that entity to the terms of this Agreement. 14. Construction Each party has cooperated in the drafting and preparation of this Agreement. In any construction to be made of this Agreement, or of any of its terms and provisions, the same shall not be construed against any party. 15. Counterparts This Agreement may be executed in counterparts, each of which shall be deemed an original and, when taken together with other signed counterparts, shall constitute one Agreement, which shall be binding upon and effective as to all Parties. 16. Voluntary Agreement The Parties, and each of them, further represent and declare that they have carefully read this Agreement and know the contents thereof, and that they sign the same freely and voluntarily. 17. Notices All notices, requests, demands and other communications required or permitted to be given under this Agreement shall be in writing and shall either be delivered personally or be sent by telegram or by regular or certified first class mail, postage prepaid, deposited in the United States mail, and properly addressed to the party at its address set forth below, or at any other address that such party may designate by written notice to the other party: 5of7 25M-9 To City: Jason Gabriel Principal Civil Engineer City of Santa Ana Public Works Agency 20 Civic Center Plaza, M-36 Santa Ana, California 92701 To Tenant: Farmers Insurance Attn: Mr. Joe Garrido 1607 N Bristol Santa Ana CA 92701 18. Jurisdiction and Venue Any action or proceeding concerning this Agreement shall be filed and prosecuted in the appropriate California court in the County of Orange, California. Each party hereto irrevocably consents to the personal jurisdiction of the court. The Parties each hereby expressly waive the benefit of any provision of law providing for a change of venue to any other court, including, without limitation, federal court, due to any diversity of citizenship between the Parties or due to the fact that either the Authority is a party to such action or proceeding. Without limiting the generality of the foregoing, the Parties specifically waive any rights provided to it pursuant to California Code of Civil Procedure Section 394 or other state or federal statutes or judicial decisions of similar effect. 6of7 25M-10 IN WITNESS WHEREOF, the parties to this Agreement have executed this Agreement as of the date first written above. TENANT: BY: Joe Gar CITY OF SANTA ANA Dated L _ —1 b BY: Dated David Cavazos City Manager ATTEST: Dated Maria D. Huizar City Clerk APPROVED AS TO FORM: Assistant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency Dated 7of7 25M-11 25M-12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: AGREEMENTS WITH AESCO, UNITED INSPECTION & TESTING, AND NINYO & MOORE FOR GEOTECHNICAL, SPECIAL INSPECTION, AND MATERIAL TESTING SERVICES {STDGLC PLAN NO. 6, 1 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED As Recommended ❑ As Amended ❑ Ordinance on I*' Reading ❑ Ordinance on 2"6 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute an agreement with each of the three entities: AESCO, United Inspection & Testing, and Ninyo & Moore to provide on -call geotechnical, special inspection, and material testing services, for a two-year period beginning May 4, 2016, and expiring May 3, 2018, with provisions for two one-year renewal options exercisable by the City Manager and City Attorney, in an amount not to exceed $500,000 for each firm over the entire term of the agreement, including any renewals, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency (PWA) oversees all construction for capital improvements projects. Some projects involve construction of reinforced concrete, reinforced masonry, structural steel, earth work, and asphalt pavement. To ensure quality and to meet federal requirements, a variety of inspections and tests must be performed on the workmanship and construction materials used on the project. PWA is also responsible for certain improvements that involve adherence to the California Building Code. These codes have strict inspection requirements that apply to reinforced concrete, reinforced masonry, and structural steel, and such work must be performed by certified inspectors. The City's construction inspectors do not have the certifications, nor does the City have the proper testing equipment to meet these federal and state requirements. Therefore, it is recommended that quality assurance services be provided by qualified professional inspection and testing firms to meet the agency's goals, and deliver the quality and timeline expectations. On January 11, 2016, the PWA released a Request for Proposals (RFP) on the City's website and notified qualified consulting firms. Twelve proposals were received and evaluated by a 25N-1 Consultant Agreements for On -Call Geotechnical, Special Inspection & Testing Services May 3, 2016 Page 2 review committee from the PWA. Six proposals were not fully scored because they did not meet the minimum qualifications listed in the RFP. Each firm was rated according to its organization, credentials, resumes, references, and fees to provide the required services. The list of the firms and the respective scores is as follows: FIRM SCORE AESCO 97 United Inspection & Testing 94 Ninyo & Moore 91 Leighton Consulting 87 Willdan Geotechnical 81 Delta Group 81 Geo-Advantec Inc. Not Rated California Testing & Inspection Not Rated Southwest Inspection & Testing, Inc. Not Rated American Engineering Laboratories, Inc. Not Rated Koury Engineering & Testing, Inc. Not Rated Smith -Emery Laboratories Not Rated Staff recommends that AESCO, United Inspection & Testing, and Ninyo & Moore be retained to provide on -call geotechnical, special inspection and material testing services. The cost proposals from these three firms were negotiated to ensure that the City receives the highest quality and value. After awarding the agreements, the City will use a Task -Order system to ensure tasks are equitability allocated to all consultants. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. 25N-2 Consultant Agreements for On -Call Geotechnical, Special Inspection & Testing Services May 3, 2016 Page 3 There Is no fiscal impact at this time. Prior to utilizing of any of these on -call services, Public Works staff must receive Finance & Management Services Agency approval of funding and accounts to ensure that funds are available under the authorization and aggregate limit of these agreements. Upon successful completion of this fiscal review, a corresponding Notice to Proceed containing specific scope and maximum expenditure for the task order will be issued to a firm. Funding for these services were recognized in prior year and the current FY 2015-16 approved Capital Improvement Program budgets, and will be budgeted In future DIPs, Executive Director Public Works Agency FM/EWG/MG Exhibits: 1, Agreement s-AESDQ 2. Agreement — United Inspection & Testing 3, Agreement — Ninyo & Moore 25N-3 25N-4 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this day of 2016 by and between AESCO (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing Linder 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: Geotechnical, special inspection, & material testing to provide quality assurance for its Capital Improvement Program on an as needed basis. 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 mud 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 during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference. The Scope of Services shall include a Schedule for the Delivery of Services, which shall be delivered as scheduled, beginning upon the City's issuance of a Notice to Proceed, 2. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, an amount not to exceed $500,000 in accordance to rates and charges identified in Compensation - Exhibit B, attached hereto and incorporated by reference, and in accordance with Section 19. 3. TERM This Agreement shall commence on the date first written above for a two. (2) year term with the option for the City to grant up to a two (1)-year renewal option(s) exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. Exhibit 1 AF.SCO_Agreement 25N-5 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-employce relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional mariner 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 OF 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 docunneits or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Constdtarrt 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. 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. Such insurance shall (a) name the City, its officers, employees, agents, 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. Arsco Agreement Page 2 of 8 25N-6 C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has airy employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to cormnencing 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e, The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved 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. iv. Consultant shall supply City with a fully executed additional insured endorsement. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attonicy's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims"), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all clainis and liability regardless of whether any insurance ,policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. At sco Agreement 25 N _7 Page 3 of 8 8. INTELLECTUAL, PROPERTY LNDEMNIFICA'rION 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, tradernark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS 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, expenditrues, 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 thi.s 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. 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 proprietafy, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and farther 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 inclLide 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 (c) is independently developed by the Consultant without reference to information disclosed by the City. I I. 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. Conflict may be further specified in Certifications - Exhibit C, attached hereto and incorporated in this Agreement by reference. Assay Agicenvni. 25N-8 Page 4 of S 12. 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 opportimity 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. 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 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 the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein, 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. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a, As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. Aesco_Arrnmem 25N-9 Page 5 of 8 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. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services 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, 18. PAYMENTS & INVOICES a. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. b.. Invoices should be submitted on the 15th of each month and shall include the following information at a minimum; V. Consultant's invoice number and City's agreement munber A, Beginning and ending dates for services vii. City Project and/or Task Order number and/or name (if applicable) viii. Work site address/location (if applicable) ix. Tasks or deliverables completed and percentage (%) of total services completed. X. Remaining Overall and Task Order budget available 19. MISCELLANEOUS PROVISIONS a. Additional provisions, if any, are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. C. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. AESCO Agreement Page 6 of 8 25N-10 20. 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 seat 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 With courtesy copies to: Fred Mousavipour Sonia R. Carvalho Executive Director, Public Works Agency City Attorney City of Santa Ana City of Santa Ana 20 Civic Center Plaza (M-21) 20 Civic Center Plaza (M-29) RO, Box 1988 P.O. Box 1988 Santa Ana, California 92702 Santa Ana, California 92702 Fax: 714- 647-5635 Tax: 714- 647-6515 To Consultant: Adam Engineering Manager AESCO 17782 Georgetown Lane Huntington Beach, CA 92647 Fax: 714-375-3831 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, conumurication 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 facsitnile machine, addressed as set forth above. For purposes of calculating these time fmics, weekends, federal, state, County or City holidays shall be excluded. A8SC0_Agreement Page 7 of 8 25N-11 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Jos tdoval Chie' ssistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA David Cavazos City Manager CONSULTANT: Adam Chamaa Engineering Manager Tax ID# N[SCO Agreement Page 8 of 8 25N-12 RXHIB.IT A SCOPE OF SERVICES 25N-13 Appendix ATTACHMENT 1 SCOPE OF WORT{ CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR GEOTECHNICAL, SPECIAL INSPECTION & MATERIAL TESTING FOR THE PUBLIC WORKS AGENCY CAPITOL IMPROVEMENT PROGRAM RFP NO.: 15-055 A. DESCRIPTION The City desires to engage a professional consultant(s) to perform geotechnical, special inspection & material testing to support delivery of the City's Capital Improvement Program (CIP), while maintaining the highest quality construction standards. The City is soliciting proposals to assist in the delivery of an ambitious $80 million CIP over the next 'five years, Projects include street pavement, traffic signals, underground utilities, building, and park facility improvements, . The selected firm is expected to provide inspections and material testings for construction involving grading, soils, base material, reinforced concrete and masonry, asphalt concrete, structural steel, painting and to provide other quality assurance services when required. The selected consultant may enter into an agreement with the City to provide inspection and material testing services on an as -needed basis. B. SCOPE OF SERVICES 1. GEOTECI-INICAL,SPECIAL INSPECTION, AND MATERIAL TESTING The required services shall include, but not be limited to, the following; SPECIAL INSPECTION 1. Provide special field inspections and compaction tests for grading, trench backfill and asphalt concrete pavement construction according to the project special provisions, the Standard Specifications for Public Works Construction ("Green Book") and Caltrans Standard Specifications. Submit daily field reports to the City and a final report after work is completed. 2. Provide inspections for installation of precast and cast in -place concrete, welding, high strength bolts, structural steel, masonry, painting and other types of work in accordance with the California Building Code (CDC) and the contract documents. Submit field reports to the City immediately after inspections are completed. All deputy inspectors shall register with the City's Planning and Building Agency prior to start inspection. City of Santa Ana RFP 15-055 Page Al-1 25N-14 3. Perform tests on various construction materials as required by the City. 4. Inspectors vvho perform work in confined areas or at elevated levels shall be certified or trained for confined space and fall protection. 5. Recommend testing method on defective work and advise the City of acceptance standards. 6. Provide source inspection for concrete and asphalt concrete at mixing plants, and inspection for other materials at their source as required by the project specifications. 7. Provide other quality control services as requested by the City. & Field reports shall be submitted daily to the City, Submit and distribute typed inspection and material testing reports to the City's Public Works Agency and the Planning and Building Agency in accordance with "Green Book" and "CBC" requirements and to other concerned parties within a week after the work is performed. 9. Submit a final report to the City within five working days upon completion of each project. MATERIALTESTING • Testing lab shall have the ability to perform a wide variety of construction material testing; i.e. soils, Portland cement concrete, asphalt concrete, reinforcement, structural steel, welding, paint, etc. as required for road widening projects, sub -surface projects, building, bridges, etc. • Comply with the City's Quality Assurance Program (QAP). The City has adopted Appendix Y of the Caltrans Quality Assurance Program with related attachments. A copy can be provided upon request. • Engineer of record for all inspection and materials testing services required under this contract Shall be registered as a professional engineer in the State of California. • Possession of applicable certifications for all personnel and laboratories. Certifications shall be valid, up-to-date, and a copy of each provided to the City at the award of the contract. • Understanding of and extensive experience with Federal (FEMA), National and/or applicable International (AASHTO and/or ASTM), State (Caltrans) and Local guidelines, procedures, and certifications for laboratory and personnel assigned to projects. • Laboratory facilities and staff shall have and maintain current Caltrans accreditation throughout duration of contract. Verif cation of required qualifications for these accreditations is required to be submitted with the proposal. • All labs providing testing to primary consultant shall have the same licensing, accreditation, and certification requirement as primary consultant. ADDITIONAL REQUIRLMENTS Some of the city projects are funded by Federal or State grants, the selected consulting firm must comply with all requirements of Caltrans Construction Manual including the following: City of Santa Ana RFP 15.055 Page Al-2 25N-15 Certification of Personnel I . The personnel who will conduct the material sampling and testing must be certified, They must be certified by Caltrans' District Materials Engineer, and, optionally, the National Institute Certification of Engineering Technologies, or other authority acceptable by the Construction Engineer of the City to be proficient in accepting sampling and testing. 2. A copy of each person's certificate must be on file in the office of the Principal Civil Engineer. The certificate shall list the type of work which the individual is authorized to perform. 3. The testing laboratory must be under the supervision of a registered engineer with experience in inspection and testing of construction materials. This engineer shall certify the results of all tests performed by the lab personnel under his/her supervision. 4. The selected firm must maintain the laboratory testing equipment in accordance with recognized national standards. 5. The selected Firm must have an independent assurance testing and sampling program. This program can be performed either by their own personnel not involved in the acceptance testing and sampling, or by another quality assurance organization. 6. Correlation Testing Program: The Materials Laboratory shall be a participant in one or more of the following testing programs: a. AASHTO Materials Reference Laboratory (ARML) b. Cement and Concrete Reference Laboratory (CCRL) c. Caltrans' Reference Samples Program (RSP) Acceptance of Testing and Sannliing The selected testing laboratory shall conduct acceptance testing of materials on the first day when work is performed, and continues daily until the work is completed. Reporting Test Results I . When aggregatc samples are taken at the material source results of sand equivalent, cleanness value, and sieve analysis shall be submitted to the Resident Engineer within 24 hours, 2. When soils and aggregate samples are taken at the job site, results of these tests shall be submitted to the Resident Engineer within 24 hours. 3. Results of Compaction and density tests taken at the job site shall be submitted to the Resident Engineer within 24 hours. 4. When asphalt concrete samples are taken at the plant results of the gradation, oil content, and S- value shall be submitted to the Resident Engineer within 96 hours. 5. When asphalt concrete compaction tests are done at the site the results shall be made immediately available to the Resident Engineer. 6, All other tests required by the project shall be submitted to the Resident Engineer within 24 hours. Independent Assurance Sampling and Testing The selected firm shall establish and maintain an Independent Sampling and Testing (ISAT) program: City of Santa Ana RFP '15-055 Page Al-3 25N-16 I. To verify that the project's sampling and testing is performed correctly by the testers and samplers. 2. To ensure the equipment is properly calibrated. 3. To provide the Resident Engineer with a copy of the program to ensure that the program is carried out, 4. To provide the Resident Engineer with a report indicating actions to be taken by the selected testing firm when discrepancies are found between ISAT and acceptance tests (AT). C. CONSULTANT RESPONSIBILITIES Consultant Audit and Review Process: Prior subject to an audit or review by Caltans organizations, or the federal government. D. CITY RESPONSIBILITIES to awarding the contract, the selected Consultant shall be Audits or Investigations (AM), additional state audit I. Furnish construction plans and specifications to the consultant. 2. Coordinate with the contractor regarding work schedule and notify the consultant 24 hours in advance for the required inspections and tests. E. SPECIAL REQUIREMENTS This agreement may be funded, in part, through Federal and Measure M2, therefore requiring compliance with all requirements of Caltrans, OCTA and/or the U.S. Department of Housing and Urban Development, Conmmunity Development Block Grant Prograrn and as such is subject to the conditions of the Section 3 Contract Clause. Proposer shall comply with all requirements as they pertain to the use of these funds; refer to Appendix Attachment 5, The following forms in the Appendix (Attachment 5) must be completed in their entirety and submitted with your proposal: LAPM Exhibit 10-11: Fee Proposal • LAPM Exhibit 1.0-1: Notice to Proposers, DBE Information d LAPM Exhibit 10-K: Consultant Certification of Contract Costs R Financial management system • LAPM Exhibit 10-01: Consultant Proposal DBE Commitment IT SHALL BE THE RESPONSPILITY OF THE CONSULTANT TO VERIFY THAT THE LATEST VERSION OF THESE DOCUMENTS IS USED IN THE PROPOSAL. LATEST FORMS CAN BE FOUND CALTANS WEBSITE, CHAPTER 10; N rNvw.dirt.ca.4ov/ha/1.:ocall'ro liras/leir/CF110JItm 11' the project will be financed, in part, by federal funds all services rendered shall meet all required federal requirements included in this request for proposal. Consultants are advised that, as required by federal law, the City of Santa Ana is implementing the new Race Conscious Disadvantaged Business Enterprise (DBE) Program, The DBE goal for this contact is 6%. Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or their designee on an as -needed basis. The Consultants shall be thoroughly familiar with the Scope of nta Ana RFP 1 Page A1-4 25N-17 Work prior to submitting a response to this Request for Proposal (RFP). • The Consultant shall perform work to produce a high quality, professional and complete work product. • .Consultantt must have experience with State and Federal funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • The Consultant shall carry out the instructions received from the City and shalt cooperate with the City and other agencies. • The Consultant has total responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accursoy of items submitted, The responsibility for accuracy and completeness of such items remains solely that of the Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its Rib -consultants. The Consultant shall review all work performed by its sub -consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan (QCP) in effect during the entire time work is being performed under the Agreement, The QCP shall establish a process whereby work products are independently checked, corrected and back checked. All projects related correspondences and documents should be maintained and bound in appropriate project files. Additionally, all electronic files shall conform to the City's 'file naming system. The consultant shall submit their QCP as part of the response to this RFP. • The Consultant shall diligently work on each assignment and complete each task in accordance with the schedule and accommodate the City's needs. • The Consultant's work will be subject to inspection and audit by City, County, State and Federal representatives. • Project files including copies of all correspondences, reports, documents, and electronic files shall be submitted to the City when requested and electronically updated monthly. • All work, including reports, analysis, data, and intellectual properties developed during the life of the Agreement shall become the properties of the City. • The Consultant will receive written notification of tho award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. • This agreement is subject to compliance, monitoring and enforcement by the State of California Department of industrial Relations. Consultants are required to inform themselves filly of the conditions relating to labor under which the work will be performed. In accordance with the California State Labor Code, prevailing wage rates apply per the following link. httn:i/wsw'w dir ca govinublic-uvorks/nublicnvorlcs.htrnl City of Santa Ana RFP 15-055 Page Al-5 25N-18 MAYOR Miguel A. Pulido MAYOR PRO TEM Sal Tmalero COUNCIL IvEMIl Angelica AmeecUa P. David Sonavldea Michels Martinez Roman Reyna vinrerit P, Farmland CITY OF S,ANTA ANA 220 5. Daisy Ave., M-65 + P.O. Box 1988 Santa Ana, Callforria 92703 �✓ vy_„sanYa-dne.rJrR January'12, 20'16 ADDENDUM ONE CITY MANAGER David Cavazos CITY ATTORNEY Sonia R. Ca Nalho CLERK OF THE COUNCIL Marie 0. Huizar SUBJECT: RFP NO. 15.055: GEOTECHNICAL, SPECIAL. INSPECTION, & MATERIAL TESTING FOR THE PUBLIC WORKS AGENCY CAPITOL IMPROVEMENT PROGRAM The following Revisions have been made to the above Request For Proposal: 1. On the cover, page: Issue Date shall be January 12, 2016. 2. On page A1.4, Appendix ATTACHMENT 1, SCOPE OF WORK, E. SPECIAL REQUIREMENTS, the last sentence of the fifth paragraph shall read: The DBE_ goal for this agreement is 60%0. All other terms and conditions of the RFP remain unchanged, If you have any questions, please call me at (714) 647-5045, Sincerely i� Tyrone Chesanek Principal Civil Engineer SA N TA ANA CITY ecru miss. tl 4A N-wf fi., Immwo V, Jr^ im11i,r,N 1 I I Mn 1� l �- 25N 19 MAYOR �Vllguel A. Pulldo NIAYOR PRO TFNt Sal Tineloro CCAMOI'LMEMBERS Angelica Aono=Lia P. David Benavides Michela Nortinez Roman Reyna Vin;ent F, Sarmiento CITY OF SANTA ARIA 220 S. Daisy Ave., M•85 + P.O, Box 1988 Santa Ana, Callforma 92703 wwwsanta�ana.ura January 19, 2016 ADDENDUM TWO CITY MANAGER David Cavazos CITY A170RNCY Sonia R. Carvalho CLERK OF THE COUNCIL Maria 0. Huizar SUBJECT: RFP NO. 15-055: GEOTECHNICAL, SPECIAL INSPECTION, & MATERIAL TESTING FOR THE PUBLIC WORKS AGENCY CAPITOL IMPROVEMENTPROGRAM The following Revisions have been made to the above Request For Proposal: 1. On page A1-4, Appendix ATTACHMENT 1, SCOPE OF WORK, E. SPECIAL REQUIREMENTS, the last sentence of the fifth paragraph shall read: The DBE goal for this agreement is 15%. All other terms and conditions of the RFP remain unchanged. If you have any questions, please call me at (714) 647-5045. Sincerely ., i Tyrone Chesanek Principal Civil Engineer SAN1T ANA 019 COUNCIL I'. al IPI' A4 nNUx PJ ?� anpl Ir AIn..... n navrcl Pa avida; , ? R:,! 25N-20 EXHIBIT B COMPENSATION Fee Proposal including hourly rates (from Consultant Proposal) The rates and unit costs shown on ATTACHMENT 4, FEE PROPOSAL will be used to establish cost for any Task -Orders. The City does not guarantee the quantity of the work to be performed by the Consultant. The consultant shall be paid for the actual services provided for the project according to the proposed hourly rates and unit costs. 25N-21 Appendix ATTACHMENT a co FEE SCHEDULE GEOTECHN1CAL, SPECIAL 1NSPliU'11UIN X IVIAIEH1AL 1L51LN , ITEM ESTIMATED QUANTITY UNIT HOURLY RATE/ UNIT COST* ESTIMATED COST Soil Inspection 1000 Hours $ 87,00 $ 87,000.00 Concrete Inspection 1500 Hours $ 87,00 $ 130,500.00 Masonry Inspection 800 Hours $ 75.00 $ 60,000.00 Reinforcing Steel Inspection 1200 Hours $ 75.00 $ 90,000.00 Apshalt Concrete Inspection 500 Hours $ 87.00 $ 43,500.00 6" Concrete Cylinder 400 Hours $ 20.00 $ 8,000.00 2x4 Mortar Sample 200 Hours $ 15.00 $ 3,000.00 3x3x6 Grout Sample 200 Hours $ 15.00 $ 3,000.00 Masonary Prisms 150 Hours $ 70.00 $ 10,500.00 Ultrasonic Testing of Steel Connectors 50 Hours $ 92.00 $ 4,600.00 Post Tension Reinforcing Inspection 200 Hours $ 75.00 $ 15,000.00 Post Tension Concrete Inspection 200 Hours $ 97.00 $ 17,400.00 Structural Steel Inspection 100 Hours $ 87.00 $ 8,700.00 Connection Bolt Torque Testing 100 Hours $ 87.00 $ 8,700.00 Precast Concrete 350 Hours $ 75.00 $ 26,250.00 Deputy Inspection 100 Hours $ 87,00 $ 8,700.00 Mechanical Inspection 100 Hours $ 75.00 $ 7,500.00 Plumbing Inspection 100 Hours $ 75.00 $ 7,500,00 Electrical Inspection 100 Hours $ 75.00 $ 7,500.00 TOTAL, ESTIMATED COST $547,350.00 Page 2 of 2 City of Santa Ana RFP 15-055 Page A4-1 25N-22 Appendix ATTACHMENT4 FEE SCHEDULE (CONTINUED) GEOTECHNICAL, SPECIAL INSPECTION, & MATERIAL TESTING Finn: AESCO PROPOSED NOT -TO -EXCEED COST: 547,350,00 Address: 17762 Georgetown Lane Huntington Beach, CA 92647 Name Adam Chamaa / Title \Vice President Signature Date February 22, 2016 *All Privileging hourly rates and unit casts shall include markups and the cost of traveling, vehicle, equipment, clerical service and typed reports, City of Santa Ana RFP 15-055 Page A4-2 25N-23 Schedule of Fees Effective July 1, 2015 AESCO Standard Fees Field Technician Cost er y_r1 T168 AWS Certified Welding Inspector........................................................................... $ 93 T169 NACE Coating Inspector........................................................................................ $ 12C Mix Design Review Cost D250 Review of Concrete Mix Design............................................................................. $ 150 D251Review of Grout Mix Design................................................................................... $ 150 D252 Review of Mortar Mix Design.......................................................................... ..... $ 150 D253 Review of Asphalt Mix Design..............................................................................$ 180 Field Equipment Charges Cost E350Brass Mold, each.................................................................................................. . $ 20 E351 Concrete Air Meter, per day................................................................................ .$ 40 E352 Concrete Unit Weight (Scale, Bucket, Rod and Mallet), per day ........................... $ 10 E353 Field Vehicle Usage, per day................................................................................ $ 65 E354 Concrete/Asphalt Coring Equipment rental per hr, min 4 hrs and 8 hrs therafter $ 190 E355 rireproofing Adhesion/Cohesion, per test ........................................................... $ 15 E356 Hand Auger Equipment, per day- .... -.1.1 ................. ............................ .............. $ 125 E357 Level D Personal Protective Equipment (PPE), per person per day ....................... $ 40 E358 Liquid Penetrating Consumables, per day............................................................ $ 20 E359 Magnetic Particle Equipment and Consumables, per day •••..... ....... •••••................ $ 30 E363 Portable Concrete Laboratory -not including Technicians, per day ........................ $ by quote E364 Pachometer (Rebar Locator), per day...................................................... .......... $ 50 E365PID Usage, per hour .... ..................... .......... ..... .............. —....................... .......... $ 30 E366 Pull Test Equipment, per day 1.............................................................................. $ 60 E367 Sand Cone Test Kit (Scale, Burner, Sand Cone Apparatus), per day ...................... $ 150 E368 Schmidt Hammer, per day.................................................................................... $ 4C E372 Miscellaneous Equipment Charge, ................................. _. ........... ......... ............ $ by quote Page 1 of 5 25N-24 Schedule of Pees Effective July 1, 2015 Schedule of Fees for Laboratory Services Concrete Tests Cost (per test C400 6 x 12 Cylinder: Compression Strength (ASTM C39)......................................... $ 25 C401 6 x 6 x 18 Flexural Beams Not Exceeding Referenced Size (ASTM C78, C293, or CTM 523) ...... .................... ................. ...... ....... .................. -...... ,... ,...,.,........ ...,,....,..........., $ 80 C402 Cylinders: Splitting Tensile Strength (ASTM C496)................................................ $ 80 C404 Coring of Test Panels in Lab, each......................................................................... $ 25 C405 Diamond Sawing of Cores or Cylinders (ASTM C642)............. .............................. $ 25 C406 Density, Absorption, and Voids in Hardened Concrete (ASTM C642).................... $ 300 C407 Modulus of Elasticity Static Test (ASTM C469)...................................................... $ 125 C408 Unit Weight Including Lightweight Concrete......................................................... $ 65 C409 Drying Shrinkage Up to 28 Days: Three 3 x 3 or 4 x 4 Bars, Five Readings up to 28 Dry Days (ASTM C157).................................................................................. $ 375 C410 Additional Reading, Per Set of Three Bars ............................................ $ 45 C411 Storage Over Ninety (90) Days, Per 5et of Three Bars, Per Month „ $ 35 Concrete Block ASTM C14O Cost (per test) C413 Absorption/Moisture Content/Oven Dry Density (3 Required per ASTM), each $ 80 C414 Linear/Volumetric Shrinkage (ASTM C426)...............:............ ............................... $ 90 C415 Web and Face Shell Measurements..........................,........................................ - $ 35 C416Tension Test........................................................................................................ $ 150 C418 Shear Test of Masonry Cores: 2 Faces................................................................... $ 70 C419 Efflorescence Test (3 Required), each.................................................................... $ 35 Laboratory Trial Hatch: Cement Concrete. Grout and Mortar Cost (per test L450 All trial batch for cement, concrete, grout, mortar, etc,.,.....,.. ........... .............. -, $ by quote Brick Masonry Tests Cost foer test) M500 Modulus of Rupture: Flexural (5 Required Per ASTM), each ..,....... - .................... $ 40 M502 Absorption: 5 Hour or 24 Flour (5 Required), each ............................................... $ 40 M503 Absorption (Boil): 1, 2, or 5 Hours (5 Required), each ........................................... $ 70 M504 Initial Rate of Absorption (5 Required), each .............................. .................. $ 30 M505 Efflorescence (5 Required), each........................................................................... $ 75 M507 Shear Test on Bricl<Core: 2 Faces, each................................................................. $ 70 Page 2 of 5 25N-25 Schedule of Fees Effective July 1, 2015 Mortar and Grout Cost (per testt M515 Mortar Expansion (ASTM C806)............................................................................. $ 275 Fireproofing Tests Cost (per test) F550Oven Dry Density............................................................................................... . $ 65 F551 Adhesion/Cohesions Testing, per hour, 4hour minimum ........... ........................$ 100 Gunite and Shotcrete Tests Cost (per test) C420 Core Compression Including Trlmming(ASTM C42)............................................ $ 50 C421 Compression 6 x 12 CYllnders........................................................................... $ 25 C422Compression: Cubes,.,.......—.......................................................................... ..... $ 30 Soils and Aggregate Tests Cost (ner test) 5600 Atterberg Limits/Plasticity Index (ASTM D4318).................................................... $ 120 S601 Chloride and Sulfate Content (CTM 417, CTM 422),y............................................ $ 135 S602 Consolidation, Full Cycle (ASTM 2435, CTM 219).....:.........................., $ 245 S603 Cleanness Value: 1 x#4(CTM 227)........... ..:.... ................ ............................ .......$ 175 S604 Cleanness Value: 25 x 1.5 or 1.5 x ,75 (CTM 227)........................................... $ 275 5605 Corrosivity Series: Sulfate, Cl, pH, Resistivity (CTM 643, 417, and 422) ......... $ 190 S606Resistivity ................... .............. ................................................. - ....... ................. $ 10D 5607 Direct Shear Test (ASTM D3080).... .......................... -..... .... ............ ............ ......... $ 245 5608 Direct Shear Test, per point.................................................................................. $ 95 5609 Direct Shear Test Sample Remolding (ASTM D3080)................. ....................... --. $ 35 5610 Durability Index Fine Aggregate............................................................................. $ 150 5611 Expansion Index (ASTM D4829, UBC 18-2)............................................................ $ 145 S612 Durability Index: Coarse Aggregate........................................................................ $ 150 $613 Maximum Density: Methods A/B/C (ASTM D1557 or 0698, CTM 216).... —......... $ 175 5614 Maximum Density: Check Point abrasion (ASTM D1557)...................................... $ 65 S615 Maximum Density: AASHTO C (Modifled) (AASHTO T-180)—................................ $ 190 S616 Moisture Density Rock Correction......................................................................... $ 150 S617 Moisture Content (ASTM D2216, CTM 226).................................................... ,.. $ 20 S618 Density; Ring Sample (ASTM D2937)..................................................................... $ 25 5619 Density; Shelby Tube Sample (ASTM D2937).................. — .... I ...... I.............. I,........ $ 35 S620 Organic Impurities (ASTM C40)............................................................................ $ 85 S621 Failing Head Permeability (ASTM D2434)—............................................ t...... ....... $ 225 S622 R-Value: Soil (ASTM 2844)................................................................................... $ 285 S523 R-Value; Aggregate Base (ASTM D2844)......... ................... ....... ....... - 1....1.,,11........ $ 260 5624 Sand Equivalent (ASTM D2419, CTM 217)............................................................ $ 110 $625 Soil Classification....................................................................................,.,.,..,.... $ 25 5626 Sieve #200 Wash Only (ASTM D1140)........................................................ ...... $ 85 Page 3 of 5 25N-26 Schedule of Fees Effective July I, 2015 5627 Sieve with Hydrometer: Sand to Clay (ASTM D422)........................................,,,., $ 260 5628 Sieve Analysis including Wash (ASTM C136)......................................................... $ 150 5629 Sieve Analysis Without Wash......................................................,...... $ 90 5630 Specific Gravity and Absorption: Coarse (ASTM C127, CTM 202)......................... $ 85 5631 Specific Gravity and Absorption: Fine(ASTM C128, CTM 207)...................... $ 150 5632 Swell/Settlement Potential: One Dimensional (ASTM D4S46).--.......... 1.1. $ 155 5633 Unit Weight Coarse Aggregate..................................................................... ,....... $ 70 5634 Unit Weight Fine Aggregate.................................................................................. $ 70 S635 Voids in Aggregate (ASTM C29).—..................................................................... $ 80 5636 Unconfined Compression (ASTM D2166, CTM 221)............................................, $ 90 5637 LA Rattler............................................................................................................ $ 135 5638 pH of soil.................................................................................................-........ $ 25 Asphalt Concrete Tests Cost filer test) A650 Asphalt Core Density ................... .......... ........... --........ ,.,,.,.,,,............................. $ 40 A651 Extraction % AC by Ignition Oven (CTM 382)................................................ .... $ 145 A652 Gradation on Extracted Soil (ASTM D6507 andD5444, CTM 202, and C"rM 382) .. $ 100 A653 Moisture Content (CTM 370)............................................................................... $ 75 A654 Maximum Theoretical Specific Gravity (RICE) (ASTM D2041, CTM 309) ........... ... $ 160 A655 Specific Gravity and Absorption: Coarse (ASTM C127, CTM 206).......................... $ 90 A656 Specific Gravity and Absorption: Fine (ASTM C128, CTM 207).................-.......... $ 150 A657 Sieve Analysis (ASTM D5444 and C136).............................................................. $ 85 A658 Sieve Analysis with Wash (ASTM 05444)............................................................... $ 130 A659 Sand Equivalent (ASTM D2419) .......................................................................... $ 125 Reinforcing Steel Cost )per test) R700 Bend Test: 4411 or Smaller... .................... .......... ................ ...... .,...... ........ ,. $ 55 R701 Bend Test: Larger Than # 11............................................................................... $ 85 R702 Tensile Test: # 11 or Smaller ..... .............. -....... ..................................... ............... $ 75 R703 Tensile'Fest: # 14............................................................................................... $ 105 R704 Tensile Test:#18—.... -......................................................................,................ $ 170 R705 Slippage Test In Addition to Tensile Test (Per Caltrans 52-1.08C)................... ..... $ 180 R706 Tensile Test: Mechanical Splice # 11 and Smaller ...................... .............. ..... . ... $ 110 R707 Tensile Test: Mechanical Splice # 14......................................................................$ 160 R708 Tensile Test: Mechanical Splice # 18 ..... ..... ..... .— ... .......... ,......... 195 R709 Tensile Test: Welded # 11 and Smaller— ............................................................ $ 75 R710 Tensile Test: Welded #14.................................................................................... $ 10s R711 Tensile Test: Welded#18........................................................................ ...—$ 170 R712 Sample Straightening for Bend or TensileTest(ifrequired)............................ .... $ s0 R713 Elastic Modulus.................................................................................................... $ 170 Page 4 of 5 25N-27 Schedule of Fees Effective July 1, 2015 Metal Testing Cost (per test) R714 Hardness Test (Rockwell) and 0rinnel )ASTM E18)................................................ $ 65 R715Hardness Test of Nuts, ............ ............................................................................. $ 75 R716Hardness Test of Bolts ............. ...... .....1........... ........... ........ ,.............�.....�.,.......,,.,, $ 90 R717 Hardness Test of Washers................................................................................... $ 75 Concrete Corine Services Cost (per test) C423 Equipment Concrete (4 and 8 hour minimum), per hour .................................... $ 190 Individual Core Prices (all prices are for a Four core minimum job): C424 Slab on Grade Coring for 2 ,3 and 4 Diameter (first 6 depth) each $ 60 C425 Slab on Grade Coring for 6 and 8 Diameter (first 6 depth) each ..... $ 65 C426 Slab on Grade Concrete Core (price per inch after 6 depth) ............... $ 5 C427 Wall Cores 2 ,3 and 4 (first 6 in depth) each ................................... $ 75 C428 Wall Concrete Core (price per inch after 6 in depth), per inch.......... $ 5 (Wall core pries based on Contractor supplying access to area to be cored) Miscellaneous Concrete Coring Prices: C429 Patching Slab on Grade Cored Holes with 2500 psi Concrete Patch, each.................................................................................................. .... $ 10 C4.30 Thickness Determination per ASTMI'C42, Bach .......................... .......... $ 10 C431 Compression Strength Determination.....................................,........... $ 55 Asphalt Concrete Coring Services Cost (per test] Alternate Individual Core Prices (all prices are for a four core minimum job): A661 - Asphaltic Concrete Cores 2 ,3 and 4 Diameter (First 6 in depth), each..................................................................................................... $ 60 A662 Asphaltic Concrete Cores 6 and 8 Diameter (First 6 in depth), each................................................................................................... $ 60 A663 Asphaltic Concrete Cores price per Inch after 6 in depth, each,......,.. $ 5 Miscellaneous Asphaltic Coring Prices: A664 Patching of Core Drilled Holes Using Cold Patch Material, each ......... $ 25 A665 Thickness Determination per ASTM C42, each......... .............. --........ $ 25 A666 Specific Gravity for Determination of Percent Compaction per ASTM D 2726, each............................................................................. $ 35 A667 Specific Gravity for Determination of Percent Compaction by paraffin, each ........................ .......... ............... ......... .... ..... .......—........ $ 55 Page 5 of 5 25N-28 EXHIBIT C CERTIFICATIONS C-1 through C-3 25N-29 Appendix ATTACHMENT 3-1: NON -COLLUSION AFFIDAVIT CI:IRTIFICATIONS GEO'I'ECNNICAL, SPECIAL INSPECTION, & MATE RIAL TGSI•INC: NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) -1 it the CITY OF SANrA ANA DEPARTMUNFol. PUB1,W WORKS In accordance with 'I ille 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest ol', or cat behalf, of, any n1tdiSel0Sed person, ptu'tncrship, company, association, organization, or corporation; that the bid is genuine and riot collusive or shaur that the BIDDER has not directly or indirectly induced or solicited tiny 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 attyonc shall refrain liom bidding; That the BIDDER has not in any manner. directly or indirectly, sought by agreement, conummicadon, or conference Nvith anyone to Iix the bid price of the BIDDER or any BIDUGR, or to tix any overhead, prolit, or cost element of the hid price, or or that of any other BIDUGR, or to secure any advantage against the public body awarding the contract or anyone interested in the proposed conh,act; 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 file contents thereof: or divulged information or data relative thareto, or paid, and will not pny, any I'ce to any corporation, partnership, company association, organization, bid depository, or to any member oragcnt thereoFlo erIbMulte a collusive or sham bid, El F L Now: The above Non -collusion Affidavit is part of the Propostd. Signing this Proposal on die signauur portion thereof shill) also constitute signature or this Non -collusion Affidavit, BIDDLRS are cautioned that snaking a false acrlilivafion may subject the ccrtii tSleriminal prosecution. Signed /� ) State ol,Celilinnitt County of OPnaae Subscribed and sworn to (or al'I- il''�ted) beFore me on this day olFebruary 2O 1 lby proved to too on the basis oi'satisfa tory evidence to be the persons) who appeared bc1bre mc. M Notary Public Signature Notary Public Scal AESCO P4882, City of Santa Ali@ RFP No. 15-055 Gectechnical, Special inspection & Material Testing fo �] Public Works Agency Capitol Improvement City of Santa Ana RFP 15.055 Pagca AV 25N-30 cafif¢ wnriia Jurat Ceruficate A nolary public or other officer completing this certificate verifies only the Identity of the Individual who signed the document to which this eerllGcotc Is attached, and not the truthfulness, accuracy, or validity of that document State of California County of Subscribed and sworn to (or affirmed) before me on this _�_ day of VY 6. , R z 20 1b,by `'`kolud Al.4>,,,i and proved to me on the basis of satisfactory evidence to be the person(*) who appeared before me. OPTIONAL INFORMATION Description of Attached Document The certificate is attached to a document titled/for the purpose of containing,_ pages, and dated II Mothod of AFfanant IdenhFleahon Proved to me on the basie of satisfactory ovidenca: forrn(s) of idenh'fceLion credible vniness(ec) Notarial event is detailed in notary journal on: Page U_ EntryA Notary contact: Othor Alliants) Titumbprint(s) I Describe; - 25N-31 Appeudix ATTACHMENT 3-2: NON-1,0BBYI G CERTIFICATION CERTIFICATIONS GEOTECHNIC;AL, SPECIAL INSPECTION, Rc MATERIAL TESTING The prospective participant certifies, by siping and submitting this bid or proposal, to die best orhis or Iter kncnvledge entd belief, that: I No federal appropriated funds have been paid or will be paid, by or on behall'ot'the undct:signed, to any person Lor influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an ollioer or employee of Congress, or an employee ol'a Member of Congress in connection with the awarding of any federal contract, the making of arty federal grant, the making ol'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 ttgrecnent. 2. rf any f nds other titan federal appropriated funds have been paid or evill be paid m any person IN of loncing, or attempting to influence ally officer or employee of any 1ederal agetwy, a Mcillbor of Congress, an olliocr or employee of Congress, or an employee of a Member oPCungress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities". 'Phis certilicatiort is it material representation of filet upon which reliance was placed when this transaction was made or entered into. Submission ol'this ccrtitiauion is a prerequisite for ntakirrg or entering into this u-ansoction imposed by Section 1352, Title 31, U. S. Coda 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 [ailura The prospective participant also agrees by submitting hit; or her bid or proposal that he or she shall requite that the language of this certllication be included in all lower tier subcontracts, vNhich exceed $100,000 and that all such sub recipients shall cortify anti disclose accordingly. Signed and Printed Name: /l CC�o K�Y Al lbed Iide President Date -.. 1=116.. - CCity of Santa Ana RFP 15-055 ^� Page A3-2 25N-32 Appendix I A`�'1'AC�1Q��d'�' 3-3: NON-DISCRIMINATION CERTIFICATION GEOTECIiNICAL, SPECIAL. INSPECTION, & MATHUAL, TESTING it: undersigned consuI(ant or corporate officer, during the performance or us contract, certifies as follows 'llie Consultant shall not discriminate against any employee or applicant for employment because or race, color, religion, sex, or national origin. 'Cite Consultant shall take affu^trlative action to ensure that applicants are employed, and that employees are treated during omploynscnl without, regurcl to their racn color. religion, sex, or national origin. Such action shirt! include, but not be limited to, the lolKwing: employment, upgrading, demotion, or tra ns1r; recruitment or mcmitrsent advertising; layoff or tcrmination; 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. 'fire Consultant shall, in all solicitations or advertisements for employees placed by or on behafr of the Consultant, state that all qualified applicants will receive eonsiderabin for employment %vithom regard to race, color, religion, sex, or national origin. The Consultant shall send to each labor anion or representative of workers with which he/she has a collective btu'gainiug agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of die C',onsultanCs conunitncnts under this section, and shall post copies orthe notice in conspicuous places avallable to employees and applicants for employutient. The Consultant shall comply with all provisions or Executive Order 11246 of Scptwuher 21 W61 and of the rules, regulations, and relevant orders orlhc Secretary of Labor. The Consultant shall furnish all information and reports required by Executive Order 11246 of September A 1965. and by rules, regulations, and orders of the Secretary of Labor. or pursuant thereto, and will permit access to his/her honks, records, and accounts by the administering agoncy and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulationn and orders. in the event or the Consultant's non-compliance with the nondiscrimination clauses or this contract or with any or the said rules, regulations. or order's, 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 coa�aLlCdon contracts in accordance with procedures authorized in Rxecution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in P:xcculivc Order 11246 orSeptember ? 1961or by rule. regulations, or order of the Secrctuy of Labor, or as otherwise provided by law. The Consultant shall include the portion of the sentence inmeWatcly preceding paragraph ( I ) and the provisions of paragraphs ( I ) through (7) in every subconu'act or purchase order unless exempted by rules. regWahons, or orders or the scummy of labor issued pursuant to Section 2041 of Eixccuti%c Order 11246 or September 24, 1965, so shut such provisions will be binding upon each subcrnumM or purchase order as the City of Santa Ana RFP 15-U55 Page AW 25N-33 administering agency may direct as means of enilorcing such provisions. Vch.iding sanctions It, noncompliance: provided, however that in the event the Consultant becomes involved in. or is threatened With, litigation with a sub -consultant 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 Stales, 8, Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stets, 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 or such persons, except as provided in Section 1=420, and any consultant of public works violating this Section is subject to all the penoldes imposed for a violation of the Chapter. Title: Kay Al bed _ Firm: AESCO Date: —FeIrLwaxy 1, 2016 --` — - —` My of Santa Ana RFP '15-055 Page Q i 25N-34 EXHIBIT D ADDITIONAL PROVISIONS 25N-35 e N N [V �i V N c N N o U Q W o Ca V « ao d U 4H O " 05�3z U o D a O ;'� w, m W •5 w QH o i }1 W w�pttl U° �vU°3 U o Q R G U U aO 4 cn i a C .4. U e 6 0 5 0 0 � a ve .° e° e° � a° o e° e° a `O `° o° a° e•O e° a °\° o° o i 1 M M M M M fM1 M !M1 M M M M !M1 M �m e' Y O n O O CD T O N O� W O E vt /1 4 b f'• � 'D O O� CI s9 u � o fa tP w rn W 69 di e3 v3 !Fl !n M vi 49 is ra rq Vl s9 rn Yi µe 6 a io r c° c� o 0 0 W ti w rn a d �I � ti w 0 rn 4 o e 0 h 0 e'a 0 m O o O .• 0 4 4 4 0 0 0 tl 0 0 0 wc�c�cc��c Q E � hl a N (� !`� !`I N N f1• 1 a a N N^ N !' C`Y• N N E N,� 1 M1I c 0 A 0 0 o 0 0 0 o a o 0 0 0 0 0 o E."��' a C o 0 Q�"�C�"fi!fi'C 0 0 0 0 d Q Q d¢¢ Q d¢ z z. z z z z z z 0 C. z z z z z z z z z z z z z z z z z z z 2 z z z z z m T 'o iT• .-+ M1I N d', M1 M M1I d' N N !D M O eF O O fV, P P O N `S h t1 Q� b [I' O CM1 CO eF1 h N N b NI f1 � lVVI Fq fiq fry � � (n � 69 w 6z � � 69 i9 � of iq � w r+M 69 VI SM1g 5q 0 Q 10 c g � F 3ppi aEi a `� IJ 'c u v� W CEO cL i !n` c•J y 4 25N-36 w N N N F o d� mO c>• U ii D a aui � C O 0 6 Q ' � In (A U •a W•G`�4j a s ow�H z p U U c � LL p U a ry O w vK'i y d CA E ro D a U a c R � T I yj 0 0 0 In 0 0 0 0 0 0 o a o a o 0 0 o d O q M M M M M fN M rn rn M M M M M M (n (n M (n m M I+1 M In M m 6 Y b O V�i O �0 ry h� l0^, C` h W M M b U •PO .N+ O P W h r h T feeh}} Ty OO s9 N � Yn � VI � hl ss InM eP} a�y e�y .Iy� yO y y pOM N W 49 v s4 s4 sM9 um9 v » e9 rA Yi Erg &4 f9 (ff <A 6�9 di 6�9 'mA w � d W O O O O N 6 O b O O 9 O O O O O O o 0 o O O O O O O O C o 0 0 n,lege c �ccccl c S�cccccc�cccc�c�e CV CI 1 N 1 � � N 0 N N N N - — — — f-` - N (�` N N CI N CI ['•! tV t' N a .d. 9 Y�J y' N N O O CI 1 S O N N 1 6 N N N ',y"^ 4 O C O CC!C!iL" 6 O CS d O CI CC O nCIC O O G CCczz O O O O O Gz G O O 0 0 0 CI�cz O O O 4 Cl W k 7:7 :7 ZI Z: 0 z zz2zz z zzzz z zz'zzzzz2zzzz zzz 2z N d d 6 d d d 6 d d d d d 6 d d d 6 d d d 4 d 6 d 6 6 C �'. ',z2zZz 7 ZzzzZ 2 zz22��Yzz 2d Z Zd z�d ZZ22',z o p L O .hl v a rPn o m �r CI �� N m w �1 �� e o h e vi P �r •-• o o n v'i `,� o c� M (M1 N In 11 M E9 z9 FA K � � F9 c~9 c9 bi W Y3 6q � 49 fA 69 Y3 d3 � 69 (R 69 6ry M � � s9 b3 "= o q a O m w cti � C7 v U O q q Z� �1 C�ayWW EL o'a cl Ww t-�'- 25N-37 w ry fil nl a O v W A o Ca C h .9 OO U E N �i a a o w w C (d C F+ C Vai �� V1 G aGi � out V d U O fs. � W U p O Q cam. In r e U w x U 0 1=1 w T 6 o n T 1M1 � ry O C� x� oeevo 000°a a `c "+ rvi rn r ri rvi r� rn n n �P L O h V1 i/yi ^r T V1 1��, p O M ry R v1 H �O h CO M rV Yt �p r IY. � `a In ss niv ss r>n c`s»za»w of u � q m n w rn o e r eo v� o -- 0 F 0 v 9 � W WLL r.l Q Q z z O « m c Q z d z C z 6 z z z o Y ro r V IWn N o w it O 69 69 fR 69 FA iR 00 bi 0o 5A m s9 rn 'A a Ni � rn �R 'L 4 U a No K O Ir Z 9 25N-38 F Y N F o c 0 y LL O Ovva� p 10 9 m d rotih- mci � m z � $ � F O p 4 w w a w e j F a A p G o 010 o M A hk E U ti d,pzrr ¢ m u m 0 a N O �+ U `J =� II o J ky F L ( ti Ci 4: dt Cj 25N-39 Lana@: id. taucx ProceduresMauuml E-3HBFT 10-3 tioHce to prapnaers DBE Iufurm.140u EABIBIT 10-I NOTICE TO RRGP45EMS DBE DTORhMIO The Agency has established a DBE goal for this Contract of 15 % OR The Agency has not eetabli,,hed a goal for this Contract. However, proposers are encotwagad to obtain DBE participation fortl& cw&act. 1. TERMSASUSED L>t'THISDOUTAIENT The te.. m "Disadvantaged Business Enteepriae" or `;:DBE" messes a for -profit small business concern owned and controlled by a socially and economically disada antaged parson(r) as defined in Title 49, Code of Federal Regmlatiomu (( FR), Part 26.3. • The tenrr "Agreenaent" also means `Cou4ract" Agency also means the local entity entering into this contract aaith the Contractor or Conxiltartt. • The team "Small Bvamees" or "SB" is 9.3 defined hr 49 CFR 26.65. T, UTHORITY.0-D RESPONSIBILITY A. DBEs and other ,mall Intsines•es are stweigjy encouraged toparticipate in the perforrtrance of Contracts financed inwhole or m pant witls federal thirds (See 49 CFF 26, "'Participation by Diraebantaged Business Eme¢pri=ces in Department ofTranspcutation Fin uciauiA,ssiatance Piog}amns"}. The Cowultant mu4t ensutre that DBE, and other small businesses have the appomhmrity to participate L1 the pert'oumance of the work that is die subjJect of this solicivati on and shmutld take all necessary and reawmnble AeF, for Us 7nuance, The proposer must crDi dircnmmate on the bu4s of race, color. national origin, or se$ in the award and perfoirtmmmce of subcontracts. B. Proposers are encouraged to rise services offered by financial instihrtions otiwased xnd cons olled by DBEs. 3. SUBMIISSION OF DBE INTORNUTION If there is a DBE goal on the contract; Exhibit 10-01 Consrnvtant Fropasal DBE Corrmoilnert must be included inthe Rettuest far Proposal. In order for a proposer to be considered responsible andresponsiwe, the proposer roast make good faith efforts to meet tke goal establialred for the contract. If the goal r, not met, the proposer nnust doctunent adegnate good faith efforts. All DBE participation will be counted twards the contract goal; therefore: all DBE participatiom shrill be collected and reported. Exlubit 10-02 Consultant C,arsfi antDBE lgfmmrtja aoau must lie included Mth fire Request for Proposal. D.Ln if no DBE p asticipaiion will be reported, the saccessf sl proposer must execute and return the goats. 4. DBE PARnciPkTIONGE`4ER-U,L%T-ORAIATIION It is the prc?mer's responsibility to be fully informed regarding the re luirasnents of 49 CFR, Part 26, aTA the Department's DBE program developed parsuam to the regulations. Particular attention is directed to the fbuwxiag: A. A DBEnrust be a stutaill bunniness firm defined pursuawt to H CFR 121 and be cemdfied through the California Unof ed Certification Program (CUCP;. Page 1 of 3 LPP 13-01 Mar 3,, 1013 City of Santa Ana RPP 15-055 Pag2SN'40 Local A.aaristnuce Pmeedvres Alua.unl r-XHBrf 10..1 'Notice to Proposers. DBE Information B. A certified DBE may participate as a prime constiliant, subconsultamt. joint venture partner, as a vendor Of material or supplies, or m a tracking company. C:. A DBE proposer not proposing as it joint venture with a nov-DBE, will be required to doctnrew one or a combination of the followhag: 1. The proposer i, a DBE and will meet the goal by performing work with its own forces. 2. The proposer will meet the goal through work perforated by DBE subcon,tdtAwts, suppliers or trucking companies. 3. The proposer, prior to proposing, made adequate good faith efforts to meet the goal. D. A DEE joint venture partner must be responsible for specific contract items of wozk or clearly defined portions thereof Responsibility means actually pes coming, managing, and supendsing the work with its own forces. The DBE joint venture partner must share in the capital contribution, control, management, risks andpnofts of the joint venture commensurate with its ownership interest. E. A DBE must perform a commercially ttseftil £amotion pursuant to 49 CFR 26.55, that is, a DEE Einar must be responsible for the execution of a distinct element of the weak and must carry out its responsibility by actually performing, managing and supennsing the work. F. The proposer shall list only one subconsultaut for each potion of wort as defined in their proposal and all DBBE subcoroultants should be listed in the bid/cost proposal list of subconmtltauts. G. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE. participation except that portion of the work to be performed by non -DBE suubcomultants. 3, RESOURCES A. The CUCP database includes the testified DBEs from all certifying agencies participative fit the CUCP. If you believe a fine is certified that caumot be located on the database, please contact the Caltrans Office of Certification toll free number 1.866-SI0.6346 for assistance. B. Access the CUCP database from the Department of Transportation, Office of Business and Economic Opportunity Web siteat: bttp:,+uvrvwv.dat.ca.gaving.lbep/. 1. Click ov the link in the left menu titled Disadvvita�e f Business Ertterr�2erae; 2. Click on Search for a DBE Firm link; 3. Click ov,f ccess to tJte PBE C nett Far tru tested on the first line in the center of the page. Searches can be performed by one or more criteria. Follow instructions on the screen. 6, VATERULS OR SUPPLIES FCRiCRIi SED FROM DEES COLNr TOe1 ARDS THE DBE Gfj IL LN-DER THE FOLLOL{TYG C:ONDMOV5: A. If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies. A D13E marwfaehurer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment regtured under the Contract and of the general character descrit d by the specifications. B. If the materials or supplies purchise d from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regidar dealer is a fine that otnu, operates or maintain,, a store, warehouse, or other establishment in which Lite materials, supplies, articles or equipment of the general character described by the specifications and requiredtinder the Contract are bought, kept in ,tort-k, and regvcl.arly sold or leased to the public in the usual course of business. To be a DBE repdar dealer, the firm roust be ari established, regular bauhress that engages, as its prnrciJA bmine•s and tinder it, Diva name, itm the LPP 13-01 Page 2 of \last- 8, 2013 City of Santa Ana RFP 15-055 PogeAMN-41 1,ornl rLssisdmuoeFroredura3 fx6auirnl hii"fdM 10-1 Notice to- Propoaera DBE Dfamitios purchase and sale or lease of the products in question. A person maybe a DBE regular dealer in such bilk items as petroleruu products, steel., cement, gravel, stone or asphalt without owning, operating or manitainiug apince of business provided in this section. C. If the person both, owns and operates distribution equipment Fier the products, may supplementing of regular dealers' own distribution eq><upineart shall be, by a long-term lease agreement and not an ad hoc or Agreement-lay,Agu'eemeut basis. Pack,egers, brokers, manufnotarers' representati+:es, Or other Persons wha wrauge or expedite transactinus are not DBE regular dealers w2thru the Mining of this section D, Materials or supplies purchased fram a DEE, which is neither a manufacturer nor a regular dealer, will be linuted to the entire amount of fees or commissions charged for assistance in the procurement of the materials. Drill s-upplies, or fees or transportation charges for the delivery of materials or supplies regtured on the job site., provided the fees are reasonable and note%cessive as compared with fees charged for sinvlar services. LPP 13-Q1 Page 3 of 3 May S' 2013 of S C:P15-055 Local Assistance Procedures Manual EXHIBIT 10-H COST PROPOSAL ON -CALL CONTRACT ubconeultant DIaZ.YOttrrnan & Associates Contract No, TSD I RFP NO. 15-055 Date: Fringe Benefit% Overhead% G&A % DRMAL Incl. In OH + 185.13% + incl. in OH = dERTIME Incl. In OH + 18513% + Incl. In OH = FEE % - to.00% rol rl 11 ATInM 1Wr*nRMATION 21112016 Combined % 185. 13% 185, 13 % Exhibit IQ-H i"!iN IJ IlVrvrvvin lulu .Name ,Company classification Project Classification - ';Hourly Billing Rate - -- - Effective date of hourly rate _ Actual/ average hourly rate %orS Increase Hourly Range for Class Normal (1OT 6X) (@T From - To hristopher Dlaz 'Incipal Engineer lginsering QA/QC [emFt Niranfanan ssoclate Engineer ll reject Manager xampt ssoclate Engineer l nglneering Analyses, Reporting xampt reject Engineer nghwering Analyses, Reporting tempt Ieff Engineer ll -ata Review, Field Exploration. Engineering dialyses, Reporting xempt cologiatl late Review, Field Exploration :xempt '-"' 'echnician" ;instruction ObseNatian Ion -Exempt ;ADD 4on-Exempt "echnlcal Editor/ Word Processor Jan -Exam 1 235.61 235.61 235.81 1/1/2016 12/31/2016 75.12 NIA 242,87 242.67 242,67 1/1/2017 12(31/20}7 77.37 3,00% N/A 249.94 249, 94 249,94 1/1/2018 12MI12018 79.69 3.00% NIA 257.44 177,98 257,44 177.96 257.44 177.96 111/2019 1/1/2016 12131/2019 12MI/2010 6206 5674 3.00% N/A N/A 163.29 183.29 183.29 1/1/2017 12131/2017 0044 3.00% NIA 168.78 188.78 188.78 1/1/2015 12)31/2015 60.19 3,00% N/A 194.48 150etl 19446 1 150,80 194.46 150.80 1 1/112019 1/1I2016 12131/2019 12/31I2016 62.00 46.08 3.00% I NIA N/A 155.32 155,32 155.32 1 1/1/2017 12/31l2017 49, 52 8.00% NIA 150.99 159,90 159,9g 1/1/2018 12/31/2018 51 or 3,00% N/A 164.79 98.42 164.79 98,42 164.79 98,42 1/112019 1/1)2016 12/31/2019 12/5112016 5&54 31,36 3.Otl% NIA NIA 101,37 101.37 101,37 l/1/2017 12/3112017 $2,32 3.00% N/A 104.41 104.41 104.41 111/2018 12/31/2018 33.29 3.00% N/A 107.55 93,18 107.55 93.18 107,55 93,16 1/1/2019 12112016 12/31/2019 1V3112016 34.29 29-71 3,00% NIA 28.35 to 3204 95.97 95,07 95,97 111/2017 12/31/2017 30,60 3A0 % NIA 98 86 98. 86 98.66 1li/2018 12/31/2018 31.52 3.00% NiA 101-84 75.40 101, 54 75,40 101.84 75,40 lIV2019 r 1/l/2016 - 12131/2019 12/31/2016 32,47 2404 3.00% N/A N/A 77,00 7766 7TG6 1/1/2017 12131/2017 24,76 3.00% N/A 79.98 79,98 79.96 1/112018 12131/2018 25.50 300% N/A 82.39 15996 82.39 239, 94 82.39 3'19.92 1/1/20'19 1/1/2016 11131/20}9 7213112016 26,21 51,00 3.00% N/A N/A 164.75 247.14 32951 1/1/2017 12/3112017 52.53 3.00% N/A 169,71 254.57 33942 1/i/2018 12/31/2018 54. 11 3,00% _ N/A 174,79 70, 95 262.19 108,47 349.59 141.95 111/2019 1/l/2016 12/31/2019 12/31/2016 55,73 2263 3.00% WA NIA 73,11 109,67 146,22 1/1/2017 12131`2017 2651 300% NIA 75,31 1'12.96 150,61 1/1/2018 12/31/2016 2401 3,00% N1A 77.58 105.87 116.35 163.30 155.13 217,73 111l2019 1/1/2018 12/3112019 12/31/2016 24.73 24-71 3,00% NIA _^NIA 112. 13 1G8.19 224.25 111/2017 12131/2017 3575 3.Otl°A NIA 115,48 173.23 23D.97 1l1 /2016 12/31/2018 I 36.62 I 3.00°71 NIA I I B 0 '173.40 237, 87 111/201- 9 12/31/2019 3792 3.001A I, Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsullants firms. Z Billing fate=actual hourly rate "(1+ICR)" (!+ Fee). Agreed upon biding rates are not adjustable for the term of conlract- 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Vito: Denote all employees subject to prevailing wage with an asterisk (") =or "Other Direct Cost" listing, see page 2 of this Exhibit. 25N-43 I PF %5-DL _ \ //3 \ \ / � Ci - _/� - E�= k \}~ j®! < - ) \)} \ Lfj ) | | 25N- 4 Local Asslstnme Procedures Manual VaRBI.T 10-Ii C nwultant Certification of Contract Crosts and Financial Mil gemeat SyOera ESTIIBIT 10-IC C 0NSUT:1:S r CYRTMCATION OF COIN711ACT COSTS NI) FENAsINC'UL M,;LNAMNJE.NT SYSMI (Note: Ifragrrestingtorstiff;etheSafe HorborIndireclCosiRniesrrbmrrP.irinclarrr.aaifiof DL.:1-OB 13-9- ..Sgfe Hai -bar Tm F6'ec' Cost Rnte for Consultant Coat r'ncts foram d at Irttjl:d vtmn.TloY.co_gatJlrgllocnlProgmnrsllYL�_t7Y/DLi_ti�.lrtrn rn lieu of this form.) C:ertifcntion of Final Indirect Costs: ConsrrltantFirm Name: AESCO Indirect Cost Rate: 173% a fca fiscal period January 1, 2016 to December 31, 2016 $Fiscal period covered for Indirect Cost Rate developed (not the contract period). LocalGovemment: City of Santa Ana contract Number: RFP No, 15-055 ProjectNurnber: no I, the undersigned, certify that I have reviewed the proposal to establish feral indirect cast rates for die fiscal period as specified above and to tine best of my knowledge and belie£ 1. All costs inchided in this proposal to establish final Indirect Cost Rates are allowable in accordance ivith the cost principles of the Federal Acquisition Regulations (FAR) of Title 49, Code of Federal Regulations (CFR), fart 31. 2. This proposal does not include any, casts which are expressly unallowable under the cost principles of the FAR of48 CFR, Part 3L. All known material transactions or events that have occiured affecting the fum's ownership, organization, and Indirect Cost Pates have been disclosed as of floe date of proposal preparation rioted above. Certification of FinancialAfrica gement Srstemt I, the under ignecl, certi fj, to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accouuntina words, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for till ACE Contracts: I, the undersigned, certify that the approxissraw dollar amount of all A &E contracts awarded by Caltrans or a California local agency to tins fnm within the last tlree (3) calendar years for all State DOT and Local Agencies s JL6 750.00 and the number of states iu which the fine does business is one Certification of Direct Casts: 1, the umdenipied, certify to the best of my knowleclge and belief that all direct cots identified on the cost proposal(s) in thin conttuct are reasonable. allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, C'FR, Part 31. Allowable direct costs to a Government contract shall be: LPP 1s-01 Page 1 of l Sanunn-14,1M - city of Santa Ana RFP 15-055 Page A25N-45 Locn] Aaai,tonee Paocedum Monnal EXIMIT 10-IC C'oun[Itnut Ceoificatiu of Con.trnci Croats and Fimaucinl Alanngemeu.t 51-7tem i. Compliant with Generally Accepted Accounting Principles (G-kV) and staidards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CPR, Chapter 11 Past 172 — Admnristritiou of Engineering and Design related Service Contracts to the extent requirements are applicable to consultant, And costs nrltst be applied consistently and fairly to all contracts. All documentation of complidace must be retained in the project files. 5libcousultants (it applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ $85,500,00 Prune Consultants (if applicable) $568,75D,00 Proposed Total Contract Amount (or amount not to exceed if on -Call contract): $ Prime, Vitt all subconsultants and proposed subcontract dollar amolmts (attach ad,:Udonal page ifneee,sn;v): Diaz Yourman Connitant Certifying (Print Name and Title): Name: Kay Alabed $ $85,500.00 Title: President Consultant Certificatica Sienattue Date of Certification (mnvdd/,ljrv9): 02/01 /2 16 Consultant Contact 1nklmation: Email: kay Alabed2AescoTech cnm Pllolle number: 714-375-3830 "*An individual executive or fimircial officer of the consultant's organization it a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish fire Indirect Cost Rate proposal submitted in eonjtmction with the contract. No[e:Pry 3C:S.C'.!17lb,}(71r3/, SuBcan;v:rants nrv;r camph'with the F.SR Cn Pu•rirctpda« coiafnadin 45 C'FR Pm•r 31, 23 CFR Pmz 1 ?i..i Dgftnrtimrs sure: Cc wlirmumml; Mo indh irdual ar•}irnr prm•idino migi»aarixg mid &;rgn rolmad JoTimPS ns a pm•n,' to the cornmd. 7i�cq'gfira, sr;bcara;ufimits aspm•tia« GYn carin+xer mat«i egmpleh• nwrrtn'cmian o+ldsand w•gin4!« ra � FI ¢nd koap cayras da Lacal.tgansy Projaea Fi1n;. I}isfahafwn: ]) 4[itiral. �o �`irsn; Audis nrx1l¢vea[i;mumr �} Recniud in Local t�:;enLS Aejec[ Erie; Page 2 of "- LPF 1e-61 Jassuaa1' lA, 2(115 P165 Local 3.ssis0ansa Proccoluxas Nfoau.nl Exlsihit 10-01 Consaliant 1Proposol DBE C'ountnitment E3T.MiT IC-01 CONSULTANT PROPtYaALD,�EE C'G1i0\f1Tas1EY7 1. Local Agsmcy- City of Santa Ana 2, CanyGraat 09 ocaal: 15% a. Project D�adpe�n ec nica , inspection Mare esting for Pudic Wor—t�s7 ncy l..;a'p'iT rtTli 1peovemenI 4. Projaat Location: City of Santa Ana 5. Consultants Name: Diaz COI]SUltantS, Inc. (Diaz Yonrman & Associates) g, Han, Certified DE1- B 7. Crascr'ption of Work, Sewlw, or Materials p S. DBE Certification Number B. CBE Contact Infolrafian 10. DBE % ,eotechnical, Inspection & Material esting for Pudic Works Agency 20160 Chris Diaz 16r% ,apitol Improvement Lacall Apen,cy to Complete this Section lT. cox Agency Contract km ha; NYt, Pedera4A:d Prr7�cl Numirr: 11. TOTAL CLAD MED DBE PARTICIPATION t-"s 96 SOL PcnpMed Contract EXeMnlen Date. IMPORTANT., Idantry all DBE fim.s hestgl dairred for credit, regardless of tlea, Niriden oonfirma[m of eadn listed DBE is ii Agency oedf va thal', at DBE aetifications are valid and information on this Perin is oornplete and accurate, - required, [¢ 02-01-2016 2a. Local Ageno) Reprefiantaa4ak' &griainre 2$- DaTe 12 ar'5 ul nature VS. Cale a �la�ed 714-375-3830 .,..., o genay resantati.esName Tic—e —' ery+are s ame T.T,,,�itTii President 24. Locsl.rganay , esenlziNesTie 16, ln er's Title DISTRIBUTION: Uginal--Inoluded with consultant's proposal to local agency ADA Waco: For lnd'*UaG Mlh¢�ydlsanildes, Ills docurnoM is avdaawe In@Vw3e'onrsom, For Inroninaton call �15)16-1-fat d or'eD al e;l elm ME09f xut:a RteSe+k and FM M.ariagciwlt, I Ito N ^utreet, MS-85, Sarramenin, C,e, 9:551¢, Page 1 of dnlj ,.;, 201 City of Santa Ali Pace A O H DWG � F r YW z WL u q v d F �+ L o F U ?, 8 Q n � O w a r- n � v � P S CJ ^% o 0 N j 25N-48 MW U W At '2016 Back To Q2gj r n Unlfed Certification Program Search Returned 1 Records Mon Fob 01 16:32;26 PST2016 ....r........ )eery Criteria irm/DBA Name: aesco ttm Type: DBE 'irm ID 35370 'irm/DBA Name AESCO, INC lddress t.ine1 17782 GEORGETOWN LANE lddress Line2 ay HUNTINGTON BEACH itate CA ip Code1 92647 Ip Code2 Iailing Address Line1 17782 GEORGETOWN LANE Tailing Address Line2 tailing City HUNTINGTON BEACH failing State CA Iailing Zip Code 92647 Iailing Zip Code2 ertification Type OBE Mail kay.alabed@aeKotech.com ontact Name KAYALABED rea Code (714 ) hone Number 375-3830 It Area Code (714 ) It Phone Number 330-0983 dX Area Code (714 ) 1x Phone Number 375-3831 gency Name DEPARTMENT OF TRANSPORTATION Duntles 19; 30: 33: 36; 42; 56; Istricts 05; 071 08; 12; BE NAICS 541380; .DSE NAICS 'ork Codes IBM DRUG TESTING; 18734 LABORATORY TESTING AND ANALYSIS; tenses ucks order E hnicity CAUGASIAN w Type DBE Back 70 (uerv_Forrr m.del.ca.goWucp,giierySubinil.do 2 5 N -49 25N-50 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this day of 2016 by and between United Inspection & Testing , (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing trader 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; Geotechnical, special inspection, & material testing to provide quality assurance for its Capital Improvement Program on an as needed basis. 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 during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and sett forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference. The Scope of Services shall include a Schedule for the Delivery of Services, which shall be delivered as scheduled, beginning upon the City's issuance of a Notice to Proceed. 2. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, an amoum not to exceed $500 000 in accordance to rates and charges identified in Compensation - Exhibit B, attached hereto and incorporated by reference, and in accordance with Section 18. TERM This Agreement shall continence on the date first written above for a two (2) year term with the option for the City to grant up to a two (I) -yea r renewal option(s) exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. United hnspndon_Ageement Exhibit 2 25N-51 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. 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 medimn 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 Linder 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. Commercial General Liability hisurance. 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. Such insurance shall (a) name the City, its officers, employees, agents, 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. United Inspection —Agreement 25N-52 Page 2 of & 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: L 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 canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. iv. Consultant shall supply City with a fully executed additional insured endorsement. 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 To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, .obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims"), to any work performed or services provided under this Agreement wising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the inderrmified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. United Inspectioit_Agreement 25N-53 Page 3 of 8 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. 9. RECORDS 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 Linder 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 tinder this Agreement. All such records grid 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 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. 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 infomnation 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 mariner with performance of services. Conflict may be further specified in Certifications - Exhibit C, attached hereto and incorporated in this Agreement by reference. United Inspectiou_Apeement 25N-54 Page 4 of 8 12. 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. 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 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 the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 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. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination, In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. UnitWnspution_Agreement 25N-55 Page 5 of 8 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. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services 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. 18. PAYMENTS & INVOICES a. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. b. Invoices should be submitted on the 15th of each month and shall include the following information at a minimum: V. Consultant's invoice number and City's agreement number vi. Beginning and ending dates for services vii. City Project and/or Task Order number and/or name (if applicable) viii. Work site address/location (if applicable) ix. Tasks or deliverables completed and percentage (%) of total services completed. X. Remaining Overall and Task Order budget available 19. MISCELLANEOUS PROVISIONS a, Additional provisions, if any, are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn, C. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. UuiCed Inspeotion_Agreement 25N-56 Page 6 of 8 20. 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 With courtesy copies to: Fred Mousavipour Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-5635 To Consultant: Q General Manager United Inspection & Testing 22620 Goldencrest Dr., Suite 114 Moreno Valley, CA 92553 Fax:951-697-4770 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-6515 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, United Inspection_ Agreement 25N-57 Page 7 of8 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA Maria D. Huizar David Cavazos Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO CONSULTANT: City Attorney By: Jose *,?V,Isl Martin I3. Lowenthal Chi ssistant City Attorney General Manager Tax ID#k RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency United Inspection_Apcemem 25N-58 l age 8 of 8 SCOPE OF SERVICES 25N-59 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR GEOTECHNICAL, SPECIAL INSPECTION & MATERIAL TESTING FOR THE PUBLIC WORKS AGENCY CAPITOL IMPROVEMENT PROGRAM RFP NO.: 15-055 A. DESCRIPTION The City clesires to engage a professional consultants) to perform geotechnical, special inspection & material testing to support delivery of the City's Capital Improvement Program (CIP), while maintaining the highest quality construction standards. The City is soliciting proposals to assist in the delivery of an ambitious $80 million CIP over the next five years. Projects include street pavement, traffic signals, underground utilities, building, and park facility improvements.. The selected firm is expected to provide inspections and material testings for construction involving grading, soils, base material, reinforced concrete and masonry, asphalt concrete, structural steel, painting and to provide other quality assurance services when required. The selected consultant may enter into an agreement with the City to provide inspection and material testing services on an as -needed basis. B. SCOPE OF SERVICES 1. GEOTECIiNICAL SPECIAL INSPECTION, AND MATERIAL TESTING The required services shall include, but not be limited to, the following: SPECIAL INSPECTION I. Provide special field inspections and compaction tests for grading, trench backfill and asphalt concrete pavement construction according to the project special provisions, the Standard Specifications for Public Works Construction ("Green Book") and Caltrans Standard Specifications. Submit daily Meld reports to the City and a final report after work is completed. 2. Provide inspections for installation of precast and cast in -place concrete, welding, high strength bolts, structural steel, masonry, painting and other types of work in accordance with the California Building Code (CBC) and the contract documents. Submit field reports to the City immediately after inspections are completed. All deputy inspectors shall register with the City's Planning and Building Agency prior to start inspection. .^.._._- ................ City of Sania Ana RFP 15-055 Page Al-1 25N-60 3. Perform tests on various construction materials as required by the City, 4, hispectors who perform work in confined areas or at elevated levels shall be certified or trained for confined space and fall protection. 5, Recommend testing method on defective work and advise the City of acceptance standards. 6, Provide source inspection for concrete and asphalt concrete at mixing plants, and inspection for other materials at their source as required by the project specifications. 7. Provide other quality control services as requested by the City. 8. Field reports shall be submitted daily to the City. Submit and distribute typed inspection and material testing reports to the City's Public Works Agency and the Planning and Building Agency in accordance with "Green Book" and "CBC" requirements and to other concerned parties within a week after the work is performed. 9. Submit a final report to the City within five working days upon completion of each project. MATERIAL TESTING • Testing lab shall have the ability to perform a. wide variety of construction material testing; i.e. soils, Portland cement concrete, asphalt concrete, reinforcement, structural steel, welding, paint, etc, as required for road widening projects, sub -surface projects, building, bridges, etc. • Comply with the City's Quality Assurance Program (QAP). 'rho City has adopted Appendix Y Of the Caltrans Quality Assurance Program with related attachments. A copy can be provided upon request. • Engineer of record for all inspection and materials testing services required under this contact shall be registered as a professional engineer in the State of California. • Possession of applicable certifications for all personnel and laboratories, Certifications shall be valid, up-to-date, and a copy of each provided to the City at the award of the contract. • Understanding of and extensive experience with Federal (FEMA), National and/or applicable international (AASHTO and/or ASTM), State (Caltrans) and Local guidelines, procedures, and certifications for laboratory and personnel assigned to projects. • Laboratory facilities and staff shall have and maintain current Caltrans accreditation throughout duration of contract. Verification of required qualifications for these acoreditations is required to be submitted with the proposal. • All labs providing testing to primary consultant shall have the sane licensing, accreditation, and certification requirement as primary consultant. ADDITIONAL REQUIRENIENTS Some of the city projects are funded by Federal or State grants, the selected consulting firm ITIUSt comply with ail requirements of Caltrans Construction Manual including the following: City of Santa Ana RPP 15-055 Page Al-2 25N-61 Certification of Personnel I. The personnel who will conduct the material sampling and testing must be certified. 'They must be certified by Caltrans' District Materials Engineer, and, optionally, the National Institute Certification of Engineering Technologies, or other authority acceptable by the Construction Engineer of the City to be proficient in accepting sampling and testing. 2. A copy of each person's certificate must be on file in the office of the Principal Civil Engineer. The certificate shall list the type of work which the individual is authorized to perform. 3. The testing laboratory must be under the supervision of a registered engineer with experience in inspection and testing of construction materials. This engineer shall certify the results of all tests performed by the lab personnel under his/her supervision. 4. The selected firm must maintain the laboratory testing equipment in accordance with recognized national standards. 5. The selected firm must have an independent assurance testing and sampling program. This program can be performed either by their own personnel not involved in the acceptance testing and sampling, or by another quality assurance organization. 6. Correlation Testing Program: The Materials Laboratory shall be a participant in one or more of the following testing programs: a. AASI-ITO Materials Reference Laboratory (ARML) b. Cement and Concrete Reference Laboratory (CCRL) c. Caltrans' Reference Samples Program (RSP) Acceptance of Testing and Sampling The selected testing laboratory shall conduct acceptance testing of materials on the first day when work is performed, and continues daily until the work is completed. Reoorting Test Results When aggregate samples are taken at the material source results of sand equivalent, cleanness value, and sieve analysis shall be submitted to the Resident Engineer within 24 hours. When soils and aggregate samples are taken at the job site, results of these tests shall be submitted to the Resident Engineer within 24 hours. Results of compaction and density tests taken at the job site shall be submitted to the Resident Engineer within 24 hours. When asphalt concrete samples are talcen at the plant resuhs of the gradation, oil content, and S- value shall be submitted to the Resident Engineer within 96 hours. When asphalt concrete compaction tests are done at the site the results shall be made immediately available to the Resident Engineer. All other tests required by the project shall be submitted to the Resident Engineer within 24 hours. Independent Assurance Sampling and Testing The selected firm shall establish and maintain an Independent Sampling and Testing (ISAT) program: City of Santa Ana RFP 15-055 Page A'1-3 25N-62 I. To verify that the project's sampling and testing is performed correctly by the testers and samplers, 2. To ensure the equipment is properly calibrated. 3. To provide the Resident Engineer with a copy of the program to ensure that the program is carried out. 4. To provide the Resident Engineer with a report indicating actions to be taken by the selected testing firm when discrepancies are found between ISAT and acceptance tests (AT). C. CONSULTANT .RESPONSIBILITIES Consultant Audit and Review Process: Prior to awarding the contract, the selected Consultant shall be subject to an audit or review by Caltrans' Audits or Investigations (A&I), additional state audit organizations, or the federal government. D. CITY RESPONSIBILITIES 1. Furnish construction plans and specifications to the consultant. 2. Coordinate with the contractor regarding work schedule and notify the consultant 24 hours in advance for the required inspections and tests. E. SPECIAL REQUIREMENTS This agreement may be funded, in part, through Federal and Measure M2, therefore requiring compliance with all requirements of Caltrans, OCTA and/or the U.S. Department of Housing and Urban Development, Corrumunity Development Block Grant Program and as such is subject to the conditions of the Section 3 Contract Clause. Proposer shall comply with all requirements as they pertain to the use of these funds; refer to Appendix Attachment 5. The following forms in the Appendix (Attachment 5) must be completed in their entirety and submitted With your proposal: • LAPM Exhibit'10-H: Fee Proposal • LAPM Exhibit 10•L Notice to Proposers, DBE Information • LAPM Exhibit 10-K: Consultant Certification of Contract Costs & Financial management system • LAPM Exhibit 10-01: Consultant Proposal DBE Commitment IT SHALL BE THE RESPONSPILITY OF THE CONSULTANT TO VERIFY THAT THE LATEST VERSION OF THESE DOCUMENTS IS USED IN THE PROPOSAL. LATEST FORMS CAN BE FOUND CALTANS WEBSITE, CHAPTER 10: v"vyN.di?t.cT. /Inq l ocalPrk)golr s/lann/CI'I ICQ hum If the project will be financed, in part, by federal funds all services rendered shall meet all required federal requirements included in this request for proposal. Consultants are advised that, as required by federal law, the City of Santa Ana is implementing the new Race Conscious Disadvantaged Business Enterprise (DBE) Program. The DBE goal for this contract is 6%. Consultants under contract with the City of Santa Aria will provide support to City of Santa Ana staff or their designee on an as -needed basis. Clue Consultants shall be thoroughly familiar with the Scope of City of Santa Ana R1 Page Ai-4 25N-63 Work prior to Submitting a response to this Request for Proposal (RFP). • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant must have experience with State and Federal funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant has total responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness of such items remains solely that of the Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub -consultants. The Consultant shall review all work performed by its sub -consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan (QCP) in effect during the entire time work is being performed under the Agreement. The QCP shall establish a process whereby work products are independently checked, corrected and back checked. All projects related correspondences and documents should be maintained and bound in appropriate project files. Additionally, all electronic files shall conform to the City's file naming system. The consultant shall submit their QCP as part of the response to this RFP. • The Consultant shall diligently work on earn assignment and complete each task in accordance with the schedule and accommodate the City's needs. • The Consultant's work will be subject to inspection and audit by City, County, State and Federal representatives, • Project files including copies of all correspondences, reports, documents, and electronic files shall be submitted to the City when requested and electronically updated monthly. • All work, including reports, analysis, data, and intellectual properties developed during the life of the Agreement shall become the properties of the City. The Consultant will receive written notification of the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. This agreement is subject to compliance, monitoring and enforcement by the State of California Department of Industrial Relations. Consultants are required to inform themselves fully of the conditions relating to labor under which the work will be performed. In accordance with the California State Labor Code, prevailing wage rates apply per the following link. Pr x;lwwvw.dir.ca.g v/publlc-works/publicworks.huml City of Santa Ana RFP 15.055 Page Al-5 25N-64 EXHIBIT B COMPENSATION Fee Proposal including hourly rates (from Consultant Proposal) The rates and unit costs shown on ATTACHMENT 4, FEE PROPOSAL will be used to establish cost for any Task -Orders. The City does not guarantee the quantity of the work to be perfonned by the Consultant. The consultant shall be paid for the actual services provided for the project according to the proposed hourly rates and unit costs. 25N-65 Appendix A"!.TAC;HM, I' T 4 FEE SOWDULF - CEOTECff1NJCd"AL. SPECIAL INSPECTION, & MATERIAL R'ESTDP d ITEM ESTIMATED QUANTITY UNIT HOUR1.YRATE/ UNITCOST* ESTIMATED COST Soil Inspection 1,000 Hours $84.00 $84,000.00 Concrete Inspection 1,500 Hours $78,00 $117,000.00 Masonry Inspection $00 Hours $78.00 $62,400.00 Reinforcing Steel Inspection 1,200 Hours $78.00 $93,600.00 Asphalt Concrete Inspection 500 Hours $84 00 $42,000.00 6" Concrete Cylinder 400 Units $22.00 $8,800.00 2x4 Mortar Sample 200 Units $20.00 $4,000.00 3x3x6 Grout Sample 200 Units $20.00 $4,000.00 Masonry Prisms 150 Units $35.00 $5,250.00 Ultrasonic Testing of Steel Connectors 50 Ba Hours $86.00 $4,300.00 Post Tension Reinforcing Inspection 200 Hours $78.00 $15,600.00 Post Tension Concrete Inspection 200 Hours $78 00 $15,600.00 Structural Steel Inspection 100 Hours $80 00 $8,000.00 Connection Bolt Torque Testing 100 Each $80 00 $8 000 00 Precast Concrete 350 Hours $78.00 $27,300.00 Deputy Inspection 100 Hours $78.00 $7,800.00 Mechanical Inspection 100 Hours $90.00 $9,000.00 Plumbing Inspection 100 Hours $90.00 $9,000.00 Electrical Inspection 100 flours $90.00 $ 9,000.00 $ 534,650.00 TOTAL ESTIMATED COST $ Page 2 of 2 City of Santa Ana RFP 15-066 26NA Appendix ATTACHMENT 4 FEE SCHEDULE (CONTINUE' D) GEOTECHNTCAL, SPECIAL INSPECTION, & MATERIAL TESTING Firm: United Inspection & Testing PROPOSED NOT -TO -EXCEED COST: $534,650.00 Address: 22620 Goldencrest Drive, Suite 114 Moreno Valley, California 92553 Name Martin B. Lowenthal Title General Manager (Print) Signature Date 02/22/2016 *All Privileging hourly rates and unit costs shall include markups and the cost of traveling, vehicle, equipment, clerical service and typed reports. City of Santa l�Ana �RFFP 15-065 25N V UNITED INCASC7 QN & I1F. "LING A }. MASTER FEE SCHEDULE CITY OF SANTA ANA GEOTECHNICAL, SPECIAL INSPECTION & MATERIAL TESTING SERVICES Principal Engineer/Geologist $ 165.00 Hour Geotechnlcal Engineer $ 145.00 Hour Senior Engineer/Geologist $ 145.00 Hour Project Engineer/Geologist $ 125.00 Hour Staff Engineer/Geologist $ 110.00 Hour Assistant Engineer $ 10D.00 Hour Project Manager $ 90,00 Hour Field Supervisor $ 95.00 Hour Soils Grading Observations, Sampling and/or Compaction Testing $ 84.00 Hour Lead Inspector and/or Multi Disciplined Inspector $ 80.00 -lour AWS Inspector (Visual Only) $ 80.00 Hour Shop Welding Inspector $ 65.00 Hour ICC Certified Inspector $ 78.00 Hour Batch Plant Inspections / Block Identification $ 55.00 Hour DSA Masonry $ 78.00 Hour In -Place Brick Shear Tests(Masonry) - Two Person Crew(4-hour Minimum) $ 180.00 Hour Ground Penetrating Radar - One Man Crew $ 200.00 Hour -Two Man Crew $ 300.00 I -lour Non -Destructive Testing (ASNT) - Magnetic Particle Testing Level II $ 86.00 Hour - Ultrasonic Testing Level ll $ 86.00 Hour - Dye Penetrant Level 11 $ 86,00 Hour -Level lB Review $ 135.00 Hour Coring - Coring Machine Operator $ 120.00 Hour -Helper(addperhour) $ 68.00 Hour Wood Fabrication Inspection $ 110,00 Hour Floor Flatness Testing Per Day $ 175.00 Hour Mechanical, Electrical, Plumbing Inspection $ 90,00 Hour Waterproofing Inspection $ 80.00 Hour Nailing Inspection $ 80,00 Hour Roofing Inspection $ 80.00 Hour Radiographic Inspection / Radiographic Inspection 2 Man Crew Quotation on Request Expert Witness - $ 450.00 hour Laboratory Technician $ 85.00 hour fix. A 4 ti,aSR:t6'LZr fMSft4y�rl�,aa"v+ev-'ix''".t _ .-" L'aviGtdN°".iffii��"Y�4R+t3 il .n.. 1'MYC. Absolute Viscosity ASTM D 2171 $ 150.00 Each Asphalt Content by Ignition $ 160.00 Each Asphalt Content by Ignition Burn -off Method CT 382 J ASTM D 6307 $ 300.00 Each Bulk Specific Gravity & Density of Compacted Asphalt Concrete ASTM D 2726 / CT 308 $ 55.00 Each Bulk Specific Gravity & Density-Parafllm Coated Compacted AC ASTM D 1188 / CT 308 $ 85.00 Each California Bearing ratio, 1 point ASTM D 1883 $ 200.00 Each California Bearing ratio, 3 points, (Specified moisture) ASTM D 1883 $ 550.00 Each Cement Treated Bases -Testing field samples only, per point CT 312 $ 170.00 Each 25N-68 v �r UNITED f' d . PEG77QN �TQ.S"x9NGt MASTER FEE SCHEDULE CITY OF SANTA ANA GEOTECHNICAL, SPECIAL INSPECTION & MATERIAL TESTING SERVICES Cement Treated Bases Design & Testing CT 312 $ 320.00 Each Collapse Potential of Sells ASTM D 5333 $ 130.00 Each Collapse/Swell (ASTM D4546) $ 100.00 each Compaction, Modified Proctor ASTM D 1557 (Molsture/Density Curve) $ 225.D0 Each Compaction, Standard Proctor ASTM D 698 (Moisture/Density Curve) $ 225.00 Each Compressive Strength of Asphalt Plant Mix ASTM D 1074 $ 250.00 Each Consolidation (ASTM D2435, D4546) $ 200.00 each Corroslvity, (PH, Resistivity, Chlorides, Sulfate, Sulfide) D 4972, G 57, D 4327, D 4658M Quotation on Request Density of Soil, in -place (sand cone) $ 50.00 Each Direct Shear, 3 points, Consolidated - Drained ASTM D 3080 $ 600.00 Each Direct Shear, 3 points, Residual ASTM D 6467 mod $ 550.00 Each Direct Shear, 3 points, Unconsolldated-Undrained ASTM D 3080 mod -Qtest $ 350,00 Each Direct Shear, add'I points Consolidated - Drained ASTM D 3080 $ 175,00 Each Direct Shear, add'I points Consolidated-Und rained ASTM D 3080 mod $ 125.00 Each Direct Shear, Residual Each additional cycle ASTM D 6467 mod $ 175.00 Each Ductility Bituminous Materials ASTM D 113 $ 150,00 Each Emulsion: Density ASTM D 244 $ 60.00 Each Expansion Index Test UBC 29.2/ASTM D4829 $ 170.00 Each Hveem Compaction- Lab Mix per Point ASTM D 1561 / CT 304 $ 145.00 Each Hveem Stabilometer Value per Point ASTM D 1560/CT 366 $ 60,00 Each Hveem Stabllometer Value Set of 2 ASTM D 1560/ CT 366 $ 200.00 Each Lab Resistivity $ 95.00 each Liquid Limit, Plastic, Hmit & P.I. -Atterberg Limits ASTM D 4318 $ 160.00 Each Marshall Compaction- Lab Mix per Point ASTM D 1559 $ 200,00 Each Marshall Compaction Lab Mix Set of 3 ASTM D 1559 $ 250.00 Each Marshall Stability & Flow per Point ASTM D 1559 $ 65,00 Each Marshall Stability & Flow Set of 3 ASTM D 1559 $ 166,25 Each Moisture Content of Aggregate ASTM C 566 $ 75.00 Each Moisture/Density Curve Checkpoint $ 10000 Each Moisture/Density Curve Rock Correction for Unit Weight, ASTM D4718 $ 50.00 Each Moisture -Density Sample Tubes ASTM D 2937 $ 190,00 Each Particle Size Analysis of Soil # 4to fines by Hydrometer ASTM D 422, C 136 $ 270.00 Each Particle Size Analysis of Soil 3" to fines by Hydrometer ASTM D 422, C 136 $ 170.00 Each Percent Finer than #200 Sieve ASTM D1140 $ 50.00 each Permeability of Granular Sells (Constant Head) ASTM D 2434 $ 265.00 Each Permeability, Flexible Wall, Cohesive Sol] ASTM D 5084 $ 425,00 Each pH (ASTM D4972) $ 25.00 each "R" Value, ASTM D 2844/CT 301 $ 250.0D each Resistance Treated Soils (Ilme, cement) ASTM D 2844 / CT 301 $ 332,50 Each Resistance Untreated Soils ASTM D 2844 $ 225.00 Each Resistivity of Solt ASTM G 57 $ 133.00 Each R-Value Determination .$ 265,00 Each Rolling Thin -Film Oven Test ASTM D 2872 $ 15200 Each Sand Equivalent ASTM D 2419 / CT 217 $ 120.00 Each Sieve Analysis of Extracted Aggregate ASTM D 5444/ CT 202 $ 55.00 Each Sieve Analysis, 3" to #200 Bull<Sample Gradation ASTM C 117, C 136 / CT 202 $ 120.00 Each Sieve Analysis, Minus #200 by Wash ASTM D 1140/ C 117 $ 65,00 Each 25N-69 UNITED .4WXr.TV,x MASTER FEE SCHEDULE CITY OF SANTA ANA GEOTECHNICAL, SPECIAL INSPECTION & MATERIAL TESTING SERVICES Slurry Mix: Extraction for AC Content ASTM D 2172, Method B $ 175.00 Each Soil Classification, ASTM D 2487 $ 280.00 each Soil Moisture/Density in Situ Sample ASTM D 1587, D 2937 $ 50.00 Each Theoretical Max Specific Gravity & Density of AC Plant Mix (Rice) ASTM D 2041 / CT 309 $ 160.00 Each Thickness/Height of Compacted Asphalt Concrete Mixes ASTM D 3549 $ 30.00 Each Tlme-Consolidation (ASTM D2435) $ 80.00 each Triaxial Compression Consolidated - Undralned on Cohesive Soil ASTM D 4767 $ 330.00 Each Traxial Compression Unconsolidated- Undralned on Cohesive Soll ASTM D 2850 $ 225,00 Each Unconfined Compressive Strength (ASTM D2166) $ 110.00 each Unconfined Compressive Strength of Sails ASTM D 2166 / CT 221 $ 142,50 Each Water Soluble Sulfate $ 70,00 each e Specific Gravity & Absorption Coarse Aggregate ASTM C 127 / CT 206 $ 85.00 Each Specific Gravity & Absorption Fine Aggregate ASTM C 128 / CT 207 $ 85.00 Each Trial Batches ASTM C 192 $ 800.00 Each Durability Index Coarse & Fine Aggregate ASTM D 3744 / CT 229 $ 120.00 Each Flexural Strength of Concrete ASTM C 298 $ 95.00 Each Lightweight Concrete Unit Weight ASTM C 495 $ 35.00 Each Modulus of Elasticity of Concrete ASTM C 4G9 $ 190.00 Each Shotcrete Core Compression Panel Cored In Lab ASTM C 1140 $ 285.00 Each Sieve Analysis, Coarse Aggregate ASTM C 136 / CT 202 $ 100.00 Each Sieve Analysis, Fine Agg #4-to #200 ASTM C 117, C 136 / CT 202 $ 100,00 Each Specific Gravity & Absorption Coarse Aggregate ASTM C 127/ CT 206 $ 85.00 Each Specific Gravity & Absorption Fine Aggregate ASTM C 128 / CT 207 $ 85.00 Each Splitting Tensile/Concrete Cylinder ASTM C 496 $ 35.00 Each Moisture Emission Through Concrete, Kit ASTM F 1969 $ 32,00 Each Absorption, Sand or Gravel, ASTM C 127/ASTM C 140 $ 75.00 each Organic Impurities in Concrete Sand, ASTM C88 $ 75,00 each L.A. Rattler, ASTM C 131 or C 535/Cal 211 $ 30p.00 each Sulfate Soundness (per sieve), ASTM C 88 $ 140.00 each Unit Weight of Aggregates, ASTM C 29 $ 120.00 each Hardness, ASTM D 1865 $ 160.00 each Crushed Particles, CT 205 $ 160.00 each Cleanness Value, CT 227 $ 120.00 each Moisture Content of Aggregate ASTM C 29 $ 70.00 each Bitumen Content (extraction), ASTM D 2172 $ 200,00 each Bitumen Content (extraction), CT 310/Cal 382 Ignition Furnace $ 150.00 each Gradation of Extracted Sample, ASTM C 136/CT 202 $ 120,00 each Maximum Theoretical Specific Gravity (Rice Gravity), ASTM D 2041 $ 160.00 each Swell of Bituminous Mixtures, CT 304/305 $ 210.00 each Caltrans Complete Asphaltic Concrete Test (Hveem Compaction, Stabilometer Value, Extraction Gradation, Unit Weight), Average of Two Biscuits $ 799.00 each 25N-70 �" UNITED ASMS MASTER FEE SCHEDULE CITY OF SANTA ANA GEOTECHNICAL, SPECIAL INSPECTION & MATERIAL TESTING SERVICES Asphaltic Cement Penetration of Bituminous Materials at 77"17, ASTM D5/AASHTO T49 $ 71.00 each Penetration of Bituminous Materials at 32"F to 158°F, ASTM D 5/AASHTO T49 $ 105.00 each Kinematic Viscosity of Asphalt, ASTM D 2170/AASHTO T201 $ 170.00 each Absolute Viscosity of Asphalt, ASTM D2170/AASHTO T201 $ 170,00 each Viscosity (Asphalt Institute Method) $ 195.00 each Rolling Thin Film Test, ASTM 2872/Cal 346/AASHTO T240 $ 180.00 each Residue by Evaporation, ASTM D244/AASH70 T59 $ 220,00 each Extraction and Recovery, ASTM D2172/ASTM D 1856 $ 850.00 each Cement Storage of Grab Sample, 60 days $ 22.00 each Cement Content of Hardened Concrete, ASTM C 1084 $ 2,460.00 each Concrete Shrinkage, set of 3, ASTM C157, CT 530 $ 370.00 each Compression 4x8 Cylinders ASTM C 39 $ 18.00 each Compression, 3X6 Cylinders Lightweight Insulating Concrete, ASTM C 495 $ 35,00 each Compression, 6X12 Cylinder ASTM C 39 / CT 521 $ 22.00 Each Compression, 2X2 Cubes, each age, ASTM C 109 $ 35.00 each Concrete Core Compression ASTM C 42 $ 75.00 Each Splitting Tensile, 6X12 Cylinders, ASTM C 496 $ 75.00 each Unit Weight of Concrete Cylinders, ASTM C 567 $ 45.00 each Unit Weight of Lightweight Insulating Concrete, ASTM C 495 $ 55.00 each Flexural Strength of Concrete, ASTM C 78 or C 495 $ 190.00 each Shotcrete Pre -Production Panel Test, Up to 12" Thick $ 1,000.00 each Shotcrete Pre -Production Panel Test, 12" to 24" Thick $ 1,400.00 each Shotcrete Panel Core Compression Test, ASTM C 42 $ 11000 each Chloride Ion Content, AASHTO T260 $ 140.00 each Emission of Moisture through Concrete $ 100.00 each Diamond Drill Bit Charges, per Inch to 5" $ 8.00 Inch Diamond Drill Bit Charges, per inch 6" and over Quotation on Request Compression of Core, ASTM C 42 $ 100,00 each Flexural Testing, per P.C.I Recommended Practice $ 71.00 each Pullout Testing of Anchors, per P,C.I. Recommended Practice $ 116,00 each Fiberw}raap Testing (ASTM D3039) $ 650,00 each Brick Absorption ASTM C 67 $ 110.00 Each Brick Compression ASTM C 67 $ 85.00 Each Grout Prism -Compression Test ASTM C 1019 $ 20.00 Each Epoxy Grout 2x2x2 Cube Compression ASTM C 579 $ 20.00 Each Masonry Composite Prism Compression ASTM C1314 $ 35,00 Each Masonry Care Compression CCR Title 24 $ 75.00 Each Dimensional Measurement of Masonry Units ASTM C 140 $ 72.00 Each Masonry Unit Compression Grass Area ASTM C 140 $ 110,00 Each Masonry Unit Compression Net Area ASTM C 140 $ 85.00 Each Brick Modulus of Rupture ASTM C 67 $ 40,00 Each 25N-71 ar UNITED INSP]s'G"1'IR N & 77 3M(x _ .h'RR(.LuiFre� MASTER FEE SCHEDULE CITY OF SANTA ANA GEOTECHNICAL, SPECIAL INSPECTION & MATERIAL TESTING SERVICES Absorption & Moisture of Block ASTM C 140 $ 100.00 Each Mortar Compression Test 2x4cyl ASTM C 789 $ 20.00 Each Compression, Gross Area, Unusual Shape, ASTM C 67 $ 1,10.00 each Linear Shrinkage ASTM C 426 $ 210.00 each Compression, Grout Prisms, ASTM C 39 $ 20.00 each Compression, Mortar Cylinders, ASTM C 39 $ 20.00 each Compression, Composite Prisms, ASTM E 447 $ 160.00 each Compression, Masonry Core, ASTM C 140 $ 75.00 each Shear, Masonry Core, CCR Title 24 $ 100.00 each Bend Test of Rebar #11 ASTM A370 $ 85.00 Each Bend Test of Rebar#14 ASTM A370 $ 170.00 Each Bend Testof Rebar#3-#10ASTMA370 $ 30.00 Each Tensile #11 Rebar ASTM A 370 $ 85.00 Each Tensile #14 Radar ASTM A 370 $ 170.00 Each Tensile Test #3 -#10 ASTM A 370 $ 30.00 Each Seven Wire Strand Modulus of Elasticity Uncoated A5TM A 370 $ 325.00 Each Seven Wire Strand Vinyl Coating Removal ASTM A 370 $ 300.00 Each Uncoated 7 Wire Strand, 1/4" to 1/2" Yield Strength, Brea Icing Strength, and Elongation (Note: for Vinyl Coated Strands, $ 300.00 each (add $ 25.00 per test; for Modulus of Elasticity, add $ 25.00 pertest) Breaking Strength Only $ 195.00 each Hardness Test, Brinell ASTM E 10 $ 30A0 Each High Strength Bolts/Nuts/Washer Compliance Test ASTM F606 $ 285.00 Each Mild Steel Not Over 1" Thick Tensile Strength, ASTM A 370 (test only) Samples, Under 1.1/2 square inch In cross section $ 100.00 each Samples, 1-1/2 square inch and over in cross section $ 175,00 each Chemical Analysis $ 110,00 each Bending $ 85.00 each Anchor Bolts, A 505 $ 175,00 each Tensile Strength $ 200.00 each Bolts Proof Load or Ultimate $ 60.00 each Nuts Proof Load $ 60.00 each Washers Proof Load $ 30.00 each Hardness (Rockwell) $ 30.00 each Weldment Testing (Mild Steel Not Over I" Thick) Transverse Tensile $ 120.00 each Transverse Side Bend $ 80.00 each Transverse Root and Face Bend $ 80.00 each Macroetch $ 80.00 each 0.505" Tensile Specimen $ 125.00 each Charpy V-Notch Specimen Quotation on Request 25N-72 &UNITED dNSP.LtY "l7ClN aSr i '".._. MASTER FEE SCHEDULE CITY OF SANTA ANA GEOTECHNICAL, SPECIAL INSPECTION & MATERIAL TESTING SERVICES Roof Sample Ply Count Asphalt ASTM D2829 $ 132.00 Each Roof Sample Unit Weight ASTM D 2829 $ 49.00 Each Fireproofing Adhesion / Cohesion Test Kit ASTM E 736 $ 45,00 Each Fireproofing Density Test ASTM E 605 $ 35.00 Each Preparatlon of WPS, PQR, or Welder Certificate $ 125,00 each Welder Qualifications $ 150.00 each Weld Procedure Review $ 200.00 each Sample Plck-Up _ $ 40.00 Hour GeotechnlcalCharges Vehicle Charges (Over 40-Mile Radius) Truck, 2-Wheel Drive $ 0.50 mile Truck, 4-Wheel Drive $ 060 mile All Other Direct Project Expenses (such as contract drilling and backhoe services, Cost +15% special equipment rental, commercial travel, protective clothing, shipping, etc.) Clerical Services $ 75.00 hour Worlc from 0-4 hours 4-Hour Minimum Billing Work from 4-8 hours Work over 8 hours per day, or on Saturdays Work over 12 hours per day Work on Sundays/Holidays Swing or Graveyard Shift Premium Show-U p Tlme Premium Sample Pick -Up (after 4 PM, before 5 AM, Weekends and Holidays) la boratory Testing - Rush Fee Outside Services/Reimbursables Shipping Charges Parking/Tolls Certified Payroll Compliance Deputy Inspectors Travel Time (Beyond 100-Mile Radius of Project Site) Per -diem, Including Lodging (Beyond 100-Mlle Radius) Nuclear Gauge Dally Fee 8-Hour Mlnlmum Billing Time and One -Half Double Time Double Time $ 10.00 Hour 2-Hour Minimum Billing 2 Times Sample Pick -Up Rate Add 500%to Test!ng Cost Cost + 10% Cost + 10% At Cost S 75.00 Week $ 50.00 Hour Quotation on Request $ 45.00 Day Yearly escalation In Prevailing Wage hourly rates will be calculated using the percentage of Increase Issued by the State of California Director of Industrial Relations. 25N-73 EXHIBIT C CERTIFICATIONS C-1 through C-3 25N-74 EXHIBIT D ADDITIONAL PROVISIONS 25N-75 i" {y Ip N U l] V Z Z Z W O r`C r� VI o O o Op o Op o 0 0 o p o O O U a ,= a Q `"u In N N rl m rn M o p o ul i.n o m m o o W V 10 N [P 4 V d O) m C O fy O It) In ul �n w "v; In In n u� r� r m w co w a U O IO h W w F. W w h [O lb h W N h W SO F w O O O ^ O N 0 0 0 O p O O f O (N�1 O ro co J O O O O O o O Q Q G O p p O o O E N F. W w O U O O O O O o O p O O O O O O p N N O 8 m 8 N ryry (ryp p � m ni o Di �i vi ry N o-i h vi �py� �� � N Vi w Hi» b9' YS W w W � 1/V » ✓t e3 Hl lnY � 7 0 N �y C C O G s W £ rn o o m W = o `a5 m y 01 l2 0 o� Z m (0 G a � w 25N-76 !d Q O z 0 U 0 O h a C7 0 O ~ 0 .r q a W i O � �+ W O 0 0 d o 0 0 0 0 0 0 0 0 0 0 0 �n '� iY 49 M 69 Y3 f9 M 4A M t9 d F 22 Q Q Q Q Qy !6 m 5w p o o a o el b Q e Q W k 0 0 0 0 "d o 0 0 N poi m ip n rJ t0 t0 m tUo ,fin r rN. M Wb3 ✓1 M e> 41 e1 W' on cow-.N- >, a x� oho 000 00� L L L O U U a U O C Q U) C C C co Q Q O O O k M k 25N-77 I i O 0 O 0 O o o a o o O o O a O o O 0 O 0 O 0 OO O O G O O O U Q O d � a z � o z z o w Q 5� F4 O o O O 0 O O 0 a O 0 O O 0 O p 0 O O 0 O O 0 O O 0 O O o O O p Q L� F EA 69 Vi 69 69 G9 63 Vi Fl FA f/� � Q � � F w o z w W Q O O O O O O O O O o O O O Oj O, O O O O O Q tJ OO O OO O O b F o 0 0 0 .F� U U O fj�U]i wE F u FaK F F N O� C7 N N �n �n s1 er _ E c U b Nb b W ❑� Q t�"J ~ U b m � o O O FL A ry u a F N Q Yr .F F°y1 O h } O o ❑ � 'S CC p, WWyy x TJ O « �NN� N b ry y U O u v N 3G3 0. ti H ti� R> Fn E aqi F d � N .a y •7 Y �n Par .a 25N-78 Local Assistance Procedures Manual EXHBIT 10-I Notice to Proposers DBE Information EXHIBIT 10-I NOTICE TO PROPOSERS DBE INFORMATION The Agency has established a DBE goal for this Contract of t5 00 % OR The Agency has not established a goal for this Contract. However, proposers are encouraged to obtain DBE participation for this contract. 1. TERMS AS USED IN THIS DOCUMENT • The term "Disadvantaged Business Enterprise" or "DBE" means a for -profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26.5. • The term "Agreement" also means "Contract." • Agency also means the local entity entering into this contract with the Contractor or Consultant. • The term "Small Business" or "SB" is as defined in 49 CFR 26.65. 2, AUTHORITY AND RESPONSIBILITY A. DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs"), The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assuu'anoe. The proposer must not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs. 3. SUBMISSION OF DBE INFORMATION If there is a DBE goal onthe contract, Exhibit 10-01 Consultant Proposal DBE Cominitmeni must be included i nthe Request for Proposal, In order for aproposer to be considered responsible and responsive, the proposer must make good .Faith efforts to meet the goat established for the contract. If the goal is not met, the proposer must document adequate good faith efforts, All DBE participation will be counted towards the contract goal; therefore, all DBE participation shall be collected and reported Exhibit 10-02 Consultant ContractDBElnformation must be included with the Request for Proposal, Even if no DBE participation will be reported, the successful proposer must execute and return the form. 4, DBE, PARTICIPATION GENERALINFORMATION It is the proposer's responsibility to be fully informed regarding the requirements oIf49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following: A, A DBE must be a small business firm defined pursuant to 13 CFR 121 and he conif ed through the Cali'forn'ia Unified Certification Program (CUCP). LPP 13-01 Page I of 3 May 8, 2013 25N-79 Local Assistance Procedures Manual EXHBIT 10-1 Notice to Proposers DBE Information B. A certified DBE may participate as a prime consultant, subconsrdtant, joint venture partner, as a vendor of material or supplies, or as a trucking company, C. A DBE proposer not proposing as ajoint venture with it non -DBE, will be required to document one or a combination of the following: 1. The proposer is a DBE and will meet the goal by performing work with its own forces. 2. The proposer will meet 'lie goal through work performed by DBE subconsultants, suppliers or trucking companies. 3. The proposer, prior to proposing, made adequate good faith efforts to noel: the goal. D. A DBEjoint venture partner must be responsible for specific contract items of work or clearly defined portions thereof. Responsibility means actually performing, managing, and supervising the work with its own forces. The DBE joint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest. E. A DBF., must perform a commercially useful function pursuant to 49 CPR 26,55, that is, a DBE firm must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing and supervising the work F. The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all DBE subconsultants should be listed in the bid/cost proposai list of subconsultants. G. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE participation except that portion o'fthe work to be performed by non -DBE subconsultants. 5. RFSOURCES A. The CUCP database includes the certified DBEs from all certifying agencies participating in the CUCP.1f you believe a'firm is certified that cannot be located on the database, please contact the Caltrans Office of Certification toll free number 1-866-810-6346 for assistance. B. Access the CUCP database from the Department of Transportation, Office of Business and Economic Opportunity Web site at: http:/hvww,dot.ca.gov/hq/bep/. 1. Click on the link in the left menu titled Diradvanlogyd Business Enterprise; 2. Click on. Search for a DBE Firm link, 3. Click on Access to the DBE Ouery Form located on the first Pine in the center of the page. Searches can be performed by one or more criteria. Follow instructions on the screen. 6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS TI3E DBE GOAL UNDER THE FOLLOWING CONDITIONS: A. if the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies, A DBE manufacturer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Contract and of the, general character described by the specifications. B. If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To he a DBE regular dealer, the firm must be an established, regular business that ong'ages, as its principal business and under its own name, in the Page 2 of 3 LPP 13-01 May 8, 2013 25N-80 Local Assistance Procedures Manual EXHBIT 10-1 Notice to Proposers DBE Information purchase and sale or lease of the products in question. A person may be a,DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section. C. If the person both owns and operates distribution equipment for the products, any supplementing of regular dealers' own distribution equipment shall be, by a long-term lease agreement and not an ad hoc or Agreement -by -Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section. D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on thejob site, provided the fees are reasonable and not excessive as compared with fees charged for s i mi I ar servi ces. LPP 13-01 Page 3 of 3 May 8, 2013 25N-81 16 SA FE HA RHO R RATE QNS1.MANYCERT FICATION OF E1,11;913 LITYi ff:CxNTRACT COSTS Awn FIN,A:N(JtAt"!49.,+.wAC,11' IYII N'r taY1°i rrm FOR ItUDERAL-Elm 1"11GIPWA'Y PROJECTS ComillmnAlAmull )nil Ct�f1'al,rt.�.".tL�f`Irt C h"k one orwo Allowing options as it applies to, yaua 11MI that is Completing this certification: Priune Caen tdtant I..:r.`Subaonsullh n: L.exnl r-1,xenay ("i('aitpli ublc):..,...ta t.'.........I Contract r Of applieablc) Check one of thu J"ulltywing conbaoi nwillods of paymem: ,K Specific KirIea of Compensation f] P etual CostPlus-Fixed Fee C1 i.,unrp Sum 0 Cost Per Onit of Work F'deral Project ivy': lAwsultmati ParrWYMAg CmMW DollarAtnenua $ t ES SF' Salle mtil ms I Esdma d It of Work. w be Performed (Specific Rate o1CoIII pensation): � '� . % Prune.C".Ort,ultaniCsCoMamDollar .krnennn: Ssde ftarbor Rare (Indirect Cost Rate): 110% AS Sfalmall lw;LEI11ttriliiv: f, oc ruttier =i *nod, certify' that the firm is elI(Ne to use Iiio sa:lre harbor indirect cost rate as the firm: I . Does not have relwvant contract cost hislorw to use as a base Pir developing u Federal Aequ!sAk n Rep;u.(ation (FAR) of 11 lc 48, Code of Fedmil Regulations (CTR) Part :l l-Cont:eao! Cost Principles and Procedu s HT C;i" R Part 31 often rot nv(l w as "k'ederal cost primil:tles") eompHatit Indi,reet cost rate (]C'R). OR 2. Dws nod have a pt%mm y accepted, IC R by a coeutatnt agency; or with all audited/accep'ted iC, R, Crud dons riot have flu existing uorirracrt with a p oviaional ral;k., 3. 1Ias not devakTud an indhvcl cost Q& In amplinncet with tha Fuleral ost phmoks. t Lrtl istation of Cocttaact C oats I, the under aifznetl, o df), drat I havo rcuriewetl the nisi proposal For the above contract and to the host of nay knorvledpe turd belief. 1, All ousts included in the east piciposal tire, allowable in atcca dance with ire Safe, Harlaor Rate egnircuronts and Federal cost principles, I The; cost proposal does not include any costs which are ex,Immly inadlowahlo with 'the Safe Harbor Rate requirements and the Fcd'arai cost principies. 25N-82 3. All directcosts (dirt i direct costsi inohAs in this not lraaquad ate reasonabla, lalNowable. and allocable to the t;cmtract io accordance whh the Safe Ir3arbor Raw reguiremv nts, ge.nerally accepted accrnrnling ptinciplcs fUAA.P); taedcrral uosl: l rinclplus; Me 23 Wited States Galt, (UJ S.0) Chapter '1-Federal-Aid 1 fighwaays Section 112-1-eaffing of Contracts (23 t.i.S C, 'I 12); "Cale 23 CFR Chapter 14'edoral IIlghway Administration, Department of Tra.nspollatienr fart 171 ;from retnent, Management, and Adminim-restion of Engineering andDesign lWated Service (23 (';:bR Part'172); and lernrs and conditions o'f the aonunct. All costs mum be applied corrsiswntl,y and Only to all Contracts rcgardlCss of contract or cleatt:ype. 14cunrmradon for Ime cos'm must be in c mupll nee whh applicable federal and state reeluitemoras. All documentation of compliance mutt be retained in the project tiles ror 3 ,yoars after contracting; agency makes final paymer t and all pending matasm am caosed. C;er•tlUcationo4`FbIancialIlana>c elttS�9We,ilr: 1, the undersigned, certcfw that our fitumcAl manag mein s'ysten7 in place for this Contract'Ind moving forward maetnthe standarcls'for the We harbor Ratcrequirements and irinamota,l reporting„ nwcounting records, Internal and budget mattrol as set k nh in 23 CFR Part '1.7.2 atop 48 C:F.R Pan x 1. "i he;4e, standards It q6v Constrlting Firms ]rave mn mconnfing nyst,enr aidegtlate to anumulate, and oracle allowable., allocable, and rensoruable direct labor and other direct costs by contract st¢ repte indirect co ts, and renlavur Ian:dwwable costs. Cc)riific;itiou of C'"cayt�-ltef3tri2ttrtici�r„ent~3 yrr� :'oatr•a�atw: 1, the undcrsigncd, also nutderstand that failure to cornply with 4R UR hart 16.:301-3 (n knowingly charge umd1owaible cons tt) a Fadvralnd highway progrmn WAh1P) may result in possible portaltio rand sanctions as provided by the 1`ollowing; M Sanctions wad Penalties - 23 CFR Part 1.711 1OX4) • False Claims Act � 31 U.S.C. Sections 3729-3733 5tarte rlr nfs Iar 4nta iwti senarnlly .. 18 t.I,S C. Section '1001 vla,jorlFraud Act - 18 US,C. S'ection 1 Q 1 Canvultaart Clertii' per+=; Nacre«; i�1�tk1lld s I /�, ,i' C y `'}E;Sn2ttln'°U N:,.... ,___..�L_4L-4!"�.4�......._-ati,Cf................. c t p F.IYitill"�: kJ�t tL,tC ��. L.4+„, i (�U,J,", , tlmH+ti r Pith°": �,lktai�' �t�t,�alc•taa_ �)��(��P�, i ri'e of Cer(i. catfim (prof cic9lygyY): ka L/r #. .. Phoiar: Ntunhel � .. iz��, t...._...............�_.., 'An o;,ecudw or hn.anuiiai orlltei onk corummai txganfa lm %ho has an. mity to rgxu ent Its: ittraneiad infnrurnrnn Wzed to mstld7lieh tlra propoaal sulminted in cajmcnon whh the um na. �4) Rr1Qj Pry) Attach a Cop)' arfyour cony)15icd; Iltstibotian: I ) tarigioal to Caltr ins A&,I 2) CaU ,n: DiAsion ul Bro,:urem,ra and C:onrrutrc II;)]1AC:) Contract files or I octd Agonc; F oitd Fil4a 25N-83 Local Assietance Procedures Mannal EAriblt 10-01 ._Consultant Proposal DBE conlraltinent E.7CHIRIT 10-01 CONSULTANT PROPOSAL, DBE C01"M1"tNI'JENT 1. Local Agency: City of Santa Ana .,. 2. Contract DBE Gpai, 15% a. Project Dascdp0e, Geotechnicel SPOcial lnspautlon S Material r astirlg Fahlla Works Capitol Irrlp overeat Program 4Project Location: Santa Ana GA 6Name U. stir. B. Prano Cerlliled OBE: 0, ConsuiisnC's rlltetl,Inspection tlon,and 1as.... ,. ...,,_� ...... _...................._...,......_...............,.,.........._ .....___._.___ "---"------ I 7. bascnption of Work, Service. or Materials .DBE Caniflcatmil n, DBE Contact. Information 14. DBE % `1opPllitd Number '�----�"---_—.�.. ._..................._................... ........ �-.--. ....._._ ..._ Materials Testing and Inspection 641 Axiom Corporation - Johnathsn Hou 5% P - 714247.1002 - ........... .... _... .. .— ---- ........... I I I Local Agano to Comple4athis$0014n 17. Local Agency contract Number 1t. TOTAL CLAIMED DBE PARTICIPATION 15 OA M Fadarei-Aid Project Number: 16. Propesed Contract axraeuiton 4ato: Local Agency wintias that all DpC carliflcubons are valid and Information on IbAPORTANT: Identify all DBF firm, tieing claimed for credit, dic farm is complete and mcoura9te. regardless or tier, Wri r confirmation cf each Ilstsd DW Is s y .. 0/2016 20, 4 aa(Agnrroy RupreseriWtive's `3tgnatute 21. C3ate 12. Prepares Signature 13. p5le Martin B. Lowenthal 961.697.4777 LF1147-11Igency ftepreacs"arve'a Name 13.General Manaver Local Agency Flo resenimtive's TIAe 16 Prepnrer rltls+ - .... DISTRIBUTION: orlyloal - Included with consultant's proposal to local agency. ADANu71a31 For indlNduals with avnsery dlaabilHas. Oils annul Merit Is avallobte In allemale to?morn. Per anfurmatlnn salt (ems)s5M1 ,41tf nr'YL?U (9161 R84 3800 or wide Records and Fora Murniacrnent, 1120 N Sir&et, Ma-69, 81crannenio, GA 0814, Page I of t July 11,2Q15 25N-84 Local Assistance Procedures IVlannal Exhibit 10-01 Consultant Proposnl DBE Commitment INSTRUCTIONS — CONSULTANT PROPOSAL DBE COMMITMENT CONSULTANT SECTION 1. Local Agency - Enter the name of the local or regional agency that is funding the contract. 2. Contract DBE Goal - Enter the contract DBE goal percentage as it appears on the project advertisement. 3. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc,). 4. Project Location - Enter the project location as it appears on the project advertisement. 5. Consultant's Name - Enter the consultant's firm name. 6. Prime Certified DBE - Check box if prime contractor is a certified DBE. 7. Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant's own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the .DBE, See LAPM Chapter 9 to determine how to count the participation of DBE firms, 8. DBE Certification Number - Enter the DBE's Certification Identification. Number. All DBEs must be certified on the date bids are opened. 9. DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted consultants. Also, enter the prime consultant's name and phone number, if the prime is a DBE. 10. DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation, 111. Total Claimed DBE' Participation '90 - Enter the total DBE participation claimed. Ifthe total % claimed is less than item "Contract DBE Goal," an adequately documented Good Faith Effort (GFE) is required (see Exhibit I5-H DBE Information - Good Faith Efforts of the LAPM). 12. Preparer's Signature - The person completing the DBE commitment form on behalf of the consultant's firm must sign their name. 13. Date - Enterthe date the DBE commitment form is signed by the consultant's preparer. 14. Preparer's Name - Enter the name ofthe person preparing and signingthe consultant's DBE commitment form. 15, 'Phone - Enter the area code and phone number of the person signing the consultant's DBE commitment form. 16. Preparer's Title - Enter the position/title of the person signing the consultant's DBE commitment form, LOCAL AGENCY SECTION 17. Local Agency Contract Number - Enter the Local Agency contract number or identifier. 18. 'Federal -Aid Project Number - Enter the Federal -Aid Project Number. 19. Proposed Contract Execution Date - Enter the proposed contract execution date. 20. Local Agency Representative's Signature - The person completing this section of the form for the Local Agency must sign their name to certify that tic information in this and the Consultant Section of this form is complete and accurate. 21. Date - Enter the date the DBE commitment form is signed by the Local Agency Representative. 22, Local Agency Represeutative's Name - Enter the name of the Local Agency Representative cortifying the consultant's DBE commitment form. 23. Phone - Enter the area toile and phone number of the person signing the. consultant's DBE commitment form. 24. Local Agency Representative Title - Enter the position/title of the Local Agency Representative certifying the consultant's DBE commitment form. Paget oft ,July 23, 2015 25N-85 25N-86 CONSULTANT AGREEMENT CITY OF SANTA ANA TI3IS AGREEMENT is made and entered into this day of 2016 by mid between Ninyo & Moore (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: Geotechnical, special inspection, & material testing to provide quality assurance for its Capital Improvement Program on an as needed basis. 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 T1=IEREFORE, 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 during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equiptnent, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference. The Scope of Services shall include a Schedule for the Delivery of Services, which shall be delivered as scheduled, beginning upon the City's issuance of a Notice to Proceed. 2, COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, an amount not to exceed $500.000 in accordance to rates and charges identified in Compensation - Exhibit B, attached hereto and incorporated by reference, and in accordance with Section 18. 3. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to a two 1 - ear renewal option(s) exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with, Section 15, below. Ninyo & Mom-Agmement Exhibit 3 25N-87 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. OWNERSHIP OF 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 under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in ,ATiting 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. Commercial General Liability Insurance. Consithant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, voltmteers 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. Such insurance shall (a) name the City, its officers, employees, agents, 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 insuued's provisions, b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Stich insurance shall include coverage for owned, hired and non -owned automobiles. Ninyo & Moore_Agreement page 2 of 8 25N-88 e, 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate, e, The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii, Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved 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, iv. Consultant shall supply City with a fully executed additional insured endorsement, f. If Consultant £ails 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 inderrmify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims"), to any work performed or services provided under this Agreement arising out of relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. Ninyo & Moore Agreement 25N-89 Page 3 of 8 8, INTELLECTUAL. PROYER'I'Y 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. 9, RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shalt 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 period of three (3) years, or for any longer period required by law, fronn the date of final payment to Consultant sunder 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 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 tinder 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 roamer with performance of services. Conflict may be further specified in Certifications - Exhibit C, attached hereto and incorporated in this Agreement by reference. Ninyo u. Moore Agreement Page 4 of 8 25N-90 12, 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. 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 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 the City. Each party to this Agreement aelaiowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein, 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. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. Nmyo & Moore —Agreement Page 5 of 8 25N-91 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. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws mid regulations of the United States, the State of California, the City of Santa Ana and all other govermnental 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 shalt be cause for termination of this Agreement. 18. PAYMENTS & INVOICES a, Payment by City shall be made within 45 days (forty-five) clays following receipt of proper invoice evidencing work performed, subject to City accounting procedures, Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. b. Invoices should be, submitted on the 1.5th of each month and shall include the following information at a minimum; V. Consultant's invoice number and City's agreement number vi. Beginning and ending dates for services vii. City Project and/or Task Order mu72ber and/or name (if applicable) viii. Work site address/location (if applicable) ix. Tasks or deliverables completed and percentage (%) of total services completed. X. Remaining Overall and. Task Order budget available 19. MISCELLANEOUS PROVISIONS a. Additional provisions, if any, are identified as Additional Provisions, Exhibit D, attached hereto mid incorporated into this Agreement by reference, b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. C. Alt Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. Ninyo & Momre_Agreement 25N-92 Page 6 of 8 20. 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 conimurication 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 With courtesy copies to: Fred Mousavipour Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P,O. Box 1988 Santa Ana, California 92702 Fax: 71,4-647-5635 To Consultant: Kurt S, Yoshii Principal Engineer Ninyo & Moore 475 Goddard, Suite 200 Irvine, CA 92618 Fax:949-753-7071 a City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O, Box 1988 Santa Ana, California 92702 Fax: 714- 647-6515 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 seat 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. Nlnyo & Moore Agreement Page 7 o'P 8 25N-93 IN WFINESS 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 I3y: .losjmdoval Chistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA David Cavazos City Manager CONSULTANT: Kurt S, Yoshii Principal Engineer Tax ID# Nimo & Moore_ Agreement Page 8 of 8 25N-94 EXI3IBIT A SCOPE OF SERVICES 25N-95 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR GEOTECHNICAL, SPECIAL INSPECTION & MATERIAL TESTING FOR THE PUBLIC WORKS AGENCY CAPITOL IMPROVEMENT PROGRAM RFP NO.: 15-055 A. DESCRIPTION The City desires to engage a professional consultant(s) to perform geotechnical, special inspection & material testing to support delivery of the City's Capital Improvement Program (CIP), while maintaining the highest quality construction standards. The City is soliciting proposals to assist in the delivery of an ambitious $80 million CIP over the next five years. Projects include street pavement, traffic signals, underground utilities, building, and park facility improvements. The selected firm is expected to provide inspections and material testings for construction involving grading, soils, base material, reinforced concrete and masonry, asphalt concrete, structUral steel, painting and to provide other quality assurance services when required. The selected consultant may enter into an agreement with the City to provide inspection and material testing services on an as -needed basis. B. SCOPE OF SERVICES 1. GEOTGCHNICAL SPECIAL INSPECTION, AND MATERIAL TESTING The required services shall include, but not be limited to, the following: SPECIAL INSPECTION 1. Provide special field inspections and compaction tests for grading, trench backfill and asphalt concrete pavement construction according to the project special provisions; the Standard Specifications for Public Works Construction ("Green Book") and Caltrans Standard Specifications. Submit daily field reports to the City and a final report after work is completed. 2, Provide inspections for installation of precast and cast in -place concrete, welding, high sthength bolts, snvetural steel, masonry, painting and other types of work in accordance with the California Building Code (CBC) and the contract documents. Submit field reports to the City immediately after inspections are completed. All deputy inspectors shall register with the City's Planning and Building Agency prior to start inspection, City of Santa Ana RFP 15.055 Page Al-1 25N-96 3 Perform tests on various construction materials as required by the City. 4. Inspectors who perform work in confined areas or at elevated levels shall be certified or trained for confined space and fall protection. 5. Recommend testing method on defective work and advise the City of acceptance standards. 6. Provide source inspection for concrete and asphalt concrete at mixing plants, and inspection for other materials at their source as required by the project specifications. 7. Provide other quality control services as requested by the City. 8. Field reports shall be subritted daily to the City. Submit and distribute typed inspection and material testing reports to the City's Public Works Agency and the Planning and Building Agency in accordance with "Green Book" and "CBC" requirements and to other concerned parties within a week after the work is performed. 9. Submit a final report to the City within five working days upon completion of each project. MATERIAL TESTING • Testing lab shall have the ability to perform a wide variety of Construction material testing; i.e. soils, Portland cement concrete, asphalt concrete, reinforcement, structural steel, welding, paint, etc, as required for road widening projects, sub -surface projects, building, bridges, etc. • Comply with the City's Quality Assurance Program (QAP). The City has adopted Appendix Y of the Caltrans Quality Assurance Prograrn with related attachments. A copy can be provided upon request, • Engineer of record for all inspection and materials testing services required under this contract shall be registered as a professional engineer in the State of California. • Possession of applicable certifications for all personnel and laboratories. Certifications shall be valid, up-to-date, and a copy of each provided to the City at the award of the contract. • Understanding of and extensive experience with Federal (FEN1A), National and/or applicable International (AASHTO and/or ASTM), State (Caltrans) and Local guidelines, procedures, and certifications for laboratory and personnel assigned to projects. • Laboratory facilities and staff shall have and maintain current Caltrans accreditation throughout duration of contract. Verification of required qualifications for these accreditations is required to be submitted with the proposal. • All labs providing testing to primary consultant shall have the same licensing, accreditation, and certification requirement as primary consultant, ADDITIONAL REQUIREMENTS Some of the city projects are funded by Federal or State grants, the selected consulting firm must comply with all requirements of Caltrans Construction Manual including the following: City of Santa Ana RFP '15.055 Page A'1-2 25N-97 Certification of Personnel I. The personnel who will conduct the material sampling and testing must be certified, They must be certified by Caltrans' District Materials Engineer, and, optionally, the National Institute Certification of Engineering Technologies, or other authority acceptable by the Construction Engineer of the City to be proficient in accepting sampling and testing. 2. A copy of each person's certificate must be on file in the office of the Principal Civil Engineer. The certificate shall list the type of work which the individual is authorized to perform. 3. The testing laboratory must be under the supervision of a registered engineer with experience in inspection and testing of construction materials. This engineer shall certify the results of all tests performed bythe lab personnel under his/her supervision. 4. The selected firm must maintain the laboratory testing equipment in accordance with recognized national standards. 5. The selected firm must have an independent assurance testing and sampling program. This program can be performed either by their own personnel not involved in the acceptance testing and sampling, or by another quality assurance organization. 6. Correlation Testing Program: The Materials Laboratory shall be a participant in one or more of the following testing programs: a. AASHTO Materials Reference Laboratory (ARML) b. Cement and Concrete Reference Laboratory (CCRL) c, Caltrans' Reference Samples Program (RSP) Acceptance Of Testing and Sampling The selected testing laboratory shall conduct acceptance testing of materials on the first clay when work is performed, and continues daily until the work is completed. Reporting Test Results I. When aggregate samples are taken at the material source results of sand equivalent,, cleanness value, and sieve analysis shall be submitted to the Resident Engineer within 24 hours. 2. When soils and aggregate samples are taken at the job site, results of these tests shall be submitted to the Resident Engineer within 24 hours. 3. Results of compaction and density tests taken at the job site shall be submitted to the Resident Engineer within 24 hours. 4. When asphalt concrete samples are taken at the plant results ofthe gradation, oil content, and S- value shall be submitted to the Resident Engineer within 96 hours, . When asphalt concrete compaction tests are done at the site the results shall be made immediately available to the Resident Engineer. 6. All other tests required by the project shall be. submitted to the Resident Engineer within 24 hours. Independent Assurance Sampling and Testing The selected 'Firm shall establish and maintain an Independent Sampling and Testing (ISAT) program: City of Santa Ana RFP 15-055 Page Al-3 25N-98 I. To verify that the project's sampling and testing is performed correctly by the testers and samplers. 2. To ensure the equipment is properly calibrated. 3. To provide the Resident Engineer with a copy of the program to ensure that the program Is carried out. 4. To provide the Resident Engineer with a report indicating actions to be taken by the selected testing firm when discrepancies are found between ISAT and acceptance tests (AT). C. CONSULTANT RESPONSIBILITIES Consultant Audit and Review Process: Prior to subject to an audit or review by Caltrans' organizations, or the federal government, D. CITY RESPONSIBILITIES awarding the contract, the selected Consultant shall be Audits or Investigations (A&I), additional state audit 1. Furnish construction plans and specifications to the consultant. 2, Coordinate with the contractor regarding work schedule and notify the consultant 24 hours in advance for the required inspections and tests. E. SPECIAL REQUIREMENTS This agreement may be funded, in part, through Federal and Measure M2, therefore requiring compliance with all requirements of Caltrans, OCTA and/or the U.S. Department of Housing and Urban Development, Community Development Block Grant Program and as such is subject to the conditions of the Section 3 Contract Clause. Proposer shall comply with all requirements as they pertain to the use of these funds; refer to Appendix Attachment 5. The following forms in the Appendix (Attachment 5) must be completed in their entirety and submitted With your proposal: • LAPM Exhibit 10-H: Fee Proposal • LAPM Exhibit 10-I: Notice to Proposers, DBE Information • LAPM Exhibit 10-K: Consultant Certification of Contract Costs & Financial management system • LAPM Exhibit 10-0L: Consultant Proposal DBE Commitment IT SHALL BE THE RESPONSPILITY OF THE CONSULTANT TO VERIFY THAT THE LATEST VERSION OF THESE DOCUMENTS IS USED IN THE PROPOSAL. LATEST FORMS CAN BE FOUND CALTANS WEBSITE, CHAPTER 10: w�uw,riot.ctt, rrw/hg/L,pcnll'ro *ra�r�s/IamtCFi 10,htrn If the project will be financed, in part, by federal funds all services rendered shall meet all required federal requirements included in this request for proposal. Consultants are advised that, as required by federal law, the City of Santa Ana is implementing the new Race Conscious Disadvantaged Business Enterprise (DBE) Program. The DBE goal for this contract is 6%, Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or their designee on an as -needed basis. The Consultants shall be thoroughly familiar with the Scope of Page A I-4 25N-99 Work prior to submitting a response to this Request 'for Proposal (RFP). • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant must have experience with State and Federal funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • The Consultant shalt carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant has total responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness o'f such items remains solely that ofthe Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub -consultants. The Consultant shall review all work performed by its sub -consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan (QCP) in effect during the entire time work is being performed under the Agreement. The QCP shall establish a process whereby work products are independently checked, corrected and back checked. All projects related correspondences and documents should be maintained and bound in appropriate project files. Additionally, all electronic files shall conform to the City's rile naming systern. The consultant shall submit their QCP as part ofthe response to this RFP. • The Consultant shall diligently wort: on each assignment and complete each task in accordance with the schedule and accommodate the City's needs. • The Consultant's work will be subject to inspection and audit by City, County, State and Federal representatives. • Project files including copies of all correspondences, reports, documents, and electronic files shah be submitted to the City when requested and electronically updated monthly. • All work, including reports, analysis, data, and intellectual properties developed during the life ofthe Agreement shalt become the properties of the City. • The Consultant will receive written notification or the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. • This agreement is subject to compliance, monitoring and enforcement by the State of California Department of Industrial Relations. Consultants are required to inform themselves fully of the conditions relating to labor under which the wort: will be performed. In accordance with the California State Labor Code, prevailing wage rates apply per the following link. IitC110.11trnt City of Santa Ana RFP 15-D55 Page At-5 25N-100 EXHIBIT B COMPENSATION Fee Proposal including hourly rates (from Consultant Proposal) The rates and unit costs shown on ATTACHMENT 4, FEE PROPOSAL will be used to establish cost for any Task -Orders. The City does not guarantee the quantity of the work to be performed by the Consultant. The consultant shall be paid for the actual services provided for the project according to the proposed hourly rates and unit costs. 25N-101 Appendix ATTACHMENT 4 ++ESCHEDULE GEOTECHNICAL. SPECIAL INSPECTION, & MATERIAL TESTING ITEM ESTIMATED QUANTITY UNIT HOURLY RATE( UNIT COST* ESTIMATED COST Soil Inspection 1,000 Hours $83.00 $83,000.00 Concrete Inspection 1,500 Hours $83.00 $124,500.00 Masonry Inspection 800 Hours $83.00 $66,400.00 Reinforcing Steel Inspection 1,200 Hours $83.00 $99,600.00 Asphalt Concrete Inspection 500 Hours $83.00 $41,500.00 6" Concrete Cylinder 400 Units $25.00 $10,000.00 2x4 Mortar Sample 200 Units $25.00 $5,000,00 3x3x6 Grout Sample 200 Units $25.00 $5,000.00 Masonry Prisms 150 Ilnits $85.00 $12,750.00 Ultrasonic Testing of Steel Connectors 50 Each * $89.00 $4,450.00 Post Tension Reinforcing Inspection 200 Hours $83.00 $16,600.00 Post Tension Concrete Inspection 200 Hours $83,00 $16,600.00 Structural Steel Inspection 100 Hours $83.00 $8,300.00 Connection Solt Torque Testing 100 Each $83.00 $8,300.00 Precast Concrete 350 Hours $83.00 $29,050.00 Deputy Inspection 100 Hours $83.00 $8,300.00 Mechanical Inspection 100 Hours $83.00 $8,300.00 Plumbing Inspection 100 Hours $83.00 $8,300.00 ElectricalInspection 100 Hours $83.00 $8,300.00 *Assume 4 tests minimum per site visit. $564,250,00 TOTAL ESTIMATED COST $ Page 2 of 2 City of Santa Ana RFP 15-055 Page A4-1 25N-102 Appendix ATTACHMENT 4 FEE SCHEDULE (CONTINUED) GEOTECHNICAL, SPECIAL INSPECTION, & MATERIAL TESTING Firm: Ninyo & Moore Geotechnical and Environmental Sciences Consultants PROPOSED NOT -TO -EXCEED COST: $564,250.00 Address; 475 Goddard, Suite 200 Irvine, California 92618 Name IZurt S. Yoshi! Title Principal Engineer (Print) Signature Date 02/24/2016' - *All Privileging hourly rates and unit costs shall include markups and the cost of traveling, vehicle, equipment, clerical service and typed reports. City of Santa Ana RFP 15-055 Page A4-2 25N-103 EXHIBIT C CERTIFICATIONS C-1 through C-3 25N-104 I 0 �T Appendix ATTACHMENT 3-1: NON -COLLUSION AFFIDAVIT CERTIIFICATIONS GROTECHNICAL, SPECIAL INSPECTION, & MATERIAL TESTING NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and ty 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 riot 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, mid will not pay, any fee to any corporation, partnership, company association, organr7ation, bid depository, or to any member or agent thereof to effectuate a collusive or sham,bid. . Note: The above Non -collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non -collusion Affidavit. BIDDERS are cautioned that making a false certificationmay,subject hecertifierto criminal prosecution. Signed State of California County of Orange Subscribed and sworn to (or affirmed) before me on this S h day of r 20 j}, by t rfi S, yo a i7 ' proved to me on the basis of satisfactory evidence to be the person(s) who appe�efore me, X / jN(Zt'4 /11ff o r-y Public Signature Commisslon rA 2133331 Notary Puluic ^ Oolifornla orsnoe County Notary Public Seal City of Santa Ana RFP 15-055 Page A3-1 J 25N-105 I �I 0 Appendix —� ATTACIEME,NT 3-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS _^ GEOTECHNICAL, SPECIAL INSPECTION, & MATERIAL TESTING 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 mhking or entering into this transaction imposed by Section 1352, Title 31, U. S, Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Ninyo & Moore Geotechnical and Environmental Sciences Consultants Signed and Printed Name: Title Principal Engineer Date January 27, 2016 Kurt S.'Yoshii e City of Santa Ana RFP 15-055 Page A3-2 25N-106 Appendix ATTACHMENT 3-3; NON-DISCRIMINATION CERTIi+ICATION CERTIFICATIONS GEOTECHNICAL, SPECIAL INSPECTION, & MATERIAL TESTING 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. The 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 coinply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 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 September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the City of Santa Ana RFP f5.055 Page A3-3 25N-107 IA r�I 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 sub -consultant 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 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: ^ Title: Principal Engineer Firm: Ninyo & Moore Date: January27, 2016 City of Santa Ana RFP 15.055 � � .,_ _ �' Page A3-4 25N-108 EXHIBIT D ADDITIONAL PROVISIONS 25N-109 mla 0 0 .. a µ � a w V Io o a b IF /fir. e � O F¢' o N o o U o '„ tWi! 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TVJ � F a }"nN � h➢ ro H TJ O N N N V O U 6 •+ hl f•1 V irl VJ t` W SCHEDULE OF FEES FOR LABORATORY TESTING Laboratory Test, Test Designation, and Price Per Test Soils Concrete Atlerberg Limits, D 4318, CT 204..............................................$ 145 Cement Analysis Chemical and Physical, C 109............. .....,......,,....$ 1,650 California Bearing Ratio (CBR), D 1883....................................$ 440 Compression Tests, 6x12 Cylinder, C 39..................................... ....,$ 22 Chloride and Sulate Content, CT 417 & CT 422................... ...$ 135 Concrete Mix Design Review, Job Spec ..................,............. .....$ 140 Consolidation, D2435, CT 219................................................$ 275 Concrete Mix Design, per Trial Balch, 6cylinder, ACI....... ,..... .........$ 750 Consolidation — Time Rate, D2435, OT219 ....................1.,...$ 70 Concrete Cores, Compression (excludes sampling), C 42..... ,......... ,$ 55 Direct Shear — Remolded, D3080............ ..... ...........................$ 290 Drying Shrinkage,C 157...................... $ 250 Direct Shear — Undisturbed, D3080......,•....•..•.....................$ 250 Flexural Test, 078....... ....... .... ........................ ,... ...... ,..... .,....... $ 50 DuralIndex, CT229... ........................ ..................... ........... if 150 Flexural Test, C293..... ,............ ,.... ,,..... .... ...,..... ............... .................$ 55 ansion index, D 4829, UBC ral $ 50 Expansion Potential (Method A 1D 4546...... �...........................$ p ( ) 145 Gun to/Shofcres, Panels, 3 cut cores per panel and test, ACI.........$ 250 Expensive Pressure (Method $ 145 Jobste Testing Laboratory Quote Geol'at is Tensile and Elongation Test, D 4632..................... $ 165 Lightweight Concrete FIII Compressi on,C495............•.................,...$ 40 Hydraulic Conductivity, ...............................................�.$ Y Y 3b0 Petrographic Analysis,C858..........,...............,..........,....................,...$ 1,100 Hydrometer er Anal sls,,D5084T203................................_... Y Y ..$ 190 Splitting Tensile Strength, .........................................................$ 80 Moisture, Ash, & Organic Matter of Peat/Organic Soils ............ $ 110 Moisture Only, D2216, CT 226..................."I....,............•........$ 30 Moisture and Density, D2937...................................................$ 39 CH, 2464, C'f420 .............................. Permeability, C24343 $ 230 Reinforcing and Structural Steel and ............... _.._.................... ...$ H and Resistivity, 140 Fireproofing Density Test, UBC 7-6 ,......................•..... _ ................... 55 Proctor Density D 1557, D 098, CT 216, &.."" ...... $ 180 Hardness Test, Rockwell, A-371... ,........ ..........................................$ 50 AASHTO T-160 (Rock corrections add $80) High Strength Bolt Nut & Washer Conformance, set, A-325.............$ 120 R-value, D 2844, CT 301.... ............. I .... .......,,.,.......•...4..........., $ 250 Mechanically Spliced Reinforcing Tensile Test, ACI................ ,......... $ 95 Sand Equivalent D 2419. CT 217............................ $ 90 Pre -Stress Shand(7 wire),A416....... ,,........ ,... 140 Sieve Analysis, D422, ........ ,..... ...........................$$'90 Cherm "'$ 20 1so 0WCT202 T22 Sieve Analysis, 200 Wash, D N40, CT 2b2.......�..................... Reinfolrcing Tensile or Bed up to No. 11,A615&A706., �.......�.....$ 50 Specific Gravity, D 854..................... ....... ........................ .......... $ 90 Structural Steel Tensile Test: Up to 200,0b01bs. ax.r $ 70 Trio iall Shear, C.U., w peso pressure, D 4767, T 2297 per pt..$ P p� 330 Welded Reinforcing Teni Test: Up to No. 11 bars, ACI ............._.$ 55 Triaial Shear, C.U.,w/o pore pressure, D 4767, T 2297 per pi$ 190 TraUnconfined 100 Concrete Asphalt Concrete D2166,T208...............�.....,..........$ Compression, D $ 140 Asphalt Mix Caltrans................. ............. 2,150 Wax Density, D 188.........................................�....._....._...,...$ 90 Asphalt IExtraction, DesliggnsRevielw, including Gradation, D217...,�........................$ ll 2, CT310.............$ 215 Roofing Film Stripping, CT 301,1._.... ................ ..... ......... .................. ........$ 100 Built-up Reefing, cut-outsamples,D2629.•....... 165 Hveem Stability and Unit Well CTM orASTM, CT 366.......... $ 195 Roofing. Materials Analysis, D2829........................................$ 600 Marshall Stability, Flow and Unit Weight T-245,.......... ............ ..........$ 215 Robing Tile Absorption, (set of 5), UBC 15-5.....,.......,........,.$ 190 Maximum Theoretical Unit Weight, D 2041................................ _,..$ 120 Roofing Tile Strength Test, (sot of 5), UBC 15.5 $ 190 Swell, CT 305..... ....... .................. ............ ,................. ......................... $ 1$5 Unit Weight sample or core. D 2726, CT 308.....................................$ 90 Millr,r B ckAbsor tion,24-hcur submersied,067 ............................$ P 45 Aggregates Brick Absorption, 5-hour boiling, C 67,............. •.......................$ 55 Absorption, Coarse, C 127.............. ,....,.........,..................$ 35 Brick Absorption, 7-day, C 67............. .�............. .... . �..... ........ ...$ Absorption, 35 Brick Compression Test, C67............ ......... ........._................... 45 Clay Lumps Find Enable Particles, C 142..........,.......,.......,.............$ .,..,.......................,..$ 1D0 Brick Efflorescence, C 67...........................................................$ 45 Cleanness Value, CT 227 .................. 120 Brick Modulus of Rupture, C67.............................................,$ 40 Crushed Particles, CT 205..... ,......... ,........ ............... ....... .,....... .......... 11 140 Brick Moisture as received, C67............ ._........ .... ...,....... ... $ 35 Durability, Coarse, CT 229...... .... ,..,............. ...,............................... ,..$ 130 67 BrIckCoefficient, .... .................. .......... .....$ 30 1180 Test,.,9 ConcSaturation $ 60 0635........ ........... ...............�..$ LosAbrasion, C 131 or C ...87 Loatar sAing Concrete Block Conformance Package, C 90.1.QO................. 460 C..... aggregate, 7....I.....................�..$ maKs properties offing ..............................$ 275 275 Concrete Block Linear 81hdnkage,C426... ...........................$ 120 Organic Impurities, 040....... ,................ ....................,.....................$ 55 Concrete Block Unit Weight and Absorption, C 140.................$ 55 Potential Reactivity of Aggregate (Chemical Method), C 259......... ,..$ 390 CoreCompression or Bond, CA Code ......-18...........5 55 Equivalent,Sand ..•.•..�............... $ 90 rismShearc UBC Masonry Grou„3x3x6 dam compression, UBC 21-18...........$ Masonry Grout, 30 se Aggregate, Coarse re a e, gga ..• -$ 105 Mason Mortar, 2x4 cylinder compression, UBC 21-16..........$ 30Analysis,(including) ateC1wash C 136..I...I- Sieve Fine ��a 160 Masonry Prism, half size, compression, UBC 21-i L................$ p 110 Sodium Sulfate (per size fraction), C 68...... Sulfa (P „ ..$ 175 Coarse, C127.........fraction),.....38.... Specific ............. p ryB Coarse, •��$ 75 Specific Gravity, .................. .� pry...•......................... 86 Special preparation of standard test specimens will be charged at the technician's hourly rate. Ninye & Moore is accredited to perform the AASHTO equivalent of many ASTM lest procedures 25N-114 u L o �x 0. a+ a U w U errdz F o :a 4 O F � U II II II C U E' e°a eWi, 4 ° o c 0 Q a U p� + + z� U � � E e O G � e a rn N s te p U U Q d e y u i e W V c FA M 4 N a a z z z gee o0 oP o '�zo.o o 0 >. °0 b Yea $ ,e °o 2s evo> as p g 6 0 0& 0 0 o O S O O O o O O O O P O O P O O S S O O O n O W T C � a N V C y r P � V V V' V V 4l V V V v1 n h m M tM�f fMh M M y yM db' V V OO � Iy1 r .� e H 69 69 W 69 41 Yi fR 69 69 Vr fA Vi Yi Vi Yf Yf VV W 59 e9 Yi Yf 69 bi Vf i9 6N9 Y, Vi fA a= a o 0 0 s 0 wFM�0000000000�aoa�000�o�a�a�o�o�aa000� a 0 0 0 0 o o 0 0 0 0 0 0 0 o P o 0 0 0 0 0 0 0 0 o a m a a m rn o. a rn ,C m m m m m rn rn rn o. m rn rn rn rn m rn a rn m m rn a o. c m n s 0 0 0 CJ SJ Q O O O O O O O O O O O O O O O O O O- O O C- 0 0 0 O O G� N N N r F1 N h` N ✓; N r fY P N 1`^ r m W N T O� C� . 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N FI N N nl N N N� •- N N n �' m O M O •p h V1 m U 0 •O m m O P M P O• N � M O [y n In N M Q „; Q Q< Q T O- N N- OV P O ry M K 4 MNl V�1 z z Z z z Z 6 O N N DI .52 - q w 0 ^ � N P O (` P •O ��pp �p F• V1 M1 b y P p V1 t, h M1� m n W V d VI M dJ M O O b^ d' R m f9 LFI NI 64 fR Vi fR 69 W 69 69 fA 69 W Va 69 69 H M 69 fA �tl w � U •f`+. .0 y o h F n E E g m U rn 25N-116 :L. ,an [ .As dsaa®re F'raeeelum Xboaul 'BIMBIT 10.1 ofli to Fropaurn DBE hafa••rma dan ES,' 5111'0)INOTtfETOPRd1Pfu5"ETs•5LANEdl'rTOEMTIOi Tlie,Avezaayhas eitablurheda'bEEgaa!_for tIrs'Cwtuuvlof 19 OR The Agency lams not a soal fur duz Contract. However, prolmees me encouuragzd, to obiazu DBF pmrtica,pation fear thir, conau't. I. TERMS ASUSED INTHISDOCUliENT • The to ua "LYi,adrairaaged SI su esa'£nterpreiae" or" D'HE" nseam a, for-protii mug bmritesm uoacerat •ativuued,and, �nt€n11e,17,y- x rociail,y auui eroat�annicatt,y shaaflunma[tz��ea'l,ge€;t�sssfaD ae de�vnetl smm, TuP:Ve+4�s, Code-aaf'Federa! Rczu` tiom- (t:;FFi, Pant 26.5. • The term "Agreement' also caxemns `Irznuract." • Ageney" also meaan•t the lace l eank enter ig into f! c coatraM vui hhe C'an# net4x v Coi tn. • Theteun'' matt3usiraes," SB''"iaarsdebted r!' CP'R_"G.fS. f,AV)TI1d3CITI,:ANDRE4PCh:4'z,IBILITY A DBEs and, othea swill. baisirwite, a re.stantngtyreucolyrages! to pattscipate in tile, perfarminceiof C'nnrdrectn bunted in wvhole m m pa e o-1 ldi federl f ndt, (See 41 CPR 26, "PmAk- patient Ly Disadvantaged Eutautesu Enteipriseu. to Depu nits l off"ranspc adlrma F.Laineuai. A.rmaatamu"e FTugrara'' The Ekgmarleint nuuunt emwe Ilut DBE', and otlluer nemall Imsinesse haw flheopt orni ty to pail cipate-s"u The performance O,Nle wort that u, &s eutb-yeet of Hairs 40hevatiara end sbnula Take 0 Becell"t), mid lea M- abte: smj* fax ti,in mssiannee The ,pmpooe r mist act 4sriminmroe on the k ncW of,raes, cobx, national o'ffigin. ar iex in ttia ,t%var•d and p er^fasmence of oubcomrartc. B. Pm�,ratxamt &te ativarctraeuad t<i r¢se aesu9cesmt"fer�rai L,y #iawal3aal iautitatttams ovrxaedanacl cranfrmi3ad by L'wB' 'Fiu.. 3, SCiBhII55ICun+t�FEtE4ECtii'4'I,EyI:�TSCu,'f S4tlr,ere dt a D�Egam3 rrtitlu cc,,bnact Eshdbit 1�Crl E7cuss'mt��iuv[Prolnvsmd��'E f]tartsrarPnaussbtvz?�tbe tnvutuder,9 ion the lteaytuefst>fasFtcxlmo.ml. hw o¢itcea ;tor a pro1im:� r der be a�asaaiwleeuf me.lxeaantEile ariel rr�spommm�ive. tlh+s praopom in itul*m goad trine efforO To mieet time goal erdtabi shed, fbz the contact, If the pal 'i, not mat, the proposerrtmsmt c1mu nican a.o`e.pkIme: good faith eifuata. All DBE participatiom will b-rmnnieii tawrauda the conttw"et lama; theieirue, ali DEE mart#o6prmaaorm stlialt be collected rmit itpeul, �EyEbit t 0-02, C'ona taam, mml be included. vAth the'F'equent fou ?ropuaaI 'Even if I'la DBEparticipoti,on "a+ h m d ret€ ni fl3eFosuL 1, DBE PARTICI4'A`110N C.RENERiL JENF'C3RMATIO it is the ,rropzmamr s be Bdlyitdorm�d ieprttuig the y tueuue rs of 49 CIR" Fat 2b, nod the Depaartcmm nf,i Lift£ }I - am da r, raed puuumt t^ thr ia-ulgfio na. Pa timlar artention b di€ec"ted to the rallreviut,g: A A DBE uicrat be a xltnl": tiirl,aaie,o Strut &fmued ptn uatut to 13 CFR:121. amid be ceni.5od ttmm:rrugli file t"a9 faniim Cstsitiect Ceniilcation no -pan an (CU C F`). 1,FP 13-01 pap 1 a«r 3 -U17 4i'-913 --_�,...,,.�-_ _— men ............................................ . . .. ........................................... .............a_.°mv'--------...._.._...,..,._.....,..,,____,___.__..........._.._.___,_,,. _...__..._....._..._.. City of Santa Ana RFP 15-055 Page A5.6 25N-117 L+xeawf ?ias9s9,aaxca;Pr°aroilr9aart },3:nrnnl EXE3BIT 104 Notize to'Proposev DESE P ormidox B. A ceftifiecI DEEE, arl,, part r;M,ate as a prime coustil4ant, subcmua dtarit J obir ve riusre panareT, arc I velldol of xnnaterial. nc nupp:ne , ar na a o-ockuxg cornc'arrr C. .A, DBE proposer not uropo t g a; a yetini verin ra with a non -DBE, swill be resgruiaed to drelnnaervt one or a C:arrrlrhra4iea of ilia follor,°aerg: 1. "file' propers,er is s DEE andwill naaet fille goal by perursnfng+7tork with its evil forces, 2 The innee, t the: r it through work performed by'DBE and ccu srrfi uts„ swpplien, or tru;cltiaxk caoapa the". 3. I e Isrrc.por.en-prrr•rptopasurp,nsadetidegsutegoodfaithedd`avw8odneet hmgoal. D_ A DB'E joi.rxd venlu re izarfrru t4t,-,tt be uespanraible for specificconTICl rm chmvflv defiztad Paruarss'dsereo: Peelrz _a het r+t nreaw; as ally Pet"oma ag, nrtrro n and czsprercu a mg tlhe wort -with its ixwtsa,faeces. Tire ])BE -cis:, vexnnre, pannier ueuat shaze vs the caapatale©mtzsbufxam, coritrcd, o�tx €axL, anskc and profiv, of tile jo4 t r rflzauurte cornnaen:aau'a:te rwrth itsn owvnexslvp biow.'5t. E. a DIA'P nnust perLronn s a;rn uze:czalfv ijst tl func6oa pursnarat to 49 CPR 23.5'5, drat ii, I DB£ firin unurat b+e iespenarbPe fo;r die execuliou of a :bntiau t eleale a of the work, mud anus car.;y our its reapoos:rbil'r:p, b; actnao:ll; terfoulliag, urinagi.ag and aq)Nvieing t1wwrork. F. The j)e'p+oaer 51loff its! utl% one aibrouguitant for each pa'rticii of %ork as deffliedit' ibesr RIVO l and all DBE subcruttultannts lkledisr the lsf*ucali: proposal5iat of munkeattartiltlanus, C..Aprunecmz»rdrnntwrix,lr,scani8ie¢jDEEuaeligible aotla:unall ofthe. work usth.-Contrn,ct towardthe DBP pantic:ipprdinn exag.0 that portion of the. rowarh to be perfarnnad by, on-CfBE' azdr aau;mnitwuts.. B:E?rUinFit�P'i A- Tlse CfLICa z aan.bave nc]udes the cerufded DRS1 fsmau all carmif ill, Ueucies PartiL^ipa'larrg tea the C[Ic:,F. 2f' You behe'vea fine is vetrri,rieal that usmaot beloraae l one the datrblase P16AM cG Pact the CM'fiamu Moe of Cestd"nr^a:ts'ooa toll, ne:e ruanix- 1-356-.8'1.06'345 far Itmeauce. B,: Access the C'UC F hrlbl"e frzrar grid Ecotioeua nprpnrbzrrity-web site at: `3'E.:'cvv,�srulat;cn;Qe3r•'LzfltbePt. 1. Click en flier lull, nn fsza left tnenaa tdtlei Df vxN,r u agod Br14x3Proas EwrYrr mlisu; 2. f'ficfc nn Pon:;h tar tr L7ESE. Pfr r Vitrh:, 3. Chc"konAc r;rnFinrrrz;locsanedoil the fin tfine fit file, center Ofdie page . 5'eearltes calu be perf©nne d by crae sox more criteria_ Follows insalickionr5 one the screen. 6, vATEFaALS UR.SrlPFLIES. F'VRCc iAHD F•R+574S'EuEES.rCr1:MTF'r'aa'ARDS'THE ➢ar COAL INNER. THE FOH..irJ1a'L"'fr: CONDMON5 A. If 61wepieritlsDTset;INliesale obtained frowna:DBE rr,. wrPar<.Ruutea eoranat100peiKce¢rtoftlue.fls:1o�fthe araterislx or n uppl'ies. A DBE uvvuff sbtree i> a %n ;9uat ogexates ar mmitaiva tt tEicto y or eezmblislnuseut that pmodneeo an Ilia prenv. ss Or, ructP.,ria1:,, rupptiaa articles. or ecWltiueut required udder five. Contract andof fhe genervS cheruch s r'e5crihed by tltesprecificateoua. B. If the araater•ial va uppvl.ies pmrchaned rflonr a DIES regular dealer',. covuat 60 percent of Idle cost of the nxratenah or ,ul plies ,A. ZtBE aegrular alwales is 6 t]arav mist MUM, evpe€atea or naaeutarr€ns a stone, warehouse, or othe€eradh"14trinenE ufr which the rnatenitl:n,• rgojilue,. articles Qv eyrtipmenr Of the gZnanaV charrzetea desenbed b,y the epscu' t anion „lid xeyuased tirndes alre 0 naatraux are bor*t kept in stack, and Mgula xly sold or leaseai to the pubfic un the v5twl caruae of burtine €. To be. m DBE aegiAtir dealer, the firer nnrmt be all eotabl&zdred re lnr rnrsnrre;,'tkiat eprgnges, xi hs lirimi:pi busiarew air i imsler iO own name, in the Page !of 3 LPP 1341 Nfq 8a:41.3 .,_,__ "'--._.._.._........... -. +^�_..........................� �..,..,,, Via'±..._.....,._....,. . "-------__..-_......._!`4'�,ra�um . ----..._.__.,...mist.-'----..._...,_,..... City of Santa Ana RFP 15-055 Pag a A5-7 25N-118 i,orn�i.4aal=tazeea-PemeaeVur�m ?;Cnyr u;ul E.XHBIT 10.:1 Naair.± a<. Pralv.asz.a TtF3E Sstd"a'ra�atia:ty lAtcr„laa,se and ai:aln or ease ipf a",e l'meBucts Sn g intion. A pemn may be a DBE r egalar dealer ill smeln bnt1R ifevas as petrole ml Ilu duct;,. rte+l, cement; ffvl ret, doaae or aialahaaltvvaRhocrt owsrim& opre. rat@q. or rmaiankdnm ig apilace of lrtu is crs prwlded in this. szad,arn, C. If. ilaep,erss*nl batlr o a ns amid s pnwes diuEnbution eryaup urarmt for 6e prodsacts,amya angagVeurxzratcmg of regsrlaa dwaflers' ov ar egtupament flmll be, by e lung term ➢east+ agneemuit mid not an ad iron or gseeamxart-b'X- eemFnE tun rs, P,adager% brol em, msaottfaamecw' crineeewtak sa, or otherpersons 3vhe atra:n;ge or es,pedrae 'muln.ncnoats m, not ➢ BE red; im dealarmwifti die mraaia ing ofthis aectuam.. Lt, ltadaeea%aGs ar srtppdaen purs:lusce,;l t"A'ona, a LSE, atihichr ea neetlzer a attaaua£fia�teuxr mars rega�lar deapzr, Mvu1t fire bmited tux the eCritre ma cull c i fees or co marw4sions charged for aasintaunce liar the par acureatae,m of the maawrials grad supplies, or fee, ca traa sportafion chaoea for due delivery of materials or appliesreq%ured taw the job site, prop idaa thw to are xerisonaable aatti riot exesosirre as cormpahaeal with fees ci=geal for sarhu (nr cerviwms. Rmp 3 of LPT 1$-01 ➢ifs&: 8, 013 City of Santa Ana RFP 15.055 Page A5-8 25N-119 25N-120 Load ilex! 0aurr PrWcederes 1;Nnmint EXHIBtT 10-:I fonvu.ldruma Cordfir:afian of C'mrrtrmrt C uta and Fialmxrcxml SyOern E`s"I-LIHII' 1I1-F. t:I�°<f1L"LT'�.x+-T 4::gF'Z'IiiC'hTd'Ct",'ti OF C;,ON-IIi C.T C:,os`i$ Ah-G FEq,; NCIAF Cvote: C"ostRtaPawnbinU,Iftwchrttowi'of girl'-.OB13-0-- Safe F1,au�d rar'Ttrait ter Cosh �n'�re,dair �C:`entorssfrun C,oeOtrnrFsif tr�d mS ,t ja:ro;wxmn^ dot, en, go, .?tri T.i+enVFr'n�amar�k2tF.:9_C?.SW17L,f�_fl'B..VrHar in favtw rfj'Pid5 farratJ n_ e:cdiaiadon, of Ftnmd I ndk 6o Comt,; C`atastultant FirnsNaure: Ninyo & Moore Geotechnical & Environmental Sciences Consultants bu6zectCmpt Pate; 1.66% . pat f„ar:a1.prt7sal 1/l/2015 - 12/31/2015 rFiwaa pvixod evuw:reu' for Ir'laect Coot R:a'ta rd;�v4oped {;trot the contl,et period), L=I rzovesrtrueat City of Santa Ana �G•aumtat ;Wrnshbea: 15-055 Peoject`fturitrrr: TBD i, ttteu d r.siguetl. cmrtit,;hat [twee revieswed the prnpnaal Sn amtabli"A Canal bxbrw tmst nmtaa',foF the Encui lreriod as vpeoRnd, abov e arrd tot ? bast of my Imowledmanad belief: All oncta vrncluwded ws dins prolawsal w eriab l ah finial hI&Cct C_"o,at pate.. ate m:Ao=ble in necw'dnaI0 jtb ik, cost prinraipleu ad"iasm Reptationa (FAR) of Tine 4,8t Code of Federal Re;a rla.tran,s r CFF,), Ptn 31., T1ja proposa9does nut it rime. au u*sob Much wre espamAsr unallowable'onnder the e,�od p a;wiploa of ,tile FAR d 48 CFR Part 31. n`,1l itnvnya �u rmnt�rinl'daausa�tiaans cr e,�rsia ttaai trmare arcrrar�at k2i%a ttsnp tut Mira" o owvmr�lri� ne�aui�ntfora, and Indirect Cast Rates lr,r¢?o been do:ImA or, of tlre, d:nle of propogol prqramtiors r+atexl abnule., 0,prifluAnuofFinancial S"'rteran:, - 1, t6ne zmrSes,igi�d, eemuP1 taa P]te, kt?nt +:# n'ry 0.maxtdecfseaaetl'bplief tHaaC oue[ Fflssn nciaE CS:4aaas�erner+d C}rahem rmezla the tandaeds for fnocnfl reponing, uccrimfing mcoid% internal Wild budget camtrol a;n set pordi in the FAXof Villa, d9, CFR., Part 18.20 to tyre estew appbmble to i ualultmt. C'erNn1°reaa,ti-0nof Dafliu a:uaOr fat t11,A.&E L'o trsaetst f., ti'ae,tulder,tgraed, ceaft#r That &, Ip,a ottenAa:r i€o]k.r allwant ofa tt A&E con€r'mog amuded by Latta more C RItfornia docent agency to t1u. fa'>isa as tthin µlye last iltrae (3) calendar yealo fbr dl StatteDOT and' Locol.,a!,Smaeciea ua. $ 7,000,000 ate tine uxun1,e2 of strikes in which t:ae fixnn does iasaiale*,, is 6 C'e,edflirnNon ofD tect Corr,;: I.'tFrm nmr.`rersl,ped, cer tiArto dla ate it of nry l atowleel,ge and beUef dhat all cliseot cwt t idetatit"ied on the arast pl'opsaal(.�) inthit col tract au'e �oraanable, ai]namble and:atlaratb6e to the oa ntractin gcoordaur¢m with the, cost au ncal Jes f"t1t 'P Qt Ti'kl , CEL. f eut51. A llorvnble &Tect cros4d No a Govrenumeart coantrad *bats lye: LPP M01 City of Santa Ana RFP 15-055 Page A5-9 25N-121 page 1 of 5 ,Faatar� 1!4, ZOAF, LocA A; si ;tauce EXHIBIT 10-% 1; Owmltlaa C'arliflrnf c a or Contract 'costs mead E4nazueuaJ $1 ataaru I. Cciwlfm,rt with Genes nlla A -'elrtedAcoawuting pra-wiples (GAAE) onA slntdwds promulgated by the Cogs Accounting c,,nn, cards ) wrd (%vhen aplskoblo). 2, Complimt with Shu 8va= of the mnmtract and b itncaureel spernficmliy for the centram, 1 Not psalul%ted b4 23 r.ER.. r l.aptea 1.. Part 172 — AmLnrnnta¢a man of Ensnrtming maxl I?emp RiEl atcd ;Se wig Conmi,. h to doe e„x=l requirements firen'ppfic:able to Conrsrallant. P,19cc,tuasxast se ;plalaedcatt.iatear8l nuiYatrl}'tnalrcnn+r cts, Ailati nunnriatadok7•af artpluaztcensumt retalned rl dke lno{eed 6"teo, 5wlzcas ulcauta(YPa'ppbcnblei Pivpwd Coutmcz Annomn. qr,amc,:atuatta>e:czetlifoi.czl€contz:nct): $ 84,637,50 prunne Cousill(flats (if mppinr)Mlei PYnporsed3wraiC:onma, , mcru;';aran cat, eotsxered,rfaoa•cslEc uxxn ¢k 564,250.00 la me, hot all serbeonsntd6asnti owl propooed snmbroatroct dollm: amwmts(attach zdamond page if m cessa ")a Inspection Services Inc, CanntuhmuCe. tify^ime(NantNxsnmamlTide): Name: Tamera Richards Title. Controller �Cai lultrtntC'rerhfi�.reeruu�t,;�,n,€arr�s *x:; Dale Df Gomtfictikm 4rni did %A- r}`,t: ComultmS C'micaca ii.rfaenr,mtion. 84,637.50 p March 8, 2016 Email: tichards@nittyoandmoore.com plaQue Diumber; 858/576.1000 "An i1xU'a khW executi ^e or fi nurm, . a l afficea a", the comulunt" i o¢ganszaation at a Iml no lower than a time lamidemt nrChi-fFinancial tr, fccr urequivaleut nvbohnamath", to repeemitt..1v financ•salinFasauun;Om tttsld._=ad, to estnblirb the Indiay :r>t Rate propoW submiftealarr the contract. Hoc pra,7d EU 1))/D 'u.0 °s,ebYra>ixudi<m,r must mmpo-wart?4uiF;OFCan A-amiplW; rvxnumed'rrx4d CIR, FaH St. 73 e!FTd3er,x 13.7.AP7ayTiaflraroa. e*n 4uexe7turnx✓mumvasxAa eJ�aNkm'oa,PP,amd �rv^rn9ctJl,y,ausrprrs5pr$ng maxi d#a3ffm vx�iram'8xax^IdceG ms mprnry M IF;a emvtnxt. ✓-JirrMirm+yax+rd<nrar;Ztnrat3 ors}�nr•ttrc9%`arnn:aMrJuz�e5Y urrnpv3ammrarry.',fi,¢rraaxra aai4 sarud �"t�+xla 2o.da2dnmRkM�"aayiur IM Lur4d.a-ronq Avjatl Fbw. Triatreitutina:, ]1 Cha„iv' ai 2:vsan paa Qjo FjaS ,nIGmK 2j F;=zriwx�3 ax:Lac�t Ag:r•.°; �:ojax: Fis LFp 1F-Qt City of Santa Ana RFP 15-055 Page A5-10 25N-122 page 2 of 3 Jmnwrylid, 2016 Lmean Amfitmur:c ke'aver7um NIm:mm). zZlIdblt10-01 Consnl&muakroowlalDEECo mautmeud E".ITTIG:T 1 l-C.l i C CYA'si_'iT,1.s+'C' S'rtYlnGt�.�L DIIFc C; tl01sCaCtThSE7v'6 t: bxnIAprmng City of Santa .Ana 3, Pral�ro srslptjm, Geotechnical , c _ 2. Cantrart CUBE omgl', 1 and Materials TeJIT C Project, Locmim: Various e. Consufnarrte Name- 'Ninyo & Moore s. Prima csrGPW DEs: e 7. Desanpinn cN War, mrsim, ar l4ml als 3ayszlw Is, DBE' Cm7aillan Numtrsr R. UBE GcaaactlnkmnaBon 10DBE" aterials Testing and Inspection Service 39634 - CU;PC Inspection Services, Inc. ISI 1326 Border Avenue 15 orranoa, :a i orma Mr. Jeff Roe; (310) 755-3600 l,meal ymme;P'1ra V;+Fmrgolklxl tfi6a^Ccr;t[on IT,'Laati.:Apncy Cmrrk .l PYu',+bar, Pa4era[-A B P2ulaat ldwmh,cc: 11,. TOTAL. CLAWED OBEFPRTtCIPAWN 15% iK. ?rc mes Comm Ef{a1,§ivm Qate: IMPORTA6@t1. ldeM6' all 03El 9nrrsb'44mJrim*dftrr otecla, iL=94Aljrnci^nertifaa*taO DUE. merenuxbr, a Wfid axed hxfomxsaW am dtls'fumr �I wmpwN arw a:r 8.. !%gattliead, 0W..'WrIttrm omilmtu6 m of 4aah I:atpd DEE 1s rvn.iirvrl ( le4k 3/08/2016 2a.Lar,as Agency rlegrrsInt0n% e+;nantF: 2..ama, 12, Pra+pacts aignaYure mDaAe Ruth Dolecki 949/753-7070 awi s `lar: vatei 14, l:rep- s nanw T , iwiT�! e Business Development Manager I§, Louail P,94ra;y fGaprei°naat re's Till* 10, R!ePn r`'sntde, DI-1T lBL MQINr 01gind-Iaalw&d mdi cwnultm,(s Ipc.+=al M local boy. SPH'Ma ea:'. F%'In'S aks:16 udt u-na rflY§'aNarwQ fa arak'".. l!:ta'Mmate €errcGZ, For7fl7GtRI.aaMMCY j91616NbF;: DarT0001c),554- Z$.910 ar 4s rtwRWs L^9 °' YnA w"'I ",t 411, 1 in 14 eA "- s 14. :luiFr' :Jy ?413 City of Santa Ana RFP 15-056 Page A5-11 25N-123 25N-124 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: DONATION AGREEMENT WITH SANTA ANA XTREME SOFTBALL TO SUPPORT TWO SOFTBALL SCRIMMAGE GAMES (STRATEGIC PLAN NO. 5,4) CITY MANA ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Santa Ana Xtreme Softball for a one-time donation amount of $2,500, subject to nonsubstantive changes approved by the City Manager and the City Attorney. DISCUSSION On August 4, 2015, City Council adopted Resolution 2015-042 establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. This resolution and policy outlines the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Councilmember Tinajero recommends the appropriation of $2,500 to Santa Ana Xtreme Softball to support two softball scrimmage games that will occur on Sunday, May 1, 2016, and Sunday, May 22, 2016, in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 250-1 Donation Agreement with Santa Ana Xtreme Softball May 3, 2016 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the fiscal year 2015-16 General Non -Departmental account (01105015-62300). The $2,500 will be spent from Councilmember Sal Tinajero's appropriated amount for FY 2015-2016. APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: 1. Donation Request Form 2. Donation Agreement 250-2 City of Santa Ana Donation Request (Name: Mequivi De La Rosa '(,Address: 12618 West Alton Ave #B Icity, state, zip: !Santa Ana, CA 92704 jEmall: Ixtreme96@sbcglobal.net sbcglobal.net Name: Santa Ana Xtreme Softball City Manager's Office — M-31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 (714) 647-5200 Phone: �714-251.4518 (Fax: I Tax-Exem t Status: is .._.._ ..- _. p Is -your ur organization anon -profit or public tax-exempt organization as Select One: I defined under Section 501(c)(3) of the Internal Revenue Code? Yes ®No (If No, you will only qualify fore credit for Chi relatad costs for your request (i.e. permit fees, pf Yes, staff time, rental rates for facilities or equipment, eta,). Costs for City services very and If p n _®o G (� ®/� (approved, credit may or may not cover full cost of requested City services. (Tax ID it: 18 L J 97 V (City Services Credit (Amount Requested: I$ Date Needed 14/15/16 MayarlCouncilmember:ITinajere Olrect Payment Amount Requ lRequestetl: I$2500 (Event Date. I5/1 & 5/22 Et Time. 18:00am - 5:00 - Event pm ;Event Location:: Carl Thornton Park - 1801 West Segerstrom Ave, Santa Ana, CA 92704 lAddmss, City, State, Zip 'Host softball scrimmage games with Santa Ana Xtreme Softball teams vs other of etlI tionPurpose: (teams from the surrounding cities in Southern CA EventlPurposs: Event - (Keeping young female teenagers Involved Ina positive and constructive environment through playing softball, with an iuitimate goal of having these players continue thier softball carsers into college with the potential of having these players Community Benefit: (receive athletic and academic scholarships to help offset the expenses of college. Applicant Signature: L 4// va w A 1—'Oe" A&M - Date: %I h A Mall: City Manager's Ofloe—M-31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 02702 Email: donationrequest@santa-ana.org Fax: (714) 647-6964 Donation Request # DR Rwmr .r MtrNnr 0.1 Council Meeting Date. Eligibility Mat: YES i NO Approved Amount: City Manager Signature: Date: Revised 11/16/2016 250-4 CITY OF SANTA ANA DONATION AGREEMENT WITH SANTA ANA XTREME SOFTBALL PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on MAY 3, 2016 by and between the City of Santa Ana, a municipal corporation ("City") and SANTA ANA XTREME, SOFTBALL, a California 501(c)3 NON-PROFIT ORGANIZATION ("Recipient"), City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit, The City wishes to provide Recipient with funding to assist Recipient in HOSTING SOFTBALL SCRIMMAGE GAMES ("Community Benefit"). The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide funding. 2.2 Public Purpose. The City, by recommendation of COUNCILMEMBER SAL TINAJERO, believes there is a public purpose in supporting the Community Benefit because it will PROVIDE A POSITIVE AND CONSTRUCTIVE ENVIRONMENT FOR FEMALE YOUTH TO PLAY SOFTBALL. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3. TERiMS AND CONDITIONS 3.1 Use of Funds. The City has chosen to provide Recipient with a one-time payment of TWO THOUSAND, FIVE HUNDRED DOLLARS ($2,500) for two events, which are to be held on Sunday, May 1, 2016 and Sunday, May 22, 2016, because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement, Should Recipient fail to use the funds for such purpose or otherwise comply fully with the terms of this Agreement, City shall have the right to terminate this Agreement and demand the return of the funds pursuant to Section 3.2 below. 3.2 Tern; Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect unless and until terminated by the City. The City has the right to terminate this Agreement upon one day's notice, with or without cause. Should, the City tenninate this Agreement, it shall also have the right to demand the immediate return of all fiords provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10%) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.3 Waivers, Insurance or Other Obligations, For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and MbI CITY OF SANI'A ANA DONATION AGREEMENT Page 2 of 3 participant waiver/release protections. This right shall be on -going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered, against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided, Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification, This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements, The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. -- signatures on following page -- EXHIBIT 2 250-6 CITY OF SANTA ANA DONATION AGREEMENT Page 3 of 3 CITY OF SANTA ANA By: David Cavazos City Manager Attest: By: Maria D. Huizar Clerk of Council Approved as to Form: By:frL.t� J m M. Funk Assistant City Attorney SANTA ANA XTREME SOFTBALL a 501(c)3 NON-PROFIT ORGANIZATION By: _ Signature Name Title — fflTZ 250-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: DONATION AGREEMENT WITH ORANGE COUNTY CHILDREN'S THERAPEUTIC ARTS CENTER TO SUPPORT A CLASSICAL MUSIC PROGRAM (STRATEGIC PLAN NO. 5,4) CITY MANAG R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 15TIV100116AW91 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO Ia11:80R]LVAI NIV Authorize the City Manager and Clerk of the Council to execute an agreement with Orange County Children's Therapeutic ARTS Center for a one-time donation amount of $1,500, subject to nonsubstantive changes approved by the City Manager and the City Attorney. DISCUSSION On August 4, 2015, City Council adopted Resolution 2015-042 establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. This resolution and policy outlines the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Councilmember Amezcua recommends appropriation of $1,500 to Orange County Children's Therapeutic ARTS to support an event to be held on Friday, July 1, 2016 in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 25P-1 Donation Agreement with Orange County Children's Therapeutic ARTS Center May 3, 2016 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the fiscal year 2015-16 General Non -Departmental account (01105015-62300). The $1,500 will be spent from Councilmember Angelica Amezcua's appropriated amount for FY 2015-2016. APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: 1. Donation Request Form 2. Donation Agreement 25P-2 City of Santa Ana CIry 820 Civic Center Plaza g, Donation Request P.O. Box 1988 Santa Ana, CA 92702 �- (714) 647.5200 e . e 'Name Dr. Ana Jimenez -Ham! ifte: I Executive Director 1.4ddres�---� 5-- 2215 North Broadway c ti y, state, Zip: Santa Ana, CA 92706 phone: 1(714) 547-5468 Ext. 307 IEmair mail: ana@occtac.org � r(714) 564 - 9690 9 a Name: Orange County Children's Therapeutic ARTS Center Tax•Exempt Status: Is your organization a non-profit or public tax-exempt organization as Select One: (defined under Section 601(c)(3) of the Internal Revenue Code? I I V Yes ❑ No It No, you will ontyquelify for a credit for City -related costs for your requese(r. e. permit lees, r""--� - - — If Yes, � lI33-0930891 taffWrrie, rental ralasforfacilities orequipment, eta.). Costs for City services vary and if to lap You,, credit may ormay not cover full cast of requested City services. (Tax City Services es Credit $ pate dN eae d iAmouat Requested: I i Mayor/CouAmezcua Direct Payment Amount I 'Event Date: 1 u June 1, 2016 Time: 6 00 pm IRequosted: ,500 (Event ent Location: [Addrow, OCCTAC Classical Music program's Community Concert at the Ebel[ Club In Santa Ana (625 French W1,, stare,z/p Street, Santa Ana, CA, 92701). OCGTAC will celebrate and feature the accomplishments of the Santa Ana students engaged in our first Classical Music Description of program sponsored by the City of Santa Ana, Community Development Block grant. These students began the program in Event I Purpose: July 2015 and have been learning about Classical music and how to play a musical instrumeriL violin, viola, guitar, Flute, clarinet and saxophone. Santa Ana parents wilt learn about Classical Musk and listen to their children perform a different style of music they are not as familiar with. Community Benefit: This experience will educate our families and bring new opportunities for our Santa Ana students. Also, our students will have the opportunity to celebrate their accomplishments and look forward to continue their musical/artistic growth. Furlharmors, this experience wit boost students level of confidence and self-esteem, as well as motivate them to continue to practice and gat betlerl Applicant Signature: ,. _ atl e; April 8,_2016 Mail: City Manager's OfFlce-M•31T�^ Email: donatlonrequest@santaana.org 20 Civic Center Plaza Fax: (714) 647.6954 P.O. Box 1988 Santa Ana, CA 92702 , Donation Request #: Reforonce got) all related UPVs II DR I Council Meeting Date I� (III Eligibility Met: YES/NO I Approved Amount City Manager Signature. Date: _ Revised If /18/2015 �YrkW;IT.d 25P-4 CITY OF SANTA ANA DONATION AGREEMENT WITH ORANGE COUNTY CHILDREN'S THERAPEUTIC ARTS CENTER 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on MAY 3, 2016 by and between the City of Santa Ana, a municipal corporation ("City") and ORANGE COUNTY CHILDREN'S THERAPEUTIC ARTS CENTER, a California 501(e)3 NON-PROFIT ORGANIZATION ("Recipient"). City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit, The City wishes to provide Recipient with funding to assist Recipient in EDUCATING STUDENTS AND THEIR FAMILIES ON CLASSICAL MUSIC AND MUSIC APPRECIATION ("Community Benefit"). The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide funding. 2.2 Public Pui o�se. The City, by recommendation of COUNCILMEMBER ANGELICA AMEZCUA, believes there is a public purpose in supporting the Community Benefit because it will HELP STUDENTS BUILD CONFIDENCE AND SELF-ESTEEM THROUGH MUSIC. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3, TERMS AND CONDITIONS 3.1 Use of Funds, The City has chosen to provide Recipient with a one-time payment of ONE THOUSAND, FIVE HUNDRED DOLLARS ($1,500) for an event to be hold on Friday, June 1, 2016, because the City has determined that there is a public purpose to be served in supporting the Community Benefit. hi executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the funds for such purpose or otherwise comply fully with the terms of this Agreement, City shall have the right to terminate this Agreement and demand the return of the funds pursuant to Section 3.2 below. 3.2 Tern Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect unless and until terminated by the City. The City has the right to terminate this Agreement upon one day's notice, with or without cause. Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10%) per an um. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement, 3.3 Waivers, Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of CITY OF SANTA ANA DONATION AGREEMENT Page 2 of 3 injury, the City may, in its sole discretion, require Recipient to provide certain insurance and, participant waiver/release protections. This right shall be on -going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3,5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trairna or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongf it death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Cominuriity Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses, The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or tennination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement maybe altered, modified or amended only by written agreement signed by both Parties, 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. -- signatures on followingpage -- EXHIBIT 2 25P-6 CITY OF SANTA ANA DONATION AGREEMENT Page 3 of 3 CITY OF SANTA ANA By: David Cavazos City Manager Attest: By: Maria A. Huizar Clerk of Council Approved as to Form: By: J n M. Funk Assistant City Attorney ORANGE COUNTY CHILDREN'S THERAPEAUTIC ARTS CENTER a 501(c)3 NON-PROFIT ORGANIZATION By: Signature Name Title 901i2 25P-8 CITY COUNCIL MEETING DATE; MAY 3, 2016 TITLE; CONDITIONAL LIRE PERMIT NO, 2016.05 TO ALLOW A TYPE 41 ALCOHOL, BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO.2016-16 TO ALLOW AFTER- HOURS OPERATION UNTIL 2;00 A.M. AT KIYOMIZU RESTAURANT AT 306 EAST FOURTH STREET, SUITE 105 — PHILLIP KWAN, APPLICANT (STRATEGIC PLAN NOS. 3, 2, 4) CITY MANAGERf-'� RECOMMENDE12 ACTION CLERK OF COUNCIL USE ONLY; -:. ❑ As Recommended As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2n0 Reading ❑ Implementing Resolution ❑ Set Public Headng For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2016.05 and Conditional Use Permit No. 2016-15 as conditioned. At Its regular meeting on April 11, 2016, by a vote of 8:0 (Alderete and Racerra absent), the Planning Commission adopted a resolution approving Conditional Use Permit No. 2016.05 to allow a Type 41 Alcoholic Beverage Control (AEC) license and Conditional Use Permit No. 2015- 15 to allow business operations until 2:00 a,m. for Kiyomlzu restaurant at 305 East Fourth Street, Suite 105 located in the Transit Zoning Code/Specific Development No, 84 ($D-84) zoning district. The Planning Commission made no changes to the recommendation outlined in the attached staff report (Exhibit A). s' e Phillip Kwan, proprietor for the Kiyomizu restaurant, is requesting approval of a Conditional use permit (CUP) to allow a Type 41 Alcoholic Beverage Control (ABC) license for the on -premise sale and consumption of beer and wine at a new restaurant. Establishments that sell alcoholic beverages in the Transit Zoning Code area require a conditional use permit pursuant to Section 41-2007 of the Santa Ana Municipal Clads (SAMC). The applicant is also requesting approval of a CUP to allow business operations until 2:00 a m. per Section 41.2007 of the SAMC. Full-sized site plans are available for public viewing In the Clerk of the Council office. 31 A-1 CUP Nos, 2018-05 & 2018-18 — Kiyomizu Restaurant ABC License & After -Hours at 305 East Fourth Street, Suite 105 May 3, 2018 Page 2 STRATEGIC PLAN ALIGNME 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) and Objective #4 (continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining and entertainment destination).. FISCAL IMPACT There Is no fiscal impact associated with this action. HS: rb hw/K yurt imICUP16.06 & 2016.16.uu Exhibit: A. Planning Commission Staff Report 31 A-2 F:7R_i�idllt�EeT%rTi7i4TtriiE:�1C�1�1t4i��i i�1 APRIL 11, 2016 TITLE: PUBLIC HEARING — FILED BY PHILLIP KWAN FOR CONDITIONAL USE PERMIT NO. 2016-05 TO ALLOW A TYPE 41 ALCOHOL BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO.2016- 15 TO ALLOW AFTER-HOURS OPERATION UNTIL 2:00 A.M. AT KIYOMIZU RESTAURANT AT 305 EAST FOURTH STREET, SUITE 105 {STRATEGIC PLAN NOS. 3, 2; 3,41 Prepared by Hally Soboleske Executive Director PLANNING COMMISSION SECRETARY APPROVED • As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED • Applicant's Request ❑ Staff Recommendation CONTINUED TO Planning Mai ger 1. Adopt a resolution approving Conditional Use Permit No. 2016-05 to allow a Type 41 ABC license. 2. Adopt a resolution approving Conditional Use Permit No. 2016-16 as conditioned to allow business operations until 2:00 a.m. DISCUSSION Request of Applicant Phillip Kwan, proprietor for the Kiyomizu restaurant, is requesting approval of a conditional use permit (CUP) to allow a Type 41 Alcoholic Beverage Control (ABC) license for the on -premise sale and consumption of beer and wine at a new restaurant. Establishments that sell alcoholic beverages require a conditional use permit pursuant to Section 41-2007 of the Santa Ana Municipal Code (SAMC). The applicant is also requesting approval of a CUP to allow business operations until 2:00 a.m. per Section 41-2007 of the SAMC. Project Location and Site Description The Kiyomizu restaurant is proposed to occupy the first floor just below the Native Son Alehouse, immediately adjacent to the Wursthaus at the northwest corner of French and Fourth Streets at the northernmost side of the East End Promenade. The lot is approximately 20,715 square feet in size and is developed with a two-story, 50,000-square-foot commercial building. The suite this restaurant proposes to occupy is 785 square feet in size and is on the ground floor. Surrounding land uses include the Native Son Ale House on the upper floor, and commercial/retail to the north, south, east and west (Exhibits 1, 2 and 3). EXHIBIT A 31 A-3 CUP Nos. 2016-05 and 2016-15 April 11, 2016 Page 2 Project Description and Backaround The Kiyomizu restaurant proposes to occupy a 785 square foot suite on the ground floor of 305 East Fourth Street. The building has traditionally contained a mixture of commercial uses, including retail, office and service uses. In conjunction with the new restaurant, the applicant is requesting approval of a Type 41 Alcoholic Beverage Control (ABC) license to allow the on -premise consumption of beer and wine for patrons of the restaurant. The restaurant will be a sit-down eating establishment that will hold approximately 26 seats within its 785 square foot dining room although the proprietor states that they will likely have less seating due to the small size of the dining room. Various sushi rolls will be handmade in front of the patrons for their consumption. Overall alcohol storage and display areas will contain approximately 30 square feet, which is less than four percent of the floor area and is consistent with the SAW requirement of maintaining five percent or less of the gross floor area of the restaurant for alcohol storage and display (Exhibit 4). The proposed hours of operation for the restaurant are from 11:00 a.m. to 2:00 a.m. seven days per week. Operations past 12:00 midnight in the Transit Zoning Code (SD-84) require approval of a separate CUP. The Kiyomizu restaurant will be a privately owned restaurant that serves lunch and dinner. The restaurant will feature handmade sushi and vegetable rolls. General Plan and Zoninct Consistency The General Plan land use designation for the site is District Center (DC). District Center areas are designed to serve as anchors for the City's commercial corridors, and to accommodate major development activity, District Centers are to be developed with an urban character including a mix of office, commercial and residential land uses including other restaurants with ABC licenses. The project site is consistent with this General Plan land use designation. The zoning for the site is the Transit Zoning Code/Specific Development No. 84 (SD-84). The SD-84 zoning district allows for retail and service uses such as restaurants, making the proposed use consistent with the zoning code. Project Analysis Conditional use permit requests are governed by Section 41-638 of the SAMC. Conditional use permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. 31 A-4 CUP Nos. 2016-05 and 2016-15 April 11, 2016 Page 3 • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area, • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use, • That the proposed use will not adversely affect the General Plan of the City or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the conditional use permit requests, staff believes that the following findings of fact warrant approval of the conditional use permits. Conditional Use Permit No. 2016-05 — Type 41 ABC license: The Kiyomizu restaurant is requesting approval of a Type 41 Alcoholic Beverage Control (ABC) license to allow the on -premise consumption of beer and wine. The applicant intends to sell beer and wine as an ancillary service to the primary restaurant use. Staff has reviewed the applicant's request and has determined that the proposed establishment is in compliance with the standards for establishments selling beer and wine. The proposed alcoholic beverage license will provide for an ancillary service to the restaurant's customers by allowing them the ability to purchase beer and wine with their food. The Type 41 ABC license is only issued to restaurants that meet the State's standards as a bona fide eating establishment indicating that alcohol sales are not intended to be the primary use of the business. Conditions have been placed on the alcoholic beverage control license, which further emphasize the sales of alcohol as an ancillary use. The proposed license for the on -sale consumption of beer and wine at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed upon the alcoholic beverage control license that will mitigate any potential negative or adverse impacts that could be created by the use. In addition, the use will occur within the premises in accordance with the standards of the State Department of Alcoholic Beverage Control. 31 A-5 CUP Nos. 2016-05 and 2016-15 April 11, 2016 Page 4 • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their patrons. Moreover, the offering of beer and wine as an ancillary product to food supports the establishment of a full -service restaurant. The proposed use will serve to re -tenant a previously vacant building, thereby decreasing the number of vacant tenant spaces that may affect the economic stability of the area. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer and wine pursuant to Chapter 41 of the Santa Ana Municipal Code for restaurants selling alcohol with their meal, The facility will be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will use less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. • The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full -service restaurants offers additional dining options for Santa Ana residents and visitors. Policy 2.8 of the Land Use Element promotes the rehabilitation and use of commercial properties, and encourages increased levels of capital investment. The building located at 305 East Fourth Street has undergone significant rehabilitation and represents strong capital investment. • The tenanting of this building with a restaurant use further supports the viability of the downtown. Policy 4.3 of the Land Use Element encourages support of land uses which provide community and regional economic and service benefits. A new restaurant will provide a needed service to Santa Ana residents and visitors. Conditional Use Permit No 2016-15 — After Hours Operation: Santa Ana Municipal Code (SAMC) Section 41-2007 (Table 2A) requires a conditional use permit for any eating establishment with hours of operation between 12:00 a.m. and 7:00 a.m. The proposed hours of operation for Kiyomizu restaurant are 11:00 a.m. to 2:00 a.m., seven days a week, which are consistent with the operating hours of other downtown restaurants. The Kiyomizu restaurant proposes to be open for lunch and dinner. 31 A-6 CUP Nos. 2016-05 and 2016-15 April 11, 2016 Page 5 The proposed after-hours operation will provide an ancillary service to the restaurant customers by allowing them the ability to offer meals after 12:00 midnight, thereby providing an additional dining option within the downtown area. This will benefit the community by providing a restaurant with an additional and complementary food -related amenity. The after-hours operation is consistent with that of other restaurants in the downtown and offers customers another late night dining alternative. Conditions have been placed on the after-hours permit that will mitigate any potential Impacts created by the use and ensure that the use will not negatively affect the surrounding community. • The proposed after-hours operation is consistent with other restaurants operating in the downtown, and provides additional food choices for local residents and visitors. The after-hours operation will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will mitigate any potential negative or adverse impacts created by the use. The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer after-hours meals to their patrons, Moreover, the late night hours allows the restaurant to remain economically viable and contributes to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. The after-hours operation will contribute to the success of downtown by widening the time frame that food service is available thereby encouraging customers to stay longer in the area. As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant open after 12:00 midnight pursuant to Chapter 41 of the Santa Ana Municipal Code. The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant which operates after hours will provide a dining service to the residents of Santa Ana. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval, in conjunction with the operational standards for the proposed Type 41 ABC license will help maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Kiyomizu restaurant will be located in downtown and is compatible with surrounding land uses. A restaurant with after-hours operations provides a dining service to the residents of Santa Ana. 31 A-7 CUP Nos. 2016-05 and 2016-15 April 11, 2016 Page 6 Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages and after-hours operation in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on -sale licenses the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines "reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts. In keeping with the standard used by State ABC and Business and Professions Code, should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation, The project at 305 East Fourth Street is located in Reporting District No. 166. This reporting district is 20 percent higher than the average number of reported crimes in all reporting districts. Although the crime rate is 20 percent higher, the Police Department contends that the operational standards and proposed conditions of approval will mitigate any potential negative impacts to the surrounding community. As a result, conditions of approval are included as required by the SAMC that will address any concerns. Public Notification The project site is located within the boundaries of the Downtown Neighborhood Association and the Lacy Neighborhood Association, and is within the Downtown National Register Historic District. Staff contacted the presidents of the Downtown Neighborhood Association and the Lacy Neighborhood Association to ensure they were notified of this project and to identify any areas of concern. Tish Leon of the Downtown Neighborhood Association supports the proposed project, and Jose Leal, the Lacy Neighborhood president, did not have any concerns at this time. The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and tenants within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. 31 A-8 CUP Nos. 2016-05 and 2016-15 April 11, 2016 Page 7 CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15061(b)(3) because there is a certainty that the activity in question will not have a significant effect on the environment. Categorical Exemption Environmental Review No. 2016-30 will be filed for this project. Stratenic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies) and Objective No. 4 (continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining and entertainment destination). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2016-05 and Conditional Use Permit No. 2016-15 as conditioned. 6)4 7 � Hally Sabo sske Associate Planner HS:jm hs,Mycmlzu/CUP16.05.pc Attachments: Exhibit 1 —Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo (Entry) Exhibit 4 — Floor Plan Exhibit 5 — Operational Standards for On -Sale Establishments 31 A-9 SEVENTEENTFI 5T. �11r e , crCS � I 113 119 IU seh i Cl G ui C2 MI si sr sr m m PI p MI NTq 3 �n,'. ' „e n C5 Mx qN9 cr i SP-3 a wo, ;iM1 ML a^x FgFNI :.1 p Sf 3 �1 M'SNJ s,n2s mr Mi C P}a 4 NL I'SP3 m as p°' S• a „InM2 p .L PI M •� �: e ix,}br N UNt .� FG 7V Al \\✓✓\\11f> �t 0 TV � UN'x TVna TV IV I SF3 'Py*`411 GCO :UN2 �II F ai. ,�.yS,' UC J OrcUC no , VN2 NI� � Jcx s NL DT 3� til' OpNz �} J �J 0 UC 'V�"' t1N2 w J �JN p 9 uux ac ' 14 orJl d r urvt wn - u112 urvx ' UK Iurvn u z Q ... DT Dr m.O UN'2 UN2 UN2 cuv _ Pi 1 "m CUP s UNZ uNl I J CT D~ I UM1II Ni Na UN2 UN2 UNz e urvv nn I� uC vu 1 COR CDR UN1 UN2 urvx aori nn�'E c. CDR "ZGn FIRST 57. Al GENEIVL RCJLTUPALt CR CC JVSCAL fl?3VEVML NI 5NWFAMILYRSDEIMAL .13 FARNNGMODIRCATON X CAVEflJMINrd3JBi R2 MOFAMILYF OINCE CW ODMMSZIALBMIHMAIN Mt UCH' I'INDUSRAAL RI PAUMPLEDENSWIVULi1PLE Ci COMMUINWIXiMMERDAL N12 I-IrAWIMMRAL EWILYR9� CI -MD COMM. C3MM6mAUMU DJMR MO MIIJrWOPERAMN3 fm WWRWNANIRRM1 M1S C2 GBMURALC17MMMAL D CRENSACE PE RSD9JRAL5TAlE m CBMiTWLBJSNES P PRDFEISONAIL 3J RMACCEaCM134T al, CSMiWnL& NIMARP MLLAGE FCD rRANN@CQMMUMIT'DEVApFMf3MT 3' 'S RCFIAN CA RANNMSHCPFINGMF Fm PLANNED MOWPAL DMOFMEMT C5 AMSd ALMMMEFVAL CUP 2016-05 ABC & CUP 2016-15 AHR KIYOMIZU RESTAURANT Inn y, 305 EAST FOURTH STREET, SUITE 105 _ - Y500 FEET 1"=1060 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT 1 VICINITY MAP 31A-10 STH P- w w H Ln 4TH ca m M Fc, CO M M R C I A L 3 R D n C 0 M M� R C 11 A L CaMME CCIAAL STREET STREET C a M M E R C I A L CUP 2016-05 ABC & CUP 2016-15 AHR KIYOMIZU RESTAURANT p\ 305 EAST FOURTH STREET, UNIT 105(S CW P L A N N I N G A N D U U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31 A-11 ti •` • EXISTING PLAN - DIMENSIONED IQ"" r rs s ) FLOOR PLAN 31A-13 Sec. 41-196. Establishments selling alcoholic beverages. Operational standards for on -sale establishments. The following operational standards shall be included as informational conditions in the conditions of approval for the conditional use permit required pursuant to Section 41-196 The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food being offered to the general patrons of the eating establishment. 3. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after-hours operations pursuant to Santa Ana Municipal Code Chapter 41. 4. It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. 5. The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. 6. All employees serving alcoholic beverages must complete Responsible Beverage Service Training, or an equivalent approved by the State Department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the City. During those times when patrons are restricted to 21 years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. Such verification of age is not intended to discriminate against patrons based on race, ethnicity or legal status, but only to comply with state law restricting the sale of alcohol to those 21 and older. 8. Queuing lines shall be managed in an orderly manner and all disruptive and/or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. EXHIBIT 5 1 of 4 31A-14 9. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. All stanchions or barriers located on public property must be approved by the Public Works Agency. 10. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. 11. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. 12. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free", "two for the price of one", or "all you can drink for..." or similar language. 13. Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. 14, Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code ("SAMC") Chapter 11 — Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music/noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 15. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12-1 and 12-2. 16. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41-1701.6. 17. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 18. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 2of4 31 A-15 19. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 20. Existing bona fide eating establishment and required parking must conform to the provisions of Chapter 8, Article 11, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door/window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with. 21. A timed -access cash controller or drop safe must be installed. 22. Install a silent armed robbery alarm. 23. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual that has been approved by the Police Department, addressing at a minimum the following items: a. Procedures for handling obviously intoxicated persons. b. The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. C. Procedures for handling patrons involved in fighting, arguing or loitering about the building, and/or in the immediate adjacent area that is owned, ]eased, rented or used under agreement by the Licensee(s). d. Procedures for verifying the age of patrons for purposes of alcohol sales. e. Procedures for ensuring that servers monitor patrons to ensure that their drinking limit/potential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. f. Procedures for calling the police regarding observed or reported criminal activity. g. Procedures for management of queuing lines. h. The location and description of any video games proposed to be on the premises. 3of4 31A-16 24. The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. If the proposed dining area or fencing is in the public right of way, the applicant must obtain all required permits and approvals from the Public Works Agency. 25. Combined alcohol storage and display areas shall not exceed five percent (5%) of the gross floor area of the licensed establishment. 4of4 31A-17 L8 04.11.16 RESOLUTION NO. 2016-XX A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2016-05 AS CONDITIONED TO ALLOW A TYPE 41 ALCOHOL BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO. 2016-15 AS CONDITIONED TO ALLOW FOR AFTER HOURS OPERATION FOR THE PROPERTY LOCATED AT 305 EAST FOURTH STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Conditional Use Permit No. 2016-05 to allow a Type 41 Alcoholic Beverage Control (ABC) license at the property located at 305 East Fourth Street. B. Santa Ana Municipal Code Section 41-196 requires approval of a conditional use permit for establishments wishing to sell alcohol for on- or off -premise consumption. C. On April 11, 2016, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2016-05. 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 41-636, have been established for Conditional Use Permit No. 2016-04 to allow a Type 41 ABC license: 1. That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. The proposed alcohol beverage license will provide an ancillary service to restaurant customers by allowing them the ability to purchase beer and wine with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food -related amenity. Standards have been placed on the alcoholic beverage control license which will mitigate any potential Impacts Resolution No. 2016-xx Page 1 of 9 31A-18 created by the use and ensure that the use will not negatively affect the surrounding community. Z. 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. The proposed license for the on -sale consumption of alcohol at this location will not be detrimental to persons residing or working in the vicinity because the applicable standards for an on -sale alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other restaurants in the area that also offer full alcoholic beverages for sale to their guests and other visitors. Additionally, the ABC license will allow the restaurant to be economically viable and contribute to the success of the City of Santa Ana's economy. 4, That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. The proposed project will be in compliance with all applicable regulations imposed on a restaurant selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility has the kitchen facility necessary to be considered a bona fide restaurant use and is eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurant will utilize less than four percent of the gross floor area for the storage of alcoholic beverages, which is below the maximum threshold established by the Municipal Code, 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 use will not adversely affect the General Plan. Policy 1.8 of the Land Use Element encourages a balance of land uses to address basic community needs through encouraging commercial services. Approval of the Kiyomizu Resolution No; 2016-xx 31A-19 Page 2 of 9 restaurant will provide additional dining and retail uses within the Downtown, which is a primary commercial area of the city. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for various goods and services, and this facility proposes a new food establishment in the downtown area. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive, and the Kiyomizu restaurant proposes to offer a family friendly environment. Operational standards for the proposed Type 41 ABC license are intended to maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Kiyomizu restaurant will be located in a commercial corridor and is compatible with surrounding land uses. Restaurants with an ancillary alcohol license provide a dining service to the residents of Santa Ana. E. Applicant is requesting approval of Conditional Use Permit No. 2016-15 to allow after hours operation (midnight to 2:00 a.m.) at the property located at 305 East Fourth Street, F. Santa Ana Municipal Code (SAMC) Section 41-2007 (Table 2A) requires a conditional use permit for any eating establishment with hours of operation between 12:00 a.m. and 7:00 a.m. On April 11, 2016, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2016-15. G. 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 41-2007, have been established for Conditional Use Permit No. 2016-15 to allow after hours operation: 1. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed after-hours operation will provide an ancillary service to the restaurant customers by allowing them the ability to offer meals after 12:00 midnight, thereby providing an additional dining option within the downtown area. This will benefit the community by providing a restaurant with an additional and complementary food -related amenity. The after-hours operation is consistent with that of other Resolution No. 2016-xx Page 3 of 9 31 A-20 restaurants in the downtown and offers customers another late night dining alternative. Conditions have been placed on the after-hours permit that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer after- hours meals to their patrons. Moreover, the late night hours allows the restaurant to remain economically viable and contributes to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site, The after-hours operation will contribute to the success of downtown by widening the time frame that food service is available thereby encouraging customers to stay longer in the area. 3. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant open after 12:00 midnight pursuant to Chapter 41 of the Santa Ana Municipal Code, 4. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2,2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant which operates after hours will provide a dining service to the residents of Santa Ana. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval, in conjunction with the operational standards for the proposed Type 41 ABC license will help maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Kiyomizu restaurant will be located in a Resolution No. 2016-xx 31 A-21 Page 4 of 9 commercial corridor and is compatible with surrounding land uses. A restaurant with after-hours operations provides a dining service to the residents of Santa Ana. The proposed use will provide a service or facility which will contribute to the general well-being of the neighborhood or community. The proposed after-hours operation will provide an ancillary service to the restaurant customers by allowing them the ability to offer meals after 12:00 midnight, thereby providing an additional dining option within the downtown area. This will benefit the community by providing a restaurant with an additional and complementary food -related amenity. The after-hours operation is consistent with that of other restaurants in the downtown and offers customers another late night dining alternative. Conditions have been placed on the after-hours permit that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. H. In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15061(b)(3) because there is a certainty that the activity in question will not have a significant effect on the environment. Categorical Exemption Environmental Review No. 2016-30 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 sole 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. 2016-05 as conditioned in Exhibit "A" attached hereto and incorporated herein, and Conditional Use Permit No. 2016-15 as conditioned in Exhibit "B" attached hereto and incorporated herein for the property located at 305 East Fourth Street. This decision is based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Planning Commission Action dated April 11, 2016, and exhibits attached thereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Resolution No. 2016-xx Page 5 of 9 31 A-22 ADOPTED this 11th day of April, 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, ROSA BARELA, Acting Recording 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 April 11, 2016. Date: Acting Recording Secretary City of Santa Ana Resolution No. 2016-xx 31 A-23 page 6 of 9 Conditions for Approval for Conditional Use Permit No. 2016-05 Type 41 ABC License Conditional Use Permit No. 2016-05 for a Type 41 Alcoholic Beverage Control license 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 np or to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:00 a.m. and 2:00 a.m. unless otherwise amended by the granting of a conditional use permit for after-hours operations pursuant to Santa Ana Municipal Code Chapter 41. 2. It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. 3. The applicant or an employee of the licensee must be present to monitor all areas of the facility during all times that alcoholic beverages are being served or consumed. 4. (queuing lines shall be managed in an orderly manner and all disruptive and/or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. 5. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. If located on public property those barriers must be approved by the Public Works Agency. 6. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Resolution No. 2016-xx Page 7 of 0 31 A-24 Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. 8. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free", "two for the price of one', or "all you can drink for..." or similar language. 9. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is prohibited or shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code ("SAMC") Chapter 11 — Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music/noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 10. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12-1 and 12-2. 11. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41-1701.6. 12, The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 13. There shall be no public telephones located on the exterior of the premises. Ail interior pay phones must be designed to allow outgoing calls only. 14.Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 15. A timed -access cash controller or drop safe must be installed. 16. Install a silent armed robbery alarm. 17.The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the police department, addressing at a minimum the following items; handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons Involved in fighting, arguing or loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s); verifying age/checking identification of patrons; warning patrons of reaching their drinking limit/potential intoxication and refusing to serve; calling the police regarding observed or reported criminal activity and the management of queuing lines. Resolution No. 2016-xx 31 A-25 Page 8 of 9 Conditions for Approval for Conditional Use Permit 2016-15 After Hours Operation Conditional Use Permit No. 2016-15 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2, Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ("SAMC) Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music/noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 3. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 4. There shall be no amplified sound used outside the building. A Trash Program and submittal of a notarized and recorded Reciprocal Trash Agreement shall be provided prior to issuance of a Certificate of Occupancy, 6. Sign permits (both permanent and temporary) are under separate submittal. Special events are subject to a Land Use Certificate where such activities will take place outside of the restaurant building. 8. The restaurant may remain open until 2:00 a.m.; occupancy of any future outdoor patio is restricted to 7:00 a.m. to 12:00 midnight. Resolution No. 2016-xx Page 9 of 9 31 A-26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: CONDITIONAL USE PERMIT NO.20'16-08 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO, 2016.09 TO ALLOW AFTER-HOURS OPERATION UNTIL 2:00 A.M. AT MARISCOSi HECTOR LOCATED AT 409 NORTH BROADWAY - OSCAR OLIVARES, APPLICANT (STRATEGIC PLAN NO. 3, 2, 4) CITY MANA'LaER CLERK OF COUNCIL USE ONLY: ❑ As Recommended 0 As Amended Ordinance on 1w' Reading Ordinance an 2"tl Reading ❑ Implementing Resolution 0 Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2018-08 and Conditional Use Permit No. 2016-09 as conditioned. At its regular meeting on April 11, 2010, a vote of 5:0 (Alderete and Bacerra absent), the Planning Commission adopted a resolution approving Conditional Use Permit No. 2016-08 to allow a Type 47 Alcoholic Beverage Control (ABC) license, adopted a resolution approving Conditional Use Permit No. 2016-09 as conditioned to allow after-hours operation until 2:00 a.m., for Marisoos Hector located at 409 North Broadway located in the Transit Zoning Code/Specific Development No. 84 (SD-84) zoning district. The Planning Commission added two additional conditions of approval to the after-hours conditional use permit. The first condition limits patron access through the secondary door located at the rear of the building; the door can only be used as an exit after 10:00 p.m, The second condition of approval requires Planning Commission to review compliance of the conditional use permit six months after the issuance of occupancy (Exhibit A). Oscar 011veres, representing Mariscos Hector, Is requesting approval of a conditional use permit (CUP) for a Type 47 ABC license to allow the on -premise sale and consumption of beer, wine, and distilled spirits at the Marlscos Hector restaurant. In addition, the applicant Is requesting approval of a separate conditional use permit that would allow the restaurant to operate until 2:00 a.m, The applicant Is currently constructing tenant Improvements to open a new eating 31 B-1 CLIP Nos. 2016-08 & 2016-0g — Mariscos Hector ABC License & After -Hours at 409 North Broadway May 3, 2016 Page 2 establishment, The building is located mid -block on North Broadway, between Fifth Street to the north and Fourth Street to the south and is developed with a 5,160-square-foot, two-story building that contains commercial/office uses. Mariscos Hector is planning to occupy approximately 3,483 square -feet for the restaurant with an additional 182-square-foot mezzanine space for their office, The site has been used as an eating establishment since 1951, with several cafes and Mexican restaurants. Conditions of approval have been placed on the after-hours CUP to mitigate any potential noise or safety impacts typically associated with after-hours operations. Full-sized plans are available for public viewing In the Clerk of the Council Office. SIRATEgig PLAN ALIQNMENT Approval of this Item supports the City°s efforts to meet Goal #3 - Economic Development, Objective 02 (create new opportunities for business/job growth and encourage private development through new 03eneral Plan and Zoning Ordinance policies) and Objective #4 (continue to pursue objectives that shape downtown Santa Ana Into a thriving, culturally diverse, shopping, dining and entertainment destination). FISCAL IMPACT There is no fiscal impact associated with this action. Executive Director Planning & Building Agency 10: rb loTlannin® CommlealonGO N Nroodwny\0014.00 &INDMarlanos fttorTypa 4T AHRno 31 B-2 OLIVARES FOR CONDITIONAL USE PERMIT NO. 2016-08 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO. 2016-09 TO ALLOW AFTER-HOURS OPERATION AT MARISCOS HECTOR LOCATED AT 409 NORTH BROADWAY (STRATEGIC PLAN NO. 3,2) Prepared by Ivan Orozco Executive Director APPROVED ❑ As Recommended © As Amended • Set Public Flearing For DENIED El Applicant's Request ❑ Staff Recommendation CONTINUED TO Planning Manager RECOMMENDED ACTIONS 1. Adopt a resolution approving Conditional Use Permit No. 2016-08. 2. Adopt a resolution approving Conditional Use Permit No. 2016-09 as conditioned. 3. Authorize the Planning Commission to issue a Public Convenience and Necessity (PCN) letter. Request of Applicant Oscar Olivares, representing Mariscos Hector, is requesting approval of a conditional use permit (CUP) for a Type 47 Alcoholic Beverage Control (ABC) license to allow the on -premise sale and consumption of beer, wine, and distilled spirits at the Mariscos Hector restaurant, located at 409 North Broadway. In addition, the applicant is requesting approval of a separate conditional use permit that would allow the restaurant to operate until 2:00 a.m. Establishments that sell alcoholic beverages and that wish to operate between 12:00 midnight and 7:00 a.m. require respective conditional use permits pursuant to Section 41-2007 of the Santa Ana Municipal Code (SAMC). Prolect Location and Site Description The applicant is currently constructing tenant improvements to open a new eating establishment at 409 North Broadway. The building is located mid -block on North Broadway, between Fifth Street to the north and Fourth Street to the south and is developed with a 5,150-square-foot, two-story building that contains commercial/office uses. Mariscos Hector is planning to occupy approximately 3,483-square-feet for the restaurant and an additional 182-square-feet of mezzanine 31 B-3 CUP Nos. 2016-08 & 2016-09 April 11, 2016 Page 2 space for their office. The site is approximately 0.12 acres in size and is located within the Transit Zoning Code (SD-84) zoning district in the Downtown (UC) sub -zone which is consistent with the General Plan designation of District Center (DC) for the area. Parking is provided in multiple parking structures, surface lots, and metered street parking throughout Downtown. The site is surrounded by commercial uses to the north, south, east, and west (Exhibits 1, 2 and 3). Project Description The applicant is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on -premise consumption of beer, wine, and distilled spirits to patrons at a new restaurant. The applicant is intending to surrender a Type 41 ABC License when the Type 47 ABC License is approved. The restaurant will provide a full service, sit-down eating experience with approximately 70 seats within its dining room. The on -premise sale of alcoholic beverages to customers will provide a service ancillary to the primary restaurant use. Overall alcohol storage and display areas will consist of approximately 170 square feet, which is less than five percent of the floor area and is consistent with the SAMC requirement of maintaining five percent or less of the gross floor area of the restaurant for alcohol storage and display (Exhibits 4 and 5). Additionally, the applicant is requesting approval of a conditional use permit to allow the business to operate afterhours. If the CUP is approved, the hours of operation will be from 9:00 a.m. to 2:00 a.m, daily. Establishments wishing to operate after 12:00 midnight in the Transit Zoning Code (SD-84) require approval of a separate CUP. Project Backaround The tenant is proposing to occupy a ground floor commercial space within the Beem Building. This historic building was constructed in two phases and involves three separate buildings standing as one. The first phase was completed in 1924 and is comprised of the ground floor portion of the three buildings. The next phase of construction was finalized in 1926 with the construction of the second floor tenant space and the fagade that is still on the building today. The architect who designed the entire building and fagade was Frank Lansdowne, who was one of the premiere architects of the time. As one of the most architecturally prominent buildings in Downtown, it is a prime example of the Mission/Spanish Colonial revival styling which typified an important architectural trend in Santa Ana development during the 1920s and 1930s. The building is listed on the Santa Ana Register of Historical Properties as "Key' due to its distinctive architectural style and quality, and is characteristic of a significant period in history of the City of Santa Ana and contributor on the National Register and California Register. The location where the applicant is proposing to operate a restaurant has been occupied by a cafe and restaurant use since 1951, The original entitlement for the Type 41 ABC license was attained by Minor Exception No. 1982-39, which was approved and issued on August 1, 1983, 31 B-4 CUP Nos. 2016-08 & 2016-09 April 11, 2016 Page 3 Proiect Analysis Conditional use permit requests are governed by Section 41-638 of the SAMC. Restaurants require a CUP if they propose to sell alcohol for on -site consumption or if they intend to operate between the hours of 12:00 a.m, and 7:00 a.m. Staff has prepared the following analysis, which in turn forms the basis for the recommendation contained in this report. In analyzing these conditional use permit requests, staff believes that the following findings of fact warrant approval of the respective CUP applications. The on -premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use. This will thereby benefit the community by providing a restaurant with an additional and complementary food -related amenity. The granting of the CUP will allow the restaurant to compete with other restaurants that also offer a selection of alcoholic beverages, allowing Mariscos Hector, a local small business, to remain economically viable and contribute to the overall success of the Downtown area. Also, the proposed license will not adversely affect the General Plan. The granting of the conditional use permits support several policies contained in the General Plan. These include policies supporting: the provision of a diverse range of goods and services, creating a safe and attractive business environment, and encouraging development that is compatible with nearby land uses. Operational standards for ABC licenses in the SAMC will mitigate potential impacts from the Type 47 ABC license (Exhibit 6). The proposed after-hours conditional use permit will allow the proposed restaurant to remain open past 12:00 a.m. Mariscos Hector is located in a predominantly commercial area surrounded by offices, retail stores, service uses, and similar restaurants. Conditions of approval have been placed upon the use that will minimize the possibility for any potential noise or safety impacts typically associated with after-hours operations. Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages and after-hours operation in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on -sale licenses, the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines "reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. 31 B-5 CUP Nos. 2016-08 & 2016-09 April 11, 2016 Page 4 The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts, in keeping with the standard used by State ABC and Business and Professions Code, should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation. The project at 409 North Broadway is located in Reporting District No. 165. This reporting district is 20 percent higher than the average number of reported crimes in all reporting districts. Although the crime rate is 20 percent higher, the Police Department contends that the operational standards and proposed conditions of approval will mitigate any potential negative impacts to the surrounding community. Due to the crime rate in the reporting district, a Public Convenience and Necessity (PCN) letter will be required for the State of California. As a result, conditions of approval are included that will address any concerns. Per SAMC Section 41-196, licenses for on -sale consumption of alcohol are not subject to the City's overconcentration standards. However, the site is subject to State standards, including the crime rate of an area. As a result, the PCN letter is needed to address the State's concern with the restaurant being located in an area that is 20 percent higher than the City average. A public convenience will be served if this license is approved as the proposed Mariscos Hector is a full service, sit-down eating establishment that will provide an additional service to the surrounding community, which typically includes alcoholic beverages. The applicant is intending to surrender a Type 41 ABC License when the Type 47 ABC License is approved and therefore no increase in the number of licenses will occur for this census tract. The proposed conditional use permit will also be consistent with similar ABC license requests that were approved for similar establishments, including the Fourth Street Market and the Playground restaurant on Fourth Street. Public Notification The project is located within the boundaries of the Downtown Neighborhood Association. Staff contacted the president of the Downtown Neighborhood Association to ensure that they were notified of this project and to identify any areas of concern. The representatives had no further comments regarding the proposed CUP at the time the staff report was prepared. The project site was also posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter, and mailed notices were sent to all property owners and tenants within 600 feet of the project site. No comments have been received as of the date of printing of this report. CUP Nos. 2016-08 & 2016-09 April 11, 2016 Page 5 In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15061(b)(3). This exemption applies to projects where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment. The project proposes to allow the on -premise sale of beer, wine, and distilled spirits with a separate conditional use permit to allow after-hours operation at a full -service restaurant within an existing structure. It has been found by the City's development review agencies that the use will not create any adverse impacts such as noise, traffic, or safety concerns. The cumulative impact of this project will not be significant as the use will be complementary with the nearby commercial uses in the area. There is no reasonable possibility that the project will have a significant effect on the environment due to the facility having the necessary infrastructure to operate the proposed use. Categorical Exemption Environmental Review No. 2016-24 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2016-08 and Conditional Use Permit No. 2016-09 as conditioned. Ivan Ordzco (~-" Assistant Planner IO:jm io0anning CommissionW09 N Broadway\CUP16-08 &16-09 Mariscos HeclorType 47 AHR.pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2— Location Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Exhibit 6 — Operational Standards for On -Sale Establishments 31 B-7 SEVENTEENTH ST. +I Ccl C9 Ps i I 1 L'� RI RI kl Ell El fllItl I(I RI v 'nn p I �1 nr I fl2 PI ® r l L—, J arf A2 --��----� {.—a FIRs'r AT (324fl LACKCULTURAUT CR COMMECN-NnDERIAL m 9NGLENIMILYSESDENTAL =B FrikONGMODIFiCAVON GC GDffNMEJTCGNTFR W 1 FAMILY DEJ<£ GEM COMMUCALSa THMAIN Mt UCHTINDUSIMAL R3 MULTIPLEDENSTY MULTIPLE CY CCMMUNITYWMMG0AL M2 HEAWINDUSIPIAL FAMILY%G[) CE GI -MD OnMM.COMMECIAUMUESIMDIWICT MO MIUTARi OFEFATIONS FA 9JBJF64NAFY)RIMFtJ15 C2 CLWHALCCMMEOAL 0 OPEN FACE RE FOD9 ALESTATE C3 CENTFALE'USNE� P R FEMCNAL 9) SPECIMCUEiH.. ENT OYA CBJFF4lL919NE9iARfISFMLIA(iE FIX) RANNE)0WMIJNUY0Ea9MENT S' �DFICFLAM GI P.ANNEDEHOPrlNICiaNJ Ffm FUINNF3J Fi90BJTiALONEtOFMBJF CS ARREdALCOAMEPWL CUP 2016-8 & CUP 2016-9 ` MARISCOS HECTOR TYPE 47 & AFTER HOURS 409 NORTH BROADWAY --=500FEh7 V == 1BDU FEETFEET P L A N N I N G A N D B U I L D I N G A G E N C Y VICINITY MAP EXHIBIT 'I 31 B-8 PARKING ~ STRUCTURE O F F I C E w a I— v Ln 5TH STREET COMMERCIAL COMMERCIAL PARKING LOT PARKING LOT < < cc u PROJECTO n SITE o a cc } co u COM E CIAL OM R C I A L Wr 4TH STREET COM ERCIAL COMMERCIAL CUP 2016-8 & CUP 2016-9 MARISCOS HECTOR TYPE 47 & AFTER HOURS p (p L—qVl 409 NORTH BROADWAY P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31 B-9 CUP 2016-08 & CUP 2016-09 MARISCOS HECTOR TYPE 47 ABC & AFTERHOURS 409 NORTH BROADWAY 5' IM-1i'i[ci 31 B-10 L taxo:: 7..hlF L`i j.{ "~ S Fin !t•:dfi !e A.�.. � L LIT, vY CE xf I � w L) 5} h 1- T S` v �n 'I fi j«. I 1 1- Ien �rcri �� � xaxit�`h It � Rif Mariscos Hector 409 N Broadway i EXHIBIT 4 W In 0 i 4 31 B-11 7 L w T E.1 1 1— Tli7 l�j L4 If- 0,- 0 Z Lo Li V14 Z 0 Z - MWYD Z 11 -Z I 'r t I- I t nl u Ul . .......... LA Li I Lk� 6�T vj 4 wx,!� 11 IT it 11 L. Ll LO Lj > L.- ul 71 U- T I I t LA O -1 it L. Ld -J UIL :1 I F-1 z LL 8 6t 57, ; r EXHIBIT 5 31 B-1 2 Sec. 41-196. Establishments selling alcoholic beverages. Operational standards for on -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41-196 1. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food being offered to the general patrons of the eating establishment. 3. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after-hours operations pursuant to Santa Ana Municipal Code Chapter 41. 4. It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. 5. The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. 6. All employees serving alcoholic beverages must complete Responsible Beverage Service Training, or an equivalent approved by the State department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the City. T. During those times when patrons are restricted to 21 years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. Such verification of age is not intended to discriminate against patrons based on race, ethnicity or legal status, but only to comply with state law restricting the sale of alcohol to those 21 and older. 8. Queuing Tines shall be managed in an orderly manner and all disruptive and/or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. EXHIBIT 6 1 of 4 31 B-13 9. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. All stanchions or barriers located on public property must be approved by the Public Works Agency. 10. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. 11. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. 12. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free", "two for the price of one", or "all you can drink for..." or similar language. 13. Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. 14. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code ("SAMC") Chapter 11 — Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music/noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 15. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12-1 and 12-2. 16, The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41-1701.6. 17. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 18, There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 2of4 31 B-14 19. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 20. Existing bona fide eating establishment and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door/window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with. 21. A timed -access cash controller or drop safe must be installed. 22. Install a silent armed robbery alarm. 23. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual that has been approved by the Police Department, addressing at a minimum the following items: a. Procedures for handling obviously intoxicated persons. b. The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. c. Procedures for handling patrons involved in fighting, arguing or loitering about the building, and/or in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s). d. Procedures for verifying the age of patrons for purposes of alcohol sales. e. Procedures for ensuring that servers monitor patrons to ensure that their drinking limitipotential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. Procedures for calling the police regarding observed or reported criminal activity. g. Procedures for management of queuing lines. h. The location and description of any video games proposed to be on the premises. 3of4 31 B-15 24. The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. If the proposed dining area or fencing is in the public right of way, the applicant must obtain all required permits and approvals from the public Works Agency. 25. Combined alcohol storage and display areas shall not exceed five percent (5%) of the gross floor area of the licensed establishment. 4of4 31 B-16 LS 3,31,16 RESOLUTION NO, 2016-XX A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO, 2016-08 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO. 2016-09 AS CONDITIONED TO ALLOW AFTER HOURS OPERATION AT MARISCOS HECTOR RESTAURANT LOCATED AT 409 NORTH BROADWAY BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Conditional Use Permit No. 2016-08 to allow Type 47 Alcoholic Beverage Control (ABC) license and Conditional Use Permit No. 2016-09 for afterhours operation for the property located at 409 North Broadway. B. Santa Ana Municipal Code Section 41-196 requires a conditional use permit for the sale of alcoholic beverages for on -site consumption of beer, wine and distilled spirits that is ancillary to the primary restaurant use. C. Santa Ana Municipal Code Section 41-2007 requires a conditional use permit to allow any business to operate between the hours of 12:00 a.m. and 7:00 a.m. D. On April 11, 2016, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2016-08 and Conditional Use Permit No. 2016-09. E. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code (SAMC) Section 41-638, have been established for Conditional Use Permit No. 2016-08 to allow for a Type 47 ABC license: 1. That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or the community. The proposed Type 47 ABC license will provide an ancillary service to the restaurant's customers by allowing them the Resolution No. 2016-XX Page 1 of 7 31 B-17 ability to purchase a variety of alcoholic beverages with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Standards are applicable to the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. That the proposed use under the circumstances of the particular case will not be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. The proposed Type 47 ABC license for the on -site consumption of beer, wine and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because operational standards to the alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. This is primarily a restaurant use and the addition of alcohol will be ancillary to the main use. Finally, the sale of alcohol in the restaurant is intended to be incidental to the primary use as an eating establishment and will occur within the premises. 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants in Downtown and citywide that also offer a full selection of alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages will allow Mariscos Hector, a small business, to remain economically viable and contributes to the overall success of the Downtown Santa Ana commercial district. 4. That the proposed use shall comply with the regulations and conditions specified in Chapter 41 for such use. The proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer, wine and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will be maintained as a full -service, bona -fide eating establishment, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize five percent of the gross floor area for the display and storage of alcoholic Resolution No. 2016-XX Page 2 of 7 31 B-18 beverages, which is the maximum threshold established by the Santa Ana Municipal Code. 5. That the proposed use will not adversely affect the General Plan or any specific plan of the City. The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full -service restaurants that feature alcoholic beverages on their menus offers additional dining options for Santa Ana residents and visitors, especially those to Downtown, which continues to serve as a dining and retail destination with regional significance. Furthermore, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operational standards for the proposed Type 47 ABC license will maintain a safe and attractive environment in Downtown Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. Mariscos Hector will be located in a commercial area and its operation will be compatible with the surrounding commercial businesses. F. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code (SAMC) Section 41-2007, have been established for Conditional Use Permit No. 2016-09 to allow for afterhours operation. 1. That the proposed use will provide a service or facility that will contribute to the general well being of the neighborhood or the community. The proposed after-hours operations will provide an ancillary service to individuals that wish to have a late night meal. This will thereby benefit the community by providing a food - related amenity offering service past 12:00 midnight, which is consistent with that of other restaurants in Downtown. Conditions have been placed on this operation to mitigate any potential problems created by the after-hours operation to ensure that service past 12:00 midnight will not negatively impact the surrounding community, such as requiring the establishment to maintain a complete food menu past midnight, disallowing outdoor restaurant activity, and limiting amplified sound to within the building. Resolution No, 2016-XX Page 3 of 7 31 B-19 2. That the proposed use under the circumstances of the particular case will not be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. The proposed after-hours operations will not be detrimental to those living or working in the area because conditions have been placed to mitigate any negative impacts on the community. These conditions are consistent with other eating establishments that have similar hours of operation and similar operational conditions. The after -hour conditions limit operations to indoor activities after the midnight hour, therefore mitigating any outside ambient noise, as well as limiting the amplified sound within the building. 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The project site is situated along a commercial corridor that is appropriate for the proposed commercial use. The establishment of this restaurant promotes a balance of land uses that enhances the City's economic and fiscal viability. Providing a variety of land uses in the area strengthens the economic base of the City and the Downtown area and affects the economic stability of the area in a positive manner. 4. That the proposed use shall comply with the regulations and conditions specified in Chapter 41 for such use. As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on an eating establishment operating after hours pursuant to Chapter 41 of the Santa Ana Municipal Code and the Transit Zoning Code (SD84) zoning provisions. The establishment will contain the necessary equipment to qualify as an eating establishment, and operational standards applicable to the proposed ABC license will prevent or mitigate any impacts from the restaurant onto adjacent properties. 5. That the proposed use will not adversely affect the General Plan or any specific plan of the City. The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full -service restaurants with extended hours of operation offers additional dining options for Santa Ana residents and Resolution No. 2016-XX Page 4 of i 31 B-20 visitors. Furthermore, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval have been placed on this conditional use permit that will maintain a safe and attractive environment in Downtown Santa Ana, Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. Mariscos Hector restaurant is located in a commercial area and its operation is compatible with the surrounding commercial businesses. G. In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15061(b)(3). This exemption applies to projects where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment. The project proposes to allow the on -premise sale of beer, wine, and spirits with a separate conditional use permit to allow after hours operation at a full -service restaurant within an existing structure. It has been found by the City's development review agencies that the use will not create any adverse impacts such as noise, traffic, or safety concerns. The cumulative impact of this project will not be significant as the use will be complimentary with the nearby commercial uses in the area. There is no reasonable possibility that the project will have a significant effect on the environment due to the facility having the necessary infrastructure to operate the proposed use. Categorical Exemption Environmental Review No. 2016-24 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 sole 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. 2016-08 and 2016-09 as conditioned in Exhibit A, attached hereto and incorporated herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Planning Commission Action dated April 11, 2016, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No, 2016-xX Page 5 of 7 31 B-21 ADOPTED this 11th day of April, 2016 by the following vote: AYES: Commissioners: NOES: Commissioners: ABSENT: Commissioners: ABSTENTIONS: Commissioners: James Gartner Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, ROSA BARELA, Acting Recording 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 April 11, 2016. Date: Acting Recording Secretary City of Santa Ana Resolution No. 20 f 6-XX Page 6 of 7 31 B-22 EXHIBIT A Conditions for Approval Conditional Use Permit No. 2016-09 for after-hours operations is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions Code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. 2. There will be no outdoor restaurant activity. Any and all existing or new lighting on the building's exterior must be maintained in working order. All exterior lighting will be directed towards the restaurant and/or sidewalk and not towards other properties. 6. There shall be no amplified sound used outside the building. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ("SAMC") Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music/noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. Resolution No. 2016-XX Page 7 or 7 31 B-23 31 B-24 +Offf NRO CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE; CONDITIONAL USE PERMIT NO.2016-10 AND CONDITIONAL USE PERMIT NO. 2016- 11 TO ALLOW THE AFTER-HOURS OPERATION OF 7-ELEVEN MARKET FOR 24- HOUR OPERATION AND AN OFF -SALE ALCOHOLIC BEVERAGE CONTROL LICENSE AT 3960 SOUTH MAIN STREET, UNiT A - DANIELLE FOLEY, APPLICANT {STRATEGIC PLAN NO. 3, 2) CiTY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: F.T0000ERD © As Recommended Ci As Amended ❑ Ordinance on 1°f Reading Ordinance on 2"d Reading Implementing Resolution CCC777 Sat Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2016-10 as conditioned and Conditional Use Permit No. 2016-11. PLANNING COMMISSION ACTION At its regular meeting on April 11, 20160 by a vote of 5:0 (Alderete and Bacerra absent), the Planning Commission adopted a resolution approving Conditional Use Permit No, 2016-10 as conditioned to allow after-hours operation and Conditional Use Permit No, 2018-11 to allow an off -premise Alcoholic Beverage Control (ABC) license for 7-Eleven market at 3960 South Main Street, Unit A located In the Arterial Commercial (C-5) zoning district, The Planning Commission made no changes to the recommendation outlined In the attached staff report (Exhibit A), Danielle Foley, representing 7-Eleven, is requesting approval of a conditional use permit to operate a retail market that occupies a 3,014-square-foot tenant space on a 24-hour basis and a conditional use permit to establish an off -sale ABC license. 7-Eleven is proposing to acquire an existing retail market with a Type 21 ABC license that occupies Unit 0 of the retail shopping center, rebrand it as a 7-Eleven, relocate It to Unit within the some center, and to operate on a 24-hour basis. Alcohol storage and display areas will be located in the beverage cooler area and on an aisle -cap display, with distilled spirits displayed and stored behind the service counter, The total alcoholic beverage storage and display area will be approximately 150 square feet, which is approximately five percent of the gross floor area of the tenant space. Full-sized site plans are available for public viewing in the Clerk of the Council Office. 31 C-1 CUP Nos. 2016-10 & 2016-11 — 7-Eleven ABC License & After -Hours at 3900 South Main Street, Unit A May 3, 2016 Page 2 Approval of this item supports the City's efforts to most Goal #3 - ObJective #2 (create now opportunities for buslness/Job growth developmentthrough now General Plan and Zoning Ordinance policies), EISCAL IMPA�i T There is no fiscal impact associated with this action. assan Haghanl, AIC Executive Director Planning & Building Agency RS:rb RO:Rep0rt%\CUP 2010.10=10.1 MOOD South MRIn St— CUP 9018.10 6 CUP 201011,W Economic Development, and encourage private 31 C-2 REQUEST O. Planning Commission Action APRIL 11, 2016 TITLE: PUBLIC HEARING - FILED BY DANIELLE FOLEY FOR CONDITIONAL USE PERMIT NO. 2016-10 AND CONDITIONAL USE PERMIT NO. 2016-11 TO ALLOW THE AFTER-HOURS OPERATION OF 7-ELEVEN MARKET AND AN OFF -SALE ALCOHOLIC BEVERAGE CONTROL LICENSE AT' 3960 SOUTH MAIN STREET, UNIT A {STRATEGIC PLAN NO. 3, 21 Prepared by .Ricardo Soto __ APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO / ,Z Executive Director cE" Planning Manager RECOMMENDED ACTION 1. Adopt a resolution approving Conditional Use Permit No. 2016-10 as conditioned to allow after- hours operation. 2. Adopt a resolution approving Conditional Use Permit No. 2016-11 to allow an off -premise Alcoholic Beverage Control license. Danielle Foley, representing 7-Eleven, is requesting approval of a conditional use permit to allow for the 24-hour operation of a retail market and a conditional use permit for an off -sale Alcoholic Beverage Control (ABC) license at a new 7-Eleven market proposed at 3960 South Main Street, Unit A. Retail markets having less than 20,000 square feet of floor area which are open any time between the hours of 12:00 midnight and 5:00 a.m. and that sell alcoholic beverages for off -site consumption require the issuance of a conditional use permit (CUP) per Santa Ana Municipal Code (SAMC) Section 41-365.5 (h) and Section 41-196. Project Location and Site Description 7-Eleven is proposing to occupy a commercial tenant space within an existing retail shopping center located on the northwest corner of the intersection of Main Street and Sunflower Avenue. The project site is approximately 20,811 square feet in size and is improved with a 5,244 square foot commercial building, surface parking lot, landscaping, and trash enclosure. The General Plan land use designation for the site is General Commercial (GC), which allows for neighborhood serving facilities and services, such as retail shopping centers. The site is located within the Arterial Commercial (C5) zoning district. The Arterial Commercial zoning district allows for retail uses, such as the proposed 7-Eleven market. Land uses surrounding the site include single-family residential to the north and west, industrial and office uses to the east, and agricultural uses to the south, in the City of Costa Mesa (Exhibits 1, 2 and 3). EXHIBIT A 31 C-3 CUP Nos. 2016-10 and 2016-11 April 11, 2016 Page 2 Protect Description Danielle Foley, representing 7-Eleven, is requesting approval of a conditional use permit to operate a retail market that occupies a 3,014-square-foot tenant space on a 24-hour basis and a conditional use permit to establish an off -sale ABC license at a retail market located at 3960 South Main Street, Unit A. Alcohol storage and display areas will be located in the beverage cooler area and on an aisle -cap display, with distilled spirits displayed and stored behind the service counter. The total alcoholic beverage storage and display area will be approximately 150 square feet, which is approximately five percent of the gross floor area of the tenant space (Exhibits 4 and 5). Project Background 7-Eleven is a retail operator based in Dallas that has been in operation for nearly 90 years. 7- Eleven operates, franchises, and licenses retail stores in 18 countries, with approximately 8,600 stores located in the United States and Canada. 7-Eleven is proposing to acquire an existing retail market with a Type 21 ABC license that occupies Unit D of the retail shopping center, rebrand it as a 7-Eleven, and relocate it to Unit A within the same center. The business operator is proposing to relocate to Unit A to maximize the store's visibility along Main Street. No changes to the exterior of the building or to the site are being proposed as part of this project. Project Analysis Conditional use permit requests are governed by Section 41-638 of the SAMC. Conditional use permit request may be granted when it can be shown that the proposed project will not adversely impact the community. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. Staff has reviewed the applicant's request to operate a retail market on a 24-hour basis and to establish an off -sale ABC license at this location. In analyzing the request, staff believes that the following findings of fact warrant approval of the respective conditional use permits. Conditional Use Permit No, 2016-10 — After Hours Operation: The SAMC provides for the regulation of retail markets having less than 20,000 square feet of floor area which operate between the hours of 12:00 midnight and 5:00 a.m. subject to a conditional use permit in the Arterial Commercial (C5) zoning district. The purpose of regulating after-hours operation of small retail markets is to preserve the neighborhood characteristics and to minimize impacts to surrounding areas, and to ensure the site does not become an attractive nuisance. 31 C-4 CUP Nos. 2016-10 and 2016-11 April 11, 2016 Page 3 The proposed 24-hour operation will provide an additional service and convenience to the community by allowing patrons the ability to purchase a variety of store items at hours that are convenient to a broad range of customers. The proposed 24-hour operation will not be detrimental to the health, safety, and welfare of the community. The proposed use will be in a reporting grid that is below -average in reported police related incidents. Further, the after-hours use will not be detrimental to the persons residing and working in the area as the use, as conditioned, will not create any negative or adverse impacts. The approval of the 24-hour operation for a retail establishment at this location will positively influence the present and future economic stability of the property by further diversifying the uses within the shopping center. The proposed after-hours use will be in compliance with all applicable conditions of Chapter 41 of the Santa Ana Municipal Code regarding establishments that operate on a 24-hour basis. Conditions of approval have been added to ensure the project remains in compliance with all applicable codes and regulations related to 24-hour operations to ensure the use does not impact neighboring properties or create an attractive nuisance. Lastly, the proposed after-hours operation will not adversely affect the General Plan. Retail establishments and 24-hour operations are permitted within the General Commercial (GC) General Plan land use designation. The project will also be consistent with several goals and polices of the General Plan, including Goals 2 and 5 of the Land Use Element, which promote land uses that enhance the City's economic and fiscal viability and mitigate any potential impacts. Conditional Use Permit No. 2016-11 — Off -premise ABC License: The SAMC also regulates establishments that sell alcoholic beverages. for on -site or off -site consumption. The purpose of regulating establishments that sell alcoholic beverages is to set forth operating practices and procedures, to limit the number of establishments to avoid over concentration of establishments that sell alcoholic beverages, and to minimize impacts to surrounding areas. 7-Eleven is requesting a conditional use permit for a Type 21 off -sale Alcoholic Beverage Control (ABC) license. The proposed off -sale ABC license will provide an additional service and convenience to the community by allowing patrons the ability to purchase alcoholic beverages in conjunction with groceries and other general merchandise found in the store. The proposed use will not be detrimental to the health, safety, and welfare of the community. 7-Eleven is an established retail chain with policies, procedures, and employee training programs focused on preventing the sale of alcoholic beverages to minors. Moreover, 7-Eleven will be acquiring a license that is already established in the retail shopping center, which has no history of disciplinary action, and relocating to a different unit within the same center. The proposed project will enhance the economic viability of the area and enable this small, neighborhood -serving retail center to continue to compete with nearby shopping centers in Santa Ana, as well as those in Costa Mesa. The proposed use will be in compliance with all other regulations, including alcohol storage and display area and separation criteria set forth in Section 41-196(c) and 41-196(d) of the SAMC, Further, the site will be in compliance with all operational standards set forth in Section 41-196(f) of the SAMC, which govern 31 C-5 CUP Nos. 2016-10 and 2016-11 April 11, 2016 Page 4 the off -premise sale of alcoholic beverages (Exhibit 6). Finally, the proposed ABC license will be consistent with several goals and policies of the General Plan, including Goals 2 and 5 of the Land Use Element, which encourages [and uses that enhance the City's economic and fiscal viability, that mitigate any potential impacts, and are compatible with and supporting of surrounding land uses. 7 Eleven is proposing to locate within an existing commercial shopping center, with its operations and proposed ABC license compatible with the surrounding uses. Police Department Analysis The Police Department reviews conditional use permit applications for the after-hours operations of retail markets and for the sale and service of alcoholic beverages in order to ensure that the potential crime and nuisance behaviors associated with such uses are mitigated to the greatest extent possible. For after-hours operations and for off -sale licenses, the Police Department analyzes the crime rate in the area by matching the location of the business' census tract to the corresponding Police Grid. The City of Santa Ana is broken up into 102 police reporting grids. The Police Department generates an annual report, the Citywide Incident Rankings report, which ranks these reporting grids based on police activity. Those grids in the top 20 percent of activity are considered high crime and are further scrutinized for issues of over concentration. The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts. In keeping with the standard used by State ABC and Business and Professions Code, should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation. The project at 3960 South Main Street, Unit A, is located in Reporting District No. 171, Reporting District No. 171 ranks 82"d out of 102 reporting districts in the number of police related calls for service. This reporting district is below the average for criminal activity threshold established by the State for high crime. The Police Department contends that the conditions of approval and operational standards applicable to after-hours operations and to off -sale ABC licenses will mitigate any potential negative impacts to the surrounding community. The Police Department also reviews the number of ABC licenses within the census tract in which the site is located for potential over -concentration issues. A review of the local census tract has determined that this site is located in Census Tract 740.04. The ABC Department has determined that nine on -sale and four off -sale licenses are permitted within this census tract to service the local community. Currently, there are two on -sale licenses and four off -sale licenses active in the census tract, including the license that 7-Eleven has acquired, which means the census tract is not over concentrated with ABC licenses. 31 C-6 CUP Nos. 2016-10 and 2016-11 April 11, 2016 Page 5 Public Notification The project site is located along the southern boundary of the City with Costa Mesa and is located within the Sandpointe Neighborhood Association. Staff notified the City of Costa Mesa, who identified no concerns with the project. Staff had a meeting with the Sandpoint Neighborhood Association representative on February 11, 2016, who expressed support of the 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 In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15061(b)(3). This exemption applies to projects where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment. The project proposes to allow the 24-hour operation of a retail market and the off -premise sale of alcoholic beverages from an existing structure. No expansion of square footage or modification to the exterior of the building is proposed as part of this project. Strateaic 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. 2016-10 as conditioned and Conditional Use Permit No. 2016- 11. d Ricardo Soto Assistant Planner I RS:jrn US'.Reports=P 2016.'10&2016.11 U960 South Main Sl—CUP 2016-10 & OUP 2016-11 pc 31 C-7 CUP Nos. 2016-10 and 2016-11 April 11, 2016 Page 6 Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Exhibit 6 — Operational Standards for Off -Sale Establishments 31 C-8 I � - NI RI fl1 R7 . pl e L4 SD-43 5D-43 i�mren. CS no-rxo alrrca ` n roo g x CS SDd6 s� NI i.. a NI... ✓t1.PPNIC G y K PPO NU �RI G4 ASD-76 � PAD� vPPM xtPNC M1Il`Ylil)i�V Ot Ri I flt Ana 50-76 — pl G RI P 5....—... 2 SUNFLoweR Ave. PROJECTSITE c7 h e � Al (E WALAG CUL MW CR =IAAESIALfi90WDAL M SNGEFAIALYF DWAL -0 FAWNGM001FICATON G' MVRdMENTCeViCfi w MDFAMILYRMDENGE God C6MM5T5ALSYMMAIN MI UGR3NDUSUAL w MULflFLEDENSNMULTRE Ct GGAMUNfNCQNM6d'a M2 HFAWINDLkRAL FAMILYFESCENCE CI -MD 02MM. COMMMAUMUSW DISRMF MU NAUTAWOFEPARMS FN BIFAIR3gNAFARp MTS Ca G3EAWMAMBUAL D OPM&ACE F£ FHMMI-MTME C3 CFNTPALEU9IPAM p HWO E LWAL 9 WEVACDEV9.0FM[ T CA aNd LEJgNSMRGTMUACE FGD RANNMD MUNITYDLAWMW 9' WMHCRAN G RANNMSICFRNGWEH F1m pAN FDM9DFNPALDEaOFMENT C6 APIFNALCCMdMMAL CUP 2016-10 & CUP 2016-11 + 7-ELEVEN RETAIL MARKET 3960 SOUTH MAIN STREET, UNIT A — __ =500 FEET V = 1000 FEET P L A.... N N I N G A_ND_. B U I L D I N G— A G E N C Y- EXHIBIT 1 VICINITY MAP 31 C-9 MANUFACTURING & OFFICE STEVENS AVENUE 5 � 4 d MANUFACTU' ING & � F OFFICE \(3v rkd � COMMERCIAL SUNFLOWER AVENUE a r r CITY OF COSTA MESA EDISON _ STATION iSUB CUP 2016-10 & CUP 2016-11 7-ELEVEN RETAIL MARKET 3960 SOUTH MAIN STREET, UNIT P _LA_ N N I N GA N _D-_ B U I LD I N G —A G E N C _Y EXISTING LAND USE MAP EXHIBIT 2 31 C-10 CUP 2016-10 & CUP 2016-11 7-ELEVEN RETAIL MARKET 3960SOUTH MAIN STREET, UNIT SITE PHOTO EXHIBIT 3 31 C-11 To — —_ Cp J� y � �I ou t a S , I; EXHIBIT 5 31 C-13 Sec. 41-196. Establishments selling alcoholic beverages. Operational standards for off -sale establishments. The following operational standards shall be included as informational conditions in the conditions of approval for the conditional use permit required pursuant to Section 41-196 No alcoholic beverages shall be consumed on any property adjacent to the licensed premises under the control of the licensee. The applicant shall be responsible for maintaining free of litter the area adjacent to the premises over which he has control. 3. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, promoting or indicating the availability of alcoholic beverages on the premises, 4. There shall be no coin -operated games maintained on the premises at any time. 5. All public telephones shall be located on the interior of the premises. 6. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the applicant shall be removed or painted over within twenty-four (24) hours of being applied. The applicant shall post a placard prohibiting loitering, pursuant to California Penal Code ("CPC") section 602, on the exterior of the premises. 8. It shall be the applicant's responsibility to ensure that CPC section 602 is complied with at all times that the premises are in operation. 9. The applicant shall at all times utilize an age verification device for all purchases of alcoholic beverages. 10. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the police department, addressing at a minimum the following items; handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting, arguing or loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the licensee(s); verifying age/checking identification of patrons; calling the police regarding observed or reported criminal activity. EXHIBIT 6 1 of 3 31 C-14 11. If there is a marked or noticeable increase in the number of police -related incidents on or near the premises, as such increase may be determined by the chief of police, the applicant may be required to provide state -licensed, uniformed security guards at a number determined by the chief of police. 12. All managers and employees selling alcoholic beverages shall undergo and successfully complete a certified training program in responsible methods and skills for selling alcoholic beverages. The California Department of Alcoholic Beverage Control must approve said training program. Records of each employee's successful completion of the certified training program required by this section shall be maintained on the premises of the alcoholic beverage outlet and shall be presented upon request by a representative of the City of Santa Ana. 13. Alcoholic beverages in containers of less than sixteen (16) ounces cannot be sold by single containers, but must be sold in pre -packaged multi -unit quantities. 14. The sales of alcoholic beverages shall be permitted only between the hours of 7:00 a.m. and 12:00/midnight each day of the week unless otherwise modified by the granting of an after-hours conditional use permit. 15. Existing building and required parking must conform to the provisions of Chaffer 8, Article 11, Division 3 of the Santa Ana Municipal Code (building security ordinance). These code conditions will require that the existing project fighting, door/window locking devices and addressing be upgraded to current code standards. lighting standards cannot be located in required landscape planters. 16. Cash register must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage. 17. Window displays must be kept to a minimum for maximum visibility and shall not exceed twenty-five (25) per cent of window coverage. 18. Window displays and racks must be kept to a maximum height of three (3) feet including merchandise. 19. A timed -access cash controller or drop safe must be installed. 20. A silent armed robbery alarm must be installed and operable at all times. 21. Clearly distinguishable height markers shall be installed on the inside door jamb of all doors used by the public to access the store. Horizontal marks, one (1) inch wide by three (3) inch long, in different colors, and in a contrasting color to the background, shall be placed every six (6) inches beginning at five (5) feet and ending at six (6) feet six (6) inches. 2of3 31 C-15 22. No person under the age of twenty-one (21) shall sell or deliver alcoholic beverages. 23. Provide a closed circuit television system approved by the police department and capable of viewing and recording events inside and outside the premises including the parking areas with a resolution which will clearly identify individuals for later identification as follows: a) A minimum of one (1) color camera at each cash register that views the front of a customer, from the waist to the top of the head. b) A minimum of one (1) color camera that views the full length side of a customer at the cash register area. c) A color camera recorder capable of recording events on all cameras simultaneously. d) A tape or disc storage library of recorded cameras kept for a minimum of sixty (60) days. e) If video tape is used, tapes cannot be taped over more than six (6) times. f) An audio recording component that will record sounds occurring at the customer counter. g) An internet protocol (IP)-based system is required. 24, It shall be the operator's responsibility to submit a shopping cart containment plan pursuant to SAMC section 33.210. 25. The operator shall be responsible for obtaining all necessary permits for building tenant and freestanding signs. This shall include any window signs and temporary banners. 3 of 3 31 C-16 LS 4.11.16 RESOLUTION NO. 2016-xx A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NOS. 2016-10 AND 2016-11 AS CONDITIONED TO ALLOW 24-HOUR OPERATION AND AN OFF -PREMISE ALCOHOLIC BEVERAGE CONTROL LICENSE AT THE PROPERTY LOCATED AT 3960 SOUTH MAIN STREET, UNIT A 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. 2016-10 to allow 24-hour operation and Conditional Use Permit No, 2016-11 to allow an off -premise Alcoholic Beverage Control license at the property located at 3960 South Main Street, Unit A. B. Santa Ana Municipal Code Section 41-365.5(h) requires approval of a. conditional use permit for retail markets having less than 20,000 square feet of floor area that are open at any time between the hours of 12:00 midnight and 5:00 a.m. in the C5 zoning district, Applicant is proposing a 24-hour retail convenience store operation. C. Santa Ana Municipal Code Section 41-196 requires approval of a conditional use permit for establishments selling alcoholic beverages for either on -site or off -site consumption. D. On April 11, 2016, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2016-10 and Conditional Use Permit No, 2016-11. E. 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. 2016-10 to allow for after-hours operation: That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. Resolution No. 2016-xx Page 1 of 9 31 C-17 The proposed 24-hour operation will provide a service or facility which will contribute to the general well-being of the neighborhood or community. Approving an after-hours conditional use permit at the site will provide an additional convenience to the community by allowing patrons the ability to purchase a variety of store items at hours that are convenient for a broad range of customers. The proposed use will not negatively affect the surrounding community as conditions of approval have been included to reduce potential impacts and avoid the potential for an attractive nuisance being established. By offering extended hours of operation, the tenant can better serve the community by providing added convenience and a one -stop shopping experience. 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. The proposed 24-hour operation will not be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. The Police Department has determined that the proposed market is located in an area that is below -average in police -related incidents and is located within Reporting District No. 171, which ranks 82nd out of 102 citywide districts in total number of police -related incidents. The addition of after-hours operations at the site will not be detrimental to persons residing and working in the area as the use, as conditioned, will not create any negative or adverse 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 use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The approval of this application would support Policy 4.5 of the Economic Development Element of the General Plan. This policy encourages making land use decisions not based on purely fiscal consideration and stresses the importance of the qualitative implications that are associated with new uses. The approval of 24-hour operation for the retail establishment at this location will positively influence the present and future economic stability of the property by further diversifying the products and services offered within the store and area in general. Resolution No, 2016-xx Page 2 of 0 31 C-18 4. That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. The proposed use will be in compliance with all applicable standards in Chapter 41 of the Santa Ana Municipal Code regarding establishments that operate on a 24-hour basis. Conditions of approval have been added to ensure the project remains in compliance with all applicable codes and regulations related to 24-hour operation to ensure that the use does not impact neighboring properties or create an attractive nuisance. 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 UM The proposed project will not adversely affect the General Plan. Retail establishments and 24-hour operations are permitted within the General Commercial (GC) General Plan land use designation. The project is consistent with Goals 2 and 5 of the Land Use Element of the City's General Plan which promote land uses that enhance the City's economic and fiscal viability and that mitigate any potential impact crimes such as loitering, disturbing the peace, graffiti and other crimes that impact surrounding businesses and residential neighborhoods. The granting of this application is also consistent with Polices 5.1 and 5.5 of the Land Use Element of the General Plan, which encourage projects that are compatible with surrounding land uses. The project's proximity to residential properties to the north and west is mitigated by an existing six -foot -high block wall. F. 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 Section 41- 638, have been established for Conditional Use Permit No. 2016-11 to allow for off -premise Alcoholic Beverage Control license: 1. That the proposed use will provide a service or facility which will contribute to the general well-being of the neighborhood or community. The proposed off -sale Alcoholic Beverage Control (ABC) license will provide an additional service and convenience to the community by allowing patrons the ability to purchase alcoholic beverages in conjunction with groceries as well as a Resolution No, 2016-xx Page 3 of 9 31 C-19 variety of general merchandise that is available to the general public. The ABC license will not negatively affect the surrounding community as standards are applicable to the license that will reduce potential impacts and avoid the potential for an attractive nuisance being established. By adding alcoholic beverages to other items offered at the store, 7-Eleven can better serve the community by providing added convenience and a one stop shopping experience. 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. The proposed ABC license will not be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity as operational standards will ensure that the use will riot create any negative or adverse impacts. 7-Eleven is an established retail chain with policies, procedures, and employee training programs focused on security, alcohol responsibility, and preventing the sale of alcoholic beverages to minors, which ensure that alcohol sales are handled in a responsible manner. 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The proposed ABC license will not adversely affect the present economic stability or future economic development of properties surrounding the area. Conversely, the approval of this application would enhance the present and future economic stability of the property by further diversifying the products and services offered within the store and in the shopping center in general. Further, this will allow the shopping center to remain competitive with similar uses in the area. 4. That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. The proposed alcohol license will be in compliance with all applicable regulations and operational standards found in Chapter 41 of the Santa Ana Municipal Code regarding off - premise alcohol licenses. Operations standards will ensure the project remains in compliance with all applicable codes and regulations related to alcohol sales to ensure that the Resolution No. 2016-xx Page 4 of g 31 C-20 use does not impact neighboring properties or create an attractive nuisance. 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 use will not adversely affect the General Plan. Retail establishments that offer alcoholic beverages for off - premise consumption are permitted within the General Commercial (GC) General Plan land use designation. The project is consistent with Goals 2 and 5 of the Land Use Element of the City's General Plan which promote land uses that enhance the City's economic and fiscal viability and that mitigate any potential impact crimes such as loitering, disturbing the peace, graffiti and other crimes that impact surrounding businesses and residential neighborhoods. Further, the project is consistent with Policy 2.2 of the Land Use Element, which encourages land uses that accommodate the City's needs for goods and services, The granting of this application is also consistent with Police 5.5 of the Land Use Element of the General Plan, which encourage projects that are compatible with surrounding land uses. The use will be located within a neighborhood serving commercial center and its operations will be compatible with the surrounding commercial businesses. G. In accordance with the California Environmental Quality Act, the recommended action is exempt for further review per Section 15061(b)(3), which is a general rule exemption applying to projects that have no possibility of having a significant impact on the environment. General Rule Exemption Environmental Review No. 2015-113 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. 2016-10 as conditioned in Exhibit A, attached hereto and incorporated herein, and Conditional Use Permit No. 2016-11, for the project located at 3960 South Main Street, Unit A. This decision is Resolution No.2d16-xx Page 5 of 9 31 C-21 based upon the evidence submitted at the abovesai limited to: the Request for Planning Commission exhibits attached thereto; and, the public testimony incorporated herein by this reference. ADOPTED this 11 m day of April, 2016. AYES: Commissioners: NOES: Commissioners: ABSENT: Commissioners: ABSTENTIONS. Commissioners: APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney d hearing, which includes, but is not Action dated April 11, 2016, and , written and oral, all of which are James Gartner Chairperson CERTIFICATE OF ATTESTATION AND ORIGINALITY I, ROSA BARELA, Acting Recording 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 April 11, 2016. Acting Recording Secretary City of Santa Ana Resolution No. 2016-xx Page 6 of 9 31 C-22 e Conditions of Approval for Conditional Use Permit No. 2016-10 Conditional Use Permit No. 2016-10 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this 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. 2015-59). 2. The applicant shall install and maintain bicycle parking as required by Section 41-1307.1 of the Santa Ana Municipal Code. 3. Any signs will be subject to separate sign permit review and approval. B. Police Department The applicant shall provide the Police Department with a security plan for store operations which will mitigate exterior attractive nuisances associated with late night operations. The security plan is to be approved by the Police Department. 2. The applicant shall be responsible for maintaining the premises free of graffiti. All graffiti shall be removed within 24 hours of occurrence. 3. Cash register must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage. 4. Window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Windows shall be kept clear of any advertising materials between three and six feet in height. 5. Window displays and racks must be kept to a maximum height of three feet including merchandise and cannot obstruct the cashiers view to the outside. Resolution No, 20'16-xx Page 7 of 9 31 C-23 6. A timed -access cash controller or money drop safe capable of easily providing the cashier the ability to quickly deposit money into it must be installed. 7. Install a silent armed robbery alarm. & There shall be no coin -operated games maintained on the premises at any time. 9. All pay telephones shall be located inside the premises. 10. The applicant shall be responsible for maintaining the premises free of litter. 11. The Conditional Use Permit shall be reviewed at ninety days, six months, at one year and then annually thereafter by the Police Department for any modification to the conditions of approval. 12. "No Loitering/Trespass" signs/placards shall be posted in the parking lot. The posted signs must conform to Penal Code Section 602. 13. Provide a Closed Circuit Television System approved by the Police Department and capable of viewing and recording events inside the premises with a resolution which will clearly identify individuals for later identification as follows; a. A minimum of one color camera at each cash register that views the front of a customer, from the waist to the top of the head. b. A minimum of one color camera that views the full length side of a customer at the cash register area. c. A color camera recorder capable of recording events on all cameras simultaneously. d. A tape or disc storage library of recorded cameras kept for a minimum of 60 days. e. If video tape is used, tapes cannot be taped over more than six times. f. An audio recording component that will record sounds occurring at the customer counter. g. Cameras are to cover the parking lots. Resolution No, 2016-xx Page 8 of 9 31 C-24 h. Clearly distinguishable height markers shall be installed on the inside doorjamb of all doors used by the public to access the store. Horizontal marks, one -inch wide by three inch long, in different colors, and in contrasting color to the background, shall be placed every six inches beginning at five feet and ending at six feet six inches. Resolution No.201H-xx Page 9 of 9 31 C-25 31 C-26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: REGIONAL PLANNED SIGN PROGRAM NO.2016.01 MCFAIDDEN PLACE AT 1421 SOUTH VILLAGE WAY — PAULA HALVERSON, APPLICANT (STRATEGIC PLAN NO.3, 2) CITY MANAGM. RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED Q As Recommended As Amended ® Ordinance on 1•' Reading C� Ordinance on 2nd Reading Implementing Resolution L� Set Public Hearing For CONTINUED TO FILE NUMBER Receive and fife the staff report approving Regional Planned Sign Program No. 2016-01 as conditioned. PLANNING COMMISSION ACTION At its regular meeting on April 11, 2016, by a vote of 5:0 (Alderete and Bacerra absent), the Planning Commission adopted a resolution approving Regional Planned Sign Program No. 2016- 01 as conditioned to allow a 60-foot tall pylon sign message display for McFadden Place at 1421 South Village Way located in the McFadden Place/Specific Development (Sid-86) zoning district. The Planning Commission made no changes to the recommendation outlined in the attached staff report (Exhibit A), The applicant is requesting approval of a regional planned sign program to amend and replace an existing planned sign program to allow construction of a 60-foot tali pylon sign replacing the existing 45-foot tall electronic message sign, which has ceased to function. The new sign would contain an electronic message display and three static panels for individual tenants, as well as a panel with "Santa Ana" displayed. The electronic message display portion of the sign would measure eight feet by 25 feet and the static tenant sign panels would measure two and one-half feet by 25 feet wide. Full-sized site plans are available for public viewing In the Clerk of the Council Office, STREEGIC PLAN AL-1,914MENT 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), 31 D-1 Regional Planned Sign Program No, 2010.01 — McFadden Place Digital Sign at 142.1 South Village Way May 3, 2016 Page 2 Fl$CAL IMPACT There is no fiscal impact associated with this action. `rJf/f�IW AP.rb apWAReparhMStaf4 Reports for OMRSPQ 2018-01 McFadden Place Signs 1421 SO.Vlllage;ne Exhibit; A. Planning Commission Staff Report 31 D-2 REQUESTFOR APRIL 11, 2016 TITLE: PUBLIC HEARING — FILED BY PAULA HALVERSON TO ALLOW REGIONAL PLANNED SIGN PROGRAM NO. 2016-01 AT MCFADDEN PLACE AT 1421 SOUTH VILLAGE WAY (STRATEGIC PLAN NO. 3,2) Prepared by Ali Pezeshkpour Executive Director APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Regciest ❑ Staff Recommendation CONTINUED TO Planning Man4 eri- Adopt a resolution approving Regional Planned Sign Program No. 2016-01 as conditioned. Request of the Applicant Paula Halverson, representing Northern McFadden Limited Partnership, is requesting approval of a comprehensive regional planned sign program for the mixed -use McFadden Place regional commercial center located at 1421 South Village Way. Specifically, the applicant is requesting approval of an electronic message display ("digital sign") at the existing center. Prooiect Location and Site Description The subject property, known as McFadden Place, is a 17-acre development located on Village Way just south of McFadden Avenue and south of the southbound entrance to the Costa Mesa (SR-55) Freeway. Nine buildings, consisting of approximately 278,689 square feet, as well as 850 parking spaces, are located on the site. The proposed regional planned sign program will update an existing planned sign program for the property to allow construction of a 60-foot tall pylon sign oriented toward the Costa Mesa Freeway with an eight -foot by 25-foot electronic message display. The General Plan land use designation for the site is Industrial (IND), which allows for a variety of industrial and industrial -serving commercial uses. The proposed project is consistent with the General Plan. The subject site is located in the McFadden Place/Specific Development (SD) No. 85 zoning district. SD-85 is a zoning designation that allows industrial, commercial, and recreational uses. These uses include retail, restaurants, and indoor sports facilities subject to approval of a CUP. The project site is consistent with this zoning designation. The site is surrounded by industrial uses to the north and west, the LOSSAN rail corridor and Santa Ana Auto Mall to the south, and the Costa Mesa Freeway to the east (Exhibits 1, 2, and 3). EXHIBIT A 31 D-3 Regional Planed Sign Program No. 2016-01 April 11, 2016 Page 2 Project Description The applicant is requesting approval of a regional planned sign program to amend and replace an existing planned sign program to allow construction of a 60-foot tall pylon sign. The sign would be erected where a current 45-foot tall electronic message display pylon exists, which has ceased to function. The new sign would contain an electronic message display and three static panels for individual tenants, as well as a panel with "Santa Ana" displayed. The electronic message display portion of the sign would measure eight feet by 25 feet and the static tenant sign panels would measure two and one-half feet by 25 feet wide (Exhibit 4). The electronic message display portion has been designed with technology to minimize light intrusion onto any residential areas located across the Costa Mesa Freeway in the city of Tustin. Its placement will maximize visibility from motorists traveling north or south on the freeway, and the display will feature technology to limit brightness over ambient light conditions as required by the SAMC. In addition, the overall height of the sign will enhance its visibility from the freeway, which is elevated just south of the sign in order to traverse the LOSSAN corridor railroad tracks. The proposed replacement sign, although taller, will not displace any additional parking stalls at the center. The sign's colors and design are intended to complement the existing colors and architectural style at the center. No other changes are proposed to the existing sign program. The existing sign program allows a variety of wall, monument, and building -mounted blade signs to advertise businesses and business activities on the site. Praiec# background McFadden Place was constructed in the early 1970s as an industrial park and was historically used by warehouse, distribution and warehouse related uses. Since that time, CUP No. 1988-08, which acknowledged the transitioning nature of the site and its ease of access and visibility from the Costa Mesa Freeway, was approved to allow a combination of retail and industrial related uses on the site. In 2012, two conditional use permits were approved to allow indoor sports facilities at McFadden Place: Sender One Indoor Climbing and the Australian Swim School. Following the success of these establishments, representatives for McFadden Place petitioned to rezone the property from Light Industrial (M-1) to a specific development zone. Subsequently, AA No. 2013-02 was approved, establishing the McFadden Place/Specific Development (SD) No. 85 zoning district, which allows for a variety of industrial, commercial, and recreational uses. At the time that SD No. 85 was approved, a planned sign program was adopted for the center which established the allowable sign types and standards found at the center today. Because the allowable signage types and standards in that sign program met all Municipal Code standards at the time, approval of a regional planned sign program was not required. The proposed 60-foot pylon sign with an electronic message display requires approval of the subject application for a regional planned sign program. The current tenant mix, the site's location adjacent to a freeway, and its acreage, make it eligible for approval of a regional planned sign program application due to its nature as a regional commercial center. 31 D-4 Regional Planed Sign Program No. 2016-01 April 11, 2016 Page 3 In March 2014, the City Council adopted Ordinance No. NS-2861. This ordinance amended standards for on -premise signage, creating provisions that allow certain commercial centers and attractions to apply for regional planned sign programs containing unique signage, including digital displays, on the subject premises. The ordinance also requires that the regional planned sign programs be reviewed by the Planning Commission. McFadden Place currently contains a 45-foot tall electronic message display sign. The sign was used to advertise on -site businesses and business activities. After several decades of use, the sign fell out of repair and became obsolete. The applicant is applying for a regional planned sign program in order to update the existing sign program on the site to allow replacement of the obsolete sign with a new, 60-foot tall pylon sign with an electronic message display. Prolect Analysis Regional planned sign program requests are governed by Section 41-885 of the SAMC, which was established by ordinance in 2014 and requires that applications for regional planned sign program be reviewed in a manner consistent with conditional use permits, as detailed in Sections 41-633 through 41-651 of the SAMC. The ordinance also contains findings of fact for planned sign programs, which are intended to ensure that the scale and intensity of the proposed signage is consistent with surrounding land uses, that the location of the proposed signage will not create a hazardous environment for those on City streets or nearby freeways, and that the proposed signage is compatible with the scale, intensity, and site development characteristics. Further, the ordinance contains provisions for electronic message displays ("digital signs") in planned sign programs for regional commercial centers and regional attractions. The review of these digital signs is intended to establish baseline conditions for all electronic message displays that would protect the health, safety, and welfare of those within viewing distance of such signage while also allowing flexibility in digital technology as it advances overtime. Staff review of the proposed regional planned sign program indicates that the proposed signage and the digital reader board technology are consistent with the provisions of the ordinance. First, the McFadden place site is eligible to apply for an electronic sign as it meets the definition of a regional commercial center. Second, the proposed signage will comply with the conditions imposed on electronic message display signs, including provisions that the sign: be oriented to minimize visual and light emitting intrusion onto residentially zoned or used properties, produce a maximum light level of 0.3 foot-candles over ambient light levels, incorporate a means to ensure flexibility in reducing light levels upon request by the City, and provide a means of limiting excessive light or glare and have automatic diming capabilities. In addition, the digital sign copy will also be restricted to change only through an immediate transition of the message that does not have the appearance of moving text or images, shall not use flashing, intermittent or moving lights or produce the optical illusion of movement, and shall be 31 D-5 Regional Planed Sign Program No. 2016-01 April 11, 2016 Page 4 on display for a minimum of eight seconds. Fourth, the proposed electronic message display will not be located within 50 feet of a traffic signal or sign or at a location that would not maintain safe conditions for motorists, pedestrians or cyclists as determined by the Public Works Agency. Finally, a minimum of five percent of the display time (three minutes per hour) will be allocated for public service announcements or warning signs as requested and provided by the City. The proposed regional planned sign program is designed to be consistent and harmonious with the surrounding commercial land uses and will not contribute to visual or physical blight. The location and height of the pylon are needed due to the orientation of the site toward the Costa Mesa Freeway. The digital sign will incorporate technologies that will minimize light intrusion into neighborhoods, including automatic and manual dimmers that will regulate the lighting levels that may spill into adjacent uses. All signs will be located on private property that is adjacent to a major freeway, and the pylon sign is designed to comply with the regional planned sign program ordinance. The pylon sign and electronic message display will be in scale with the surrounding freeway, which will minimize the potential for creating a hazardous environment for pedestrians, cyclists or motorist travelling in the immediate vicinity where the signs are visible. The proposed signage will be compatible with the scale and site development characteristics, and the electronic message display will be placed in a strategic location intended to maximize visibility of the center. The 60-foot height of the pylon and digital sign will allow the signs to be visible from local freeways whose viewships are altered by overcrossings and significantly wide rights -of -way. Finally, the proposed pylon sign will be architecturally compatible with the signs permitted by the existing sign program and with the buildings found at McFadden Place, Public Notification The project site is not located within or near any neighborhood association. Staff has been in contact with the property owner, who has informed the existing tenants of the proposed use. The project site itself was posted with a notice advertising this public hearing, a notice was published in the Grange County Reporter and mailed notices were sent to property owners and occupants within 500 feet of the project site. At the time of this printing, no correspondence, by phone, written, or electronic, had been received from any members of the public, CEQA Analysis In accordance with the California Environmental Quality Act, the proposed project is exempt from further review pursuant to Section 15311. Section 15311 applies to structures accessory to a commercial use, with the proposed on -premise signs serving as minor structures that are accessory to the primary regional commercial center use. Categorical Exemption Environmental Review No. 2015-93 will be filed for this project. 31 D-6 Regional Planed Sign Program No. 2016-01 April 11, 2016 Page 5 StrateWe 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 Regional Planned Sign Program No. 2016-01 as conditioned, Ali Pezeshkpour Senior Planner AP:jm apWAReporls\S:aff Reports for PC\RSPG 2010-01 McFadden Place Signs 1421 So Village.pc Attachments: Exhibit 1 — General Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photograph Exhibit 4 — Regional Planned Sign Program 31 D-7 R4 R4 Mt I MI R3 AI C cs M7 MT 3 Mt Mt GET AV. M1 SD-69 5D-69 M M1 MI M1 y 51h 5D-69 WN M7 SO-69 AI GENERAL AGRICULTURAL GSM SOUTH MAIN STREET COMMERCIAL D15TRICT .B PARKING MODIFICATION A FLOORAREARATIO CI COMMUNITY COMMERCIAL GC GOVERNMENTCENTER ChMO COMMUNITY COMMERCIAL -MUSEUM DISTRICT MI ❑GHTINDUSTRIAL C2 GENERAL COMMERCIAL M2 HEAVYINDUSTRIAL a CEMAALBUSINESS MO MILITARY OPERATIONS CSA CENTRAL BUSINESS-ARFAI VILLAGE 0 OPEN SPACE C4 PLANNED SHOPPING CENTER �OZ OVERLAY ZONE CS ARTERIAL COMMERCIAL P PROFESSIONAL CA COMMERCIAL RESIDENTIAL PCD PLANNED COMMUNITY DEVELOPMENT MI C11) OI T„,,,n PD PLANNED DEVELOPMENT PRO PIANNEORESIDENIIALD NELOPMENT RI SINGLE-FAMILY RESIDENCE R2 RHO-FAMILYRESIDENCE RE MULTIPLE -FAMILY RE5IDENCE R4 SUBURBAN APARTMENT RE RESIDENTIAL ESTATE SO SPECIFIC DEVELOPMENT SP SPECIFIC PLAN RSPG 2016-1 MCFADDEN PLACE REGIONAL PLANNED SIGN PROGRAM 1421 SOUTH VILLAGE WAY - =500 FEET V = 1000 FEET P L A N N I N G A N D B U I I. 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R7M )qf\` a 31D- § ?Ar,Tx44e,n- f t xce E V W G �Ww�w K ems[ �bao u O VJ .'.m..MEE m rn 0 0 ■J J 31 D-30 't f McTx*m Ptxce, 7 31 D-31 �1'�.C�A.t�C�GYt f ZGUGE +4 in9 6-�6 'tl3'A A91eY11�5 � m s d 31 D-32 )t c,Txt evc f't ice I 31 D-33 7Kc.Tx*,n Ptxce 31 D-34 ?ACTAV r ,n Place 31 D-35 �tc3�ar��en- 'lace 31 D-36 McFx44eh ,Place 31 D-37 3 31 D-38 I_S 3.2&16 RESOLUTION NO. 2016-XX A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING REGIONAL PLANNED SIGN PROGRAM NO. 2016-01 AS CONDITIONED TO APPROVE THE COMPREHENSIVE REGIONAL PLANNED SIGN PROGRAM FOR MCFADDEN PLACE LOCATED AT 1421 SOUTH VILLAGE WAY BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. The applicant is requesting approval of Regional Planned Sign Program No. 2016-01 as conditioned to allow a variety of wall, freestanding, pylon, digital, and blade signs at the existing McFadden Place center which is a " regional commercial center" per Santa Ana Municipal Code Section 41-885 (a)(1). The proposed regional planned sign program will contain a variety of signage types that will be installed throughout the site and on the mall buildings. B. Following the establishment of Specific Development (SD) No. 85 in 2013, a planned sign program was approved for the property pursuant to Santa Ana Municipal Code Section 41-880, The planned sign program contained provisions for allowable sign types and standards for all signage on the property. C. Santa Ana Municipal Code Section 41-885 requires a regional planned sign program to be approved by the Planning Commission for regional commercial centers, attractions, or automobile dealerships. D. On April 11, 2016, the Planning Commission held a duly noticed public hearing on Regional Planned Sign Program No. 2016-01. E. The Planning Commission determines that the following findings, which must be established in order to grant this Regional Planned Sign Program pursuant to Santa Ana Municipal Code Section 41-885, have been established for Regional Planned Sign Program No, 2016-01 to allow for the variety of wall, freestanding, pylon, digital, and blade signs at the existing regional shopping center: That the scale and intensity of the proposed signage is consistent and harmonious with surrounding land uses and does not create conditions that could contribute to visual or physical blight intrusion or similar incompatibilities. The proposed signage contained within the regional planned sign program is designed to be consistent and harmonious with the surrounding commercial land uses and will not contribute to visual or Resolution No. 2016-xx 31 D-39 Page 1 of physical blight. The location and height of the signs are needed due to the orientation of the site toward the Costa Mesa Freeway. The freeway's configuration, with a variety of above -grade configurations, limits visibility of the project site. Additional signage opportunities will maximize view of the site for motorists on the adjacent freeway. Further, signage will be oriented toward traffic on the freeways, which will minimize light impacts on residential uses located across the freeway in the city of Tustin. The electronic message display will incorporate technologies that will minimize light intrusion into neighborhoods, including automatic and manual dimmers that will regulate the lighting levels that may spill into adjacent uses. Z That the location of the proposed signage will not contribute towards a hazardous environment for pedestrians, cyclists or motorists on City streets or freeways. The proposed signs will be located on private property that is adjacent to a major freeway (the Costa Mesa Freeway(SR-55). The signs are designed to be in scale with the surrounding streetscape, which will minimize the potential for creating a hazardous environment for pedestrians, cyclists or motorists travelling in the immediate vicinity where the signs are visible. 3. That the proposed signage is compatible with the scale, intensity, and site development characteristics on which it is proposed, which may be determined by height of existing or proposed buildings on -site; the quantity of freestanding buildings, facades, and street frontages; scale of buildings as they relate to pedestrian and vehicular access surrounding land uses and transportation corridors; visibility from streets, highways, pedestrian areas, rail corridors bikeways other transportation routes, parks, and other public spaces; architecture color(s), material( s), illumination, and other site characteristics; the nature of business activities conducted on -site; and, visibility from any property used or zoned for residential purposes. The proposed signage will be compatible with the scale and site development characteristics on which they are proposed as the signs will be placed in strategic locations intended to maximize visibility of the mall, which is the intended audience for the signs. The 60-foot height of the pylon will allow the sign to be visible from a local freeway whose viewship is affected by overcrossings, significantly wide rights -of -way, and above -grade configurations. Further, the proposed signage, including the digital reader board sign, are an appropriate means of advertising the multitude of stores and products sold at the regional commercial center. Finally, the proposed signs will be architecturally compatible with one another and with the buildings found at McFadden Place. Resolution No. 2016-xx Page 2 of 6 31 D-40 E. In accordance with the California Environmental Quality Act (CEQA) the proposed project is categorically exempt from CEQA review per Section 15311. The Class 11 exemption applies to structures accessory to a commercial use, with the proposed on - premise signs serving as minor structures that are accessory to the primary regional commercial center use. The project meets all criteria of Section 15311(a), 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 sole 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 Regional Planned Sign Program No. 2016-01 as conditioned in Exhibit "A" attached hereto and incorporated herein for the project located at 1421 South Village Way. This decision is based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Planning Commission Action dated April 11, 2016, and exhibits attached thereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. ADOPTED this 11th day of April, 2016. AYES: Commissioners: NOES: Commissioners: ABSENT: Commissioners: ABSTENTIONS: Commissioners: APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney James Gartner Chairperson Resolution No. 2016-xx 31 D-41 Page 3 of 6 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, ROSA BARELA, Acting Recording 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 April 11, 2016. Acting Recording Secretary City of Santa Ana Resolution No. 2016-xx Page 4 of 6 31 D-42 EXHIBIT A Conditions for Approval for Regional Planned Sian Program No. 2016-01 Regional Planned Sign Program No. 2016-01 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this sign program. The applicant must remain in compliance with all conditions listed below throughout the life of the sign program. Failure to comply with each and every condition may result in the revocation of the sign program. A. Planning Division The pylon sign shall contain an easily -legible and accessible phone number available at all times for response 24 hours per day, seven days per week in case of digital signage malfunction or failure. In addition to its on -premises advertising and identification purposes, the sign shall be used for public service announcements or warning signs as requested and provided by the City of Santa Ana. At a minimum, five (5%) percent of the display time shall be set aside for these public messages. At all times, the digital sign shall comply with all federal, state and local laws, regulations and permitting requirements. 4. The bottom static sign panel on the pylon sign shall at all times integrate a display of the text "Santa Ana" in fashion that is of consistent scale and legibility as the other static panels. Any landscaping, including but not limited to trees, shrubs, groundcover, and hardscape materials, that is removed to accommodate installation of new signage shall be replaced or enhanced in a nearby area on the site. In the event that staff determines that a significant amount of landscaping is to be removed as part of the project, staff may request a landscape plan to be submitted by the applicant to ensure compliance with the City's design standards for commercial properties. Prior to any building permit finals, the applicant shall restore any dead or missing landscaping on the entire site. 7. Prior to any building permit finals, the applicant shall remove all debris, debris or rubbish containers, and outside storage bins other than those which are enclosed or for regulartrash pickup. Resolution No. 2016-xx 31 D-43 Page 5 of 6 8. Prior to any building permit finals, the applicant shall repaint or restore any paint blemishes, discoloration, or marred paint from rust or water runoff on all site structures, including the commercial center buildings, parking structures, and signage that is intended to remain in place. 9. The applicant or operator of the electronic message display shall measure lighting levels of both digital signs after seven days and after one month of full operation and submit lighting levels reports to the Planning Division for review to ensure compliance with brightness standards contained within the Santa Ana Municipal Code. 1O.Any amendment to this regional planned sign program must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the approved sign program must be amended. Resolution No. 2016-xx Page 6 of 6 31 D-44 REQUEST FOR COUNCIL ANION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: RESOLUTION APPROVING RELOCATION PLAN FOR BRISTOL STREET PHASE 3A IMPROVEMENTS BETWEEN CIVIC CENTER DRIVE AND WASHINGTON AVENUE (PROJECT NO. 136792) (NONGENERAL FUND) (STRATEGIC PLAN NO. 6, 1G & 3, 2C) CITY MAN ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: FTAT2209ti ❑ As Recommended ❑ As Amended ❑ Ordinance on 1'' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution M Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution approving the Relocation Plan for Bristol Street Phase 3A Improvements between Civic Center Drive and Washington Avenue. DISCUSSION Bristol Street is a north -south transportation facility, which is designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane is a long-term priority project that will be constructed in several phases. Improvements include widening the street from two to three lanes in each direction, constructing raised landscape medians, and installing bike lanes. The Public Works Agency is acquiring property for development of Phase 3A, bounded by Civic Center Drive and Washington Avenue (Exhibit 1). The right-of-way acquisition process is expected to be completed by spring 2017, with construction scheduled to begin in summer 2017. Pursuant to California Government Code, a public entity is required to adopt a relocation plan by resolution whenever it enters into an agreement for acquisition of real property or an agreement for the disposition and development of property which would lead to displacement of people from their homes. In conformance with this provision, the City prepared a Bristol Street Phase 3A Relocation Plan (Relocation Plan) to outline the requirements for moving and reestablishing displaced residential and business occupants, and to demonstrate the level of advisory and financial assistance that will be provided (Exhibit 2). Based on occupant interviews, needs analyses, and searches for appropriate replacement sites, the total estimated relocation cost is approximately $3.12 million. The resolution adopting the Relocation Plan requires Council approval before the property acquisitions can proceed. 55A-1 Relocation Plan for Bristol Street Phase 4 Between Warner and St. Andrew May 3, 2016 Page 2 The Draft Relocation Plan was made available for public review for 30 days beginning March 31, 2016, at the Santa Ana Main Library, the City Clerk's Office, the Public Works Agency public counter, and on the City's website. Each potential displaced occupant and affected property owner was given an advisory notice regarding the availability of the Relocation Plan and the opportunity to submit questions and comments by April 30, 2016. All comments/questions and responses have been incorporated into the Relocation Plan that is presented here for Council approval. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the proposed improvement as the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications related to Phase 3A, an Addendum to the FEIS/EIR was prepared and adopted according to the California Environmental Quality Act by City Council on April 7, 2015. FISCAL IMPACT Funding for the estimated cost of $3,114,470 is available in the Bristol Street Improvements Project (No. 136792): $1,557,235 in the Select Street Construction Fund (Account No. 05917661-66220), and $1,557,235 in the Measure M2 Street Construction Fund (Account No. 03217663-66220). Preliminary estimates of fiscal year expenditures for this project are as follows and are subject to change: 55A-2 Relocation Plan for Bristol Street Phase 4 Between Warner and St. Andrew May 3, 2016 Page 3 Account No. Fiscal Year Amount 05917661-66220 2015-2016 $250,000.00 03217663-66220 2015-2016 $250,000.00 05917661-66220 2016-2017 $1,307,235.00 03217663-66220 2016-2017 $1,307,235.00 TOTAL $3,114,470.00 Fre Mou avlp ur - — Executive Director Public Works Agency FM/EWG/KN Exhibits: 1. Location Map 2. Relocation Plan 3. Resolution APPROVED AS TO FUNDS AND ACCOUNTS: �1�5R!,ZkIax Francisco Gutierrezr9 Executive Director Finance & Management Services Agency 55A-3 55A-4 N (NTS) MATCHLINE SEE BELOW RIGHT 455 262-27 10TH STREET 55-262-2 am5-262-25 4mb-26224 h I" r 405-262-23 m WSTREET 5 262 22 5-262-2 ��LEEEGGGEENTTTD: I/ PROJECT LOcar�t]N SANTA ANA CITY COUNCIL P W A AGENDA DATE: u MAY 03, 2016 PUBLIC WORKS AGENCY CIVIC CENTER DR. I .______.JI--- WASHINGTON AVENUE 271-rz A^ -11 n I m I (121 12TH STRE 4!R5-24-15 a m _ �? 455-27*,-29 N RG v 455-262-33 0 A -- e 485-262-32 11TH STRE T ——. 405-262-31 WI N . I N -� 485-262-]5 a e - dl d 111_J D5-262-29 N � 495-262-28 10TH MATCHLINE SEE TOP LEFT EXHIBIT 1 RESOLUTION APPROVING RELOCATION PLAN FOR BRISTOL STREET IMPROVEMENTS (PROJECT NO, 136792 NONGENERAL FUND) (Strategic Plan No. 6, 1, G; and 3, 2, C( PAGE 1 OF 1 55A-5 y ADVISORY NOTICE March 31 2016 On behalf of the City of Santa Ana, we are notifying you that the draft Relocation Plan for the Bristol Street Improvement Project — Civic Center Drive to Washington Avenue (Phase III A) has been completed. The Plan will be available for a period of thirty (30) days for public review and comment beginning Thursday March 31, 2016. All written comments regarding the Plan should be submitted no later than 5:00 p.m., Saturday, April 30, 2016. The Relocation Plan is available for your review at the following locations: City of Santa Ana 20 Civic Center Plaza City Hall, 8th Floor Santa Ana, CA 92701 Monday — Thursday (8 am — 5 pm) Alternate Fridays (8 am — 4pm) City of Santa Ana 20 Civic Center Plaza Ross Annex Bldg, 1" Floor Santa Ana, CA 92701 Monday — Thursday (8 am — 5 pm). Alternate Fridays (8 am — 4 pm) The draft Relocation Plan will also be posted at the following link: www.santa-ana.o[g/pwa/bristoistreetwideningproiect4.asp. City of Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 Monday — Thursday (10 am —9 pm) Friday and Saturday (10 am — 6 pm) Sunday (12 pm — 4 pm) If you have any comments regarding the draft Relocation Plan or the proposed project, submit your written comments by Saturday April 30, 2016 to: Ms. Daniela Borbe Overland, Pacific & Cutler, Inc. 1 Jenner, Suite 200 Irvine, CA 92618 Be' dugc giup da bang tie'ng Viet An vui Idng lien lac (562) 304-2000 Overland, Pacific & Cutler, Inc. 1 Jenner, Suite 200, Irvine, CA 92618 (949) 951-5263 tel Exhibit 2 (949) 951-6651 fax 55A-7 NOTA DE AVISO 31 de Marzo del 2016 A favor de la Cuidad de Santa Ana, le notificamos que el Proyecto de Plan de Reubicaci6n pare el proyecto de la Mejora de la calle Bristol — Civic Center Drive a Washington Avenue (Fase IIIA) se ha completado. El Plan estara disponible por un perfodo de treinta (30) dfas para revision y comentario publicos que empiezan el Jueves, 31 de Marzo del 2016. Todos comentarios con referencia al Plan, deben ser sometidos por escrito a mas tardar las 5:00 de la tarde, el Sabado, 30 de Abril del 2016. El Plan de la Recolocacidn esta disponible pare su revision en las ubicaciones siguientes: City of Santa Ana 20 Civic Center Plaza City Hall, 8th Floor Santa Ana, CA 92701 Lunes — Jueves (8 am — 5 pm) Cada otro Viernes (8 am — 4pm) City of Santa Ana 20 Civic Center Plaza Ross Annex Bldg, 1S1 Floor Santa Ana, CA 92701 Lunes - Jueves 8:00am — 4:00pm Cada otro Viernes (8 am — 4 pm) City of Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 Lunes - Jueves (10 am — 9 pm) Viernes - Sabado (10 am — 6 pm) Domingo (12 pm — 4 pm) El redacte Plan de Reubicaci6n tambien se publicaran en el siguiente enlace: wvvw.santa-ana.oLg/pwa/bristoistreetwideningproiect4.asp. Si tiene cualquiera comentario con respecto al Plan o el proyecto propuesto, envie tus comentarios por escrito por el Sabado, 30 de Abril de 2016 a: Overland, Pacific & Cutler, Inc. 1 Jenner, Suite 200, Irvine, CA 92618 (949) 951-5263 tel (949) 951-6651 fax Atencion: Ms. Daniela Borbe Overland, Pacific & Cutler, Inc. 1 Jenner, Suite 200 Irvine, CA 92618 y � • Bristol Street Improvement Project Civic Center Drive to Washington Avenue (Phase 3A) Final Relocation Plan Prepared for: City of Santa Ana Public Works Agency 20 Civic Center Plaza, M-36 Santa Ana, CA 92702 0 Overland, Pacific & Cutler, Inc. 1 Jenner, Suite 200 Irvine, California 92618 (949) 951-5263 May 2, 2016 CCM 05/03/2016 55A (updated page) 55A-9 Introduction........................................................................................................................................................1 I. Project Area Description...........................................................................................................................2 A. Project Site Location.......................................................................................................................z B. Project Description.........................................................................................................................2 C. General Demographic and Housing Characteristics..................................................................... 4 II. Assessment of Relocation Needs.............................................................................................................5 A. Survey Methods..............................................................................................................................5 B. Field Survey Data — Residential.......................................................................................................5 1. Housing Mix.............................................................................................................................6 z. Occupancy Standards.............................................................................................................. 6 3. Income.......................................................................................................................................7 4. Ethnicity/Language...................................................................................................................7 5. Households with Seniors..........................................................................................................7 6. Households with Disabilities....................................................................................................7 7. Preferred Relocation Areas..................................................................................................... 8 C. Field Survey Data — Non-Residential.............................................................................................. 8 III. Relocation Resources............................................................................................................................. 10 A. Methodology................................................................................................................................. io B. Replacement Housing/Commercial Site Availability.................................................................... to t. Residential For -Sale Rental Housing...................................................................................... to z. Commercial Space Availability................................................................................................ 11 3. Loss of Goodwill...................................................................................................................... 12 4. Summary.................................................................................................................................13 C. Related Issues................................................................................................................................13 1. Concurrent Residential Displacement...................................................................................13 z. Temporary Relocation............................................................................................................ 13 IV. The Relocation Program.........................................................................................................................14 A. Program Assurances, Standards and Objectives.........................................................................14 B. Relocation Advisory Assistance....................................................................................................15 C. Relocation Benefits— Residential.................................................................................................16 1. Residential Moving Expense Payments.................................................................................16 z. Rental Assistance to Tenants/Owner-Occupants Who Choose to Rent .............................. 17 3. Down payment Assistance to Tenants/go Day Owner -Occupants Who Choose to Purchase.................................................................................................................................. 18 4. Payments to go Day Residential Owner-Occupants.............................................................18 5. Payments to Non -tenured Residential Tenants................................................................... zo D. Determinations of Comparable Housing.................................................................................... zo E. Relocation Benefits — Commercial Tenants and Non-profit Organizations .............................. zo t. Payment for Actual Reasonable and Necessary Moving and Related Expenses ............... zo z. Self-Moves............................................................................................................................... zz 3. A Fixed Payment in Lieu of a Payment for Actual Reasonable Moving and Related Expenses................................................................................................................................. zz F. General Information Regarding the Payment of Relocation Benefits.......................................z3 G. Last Resort Housing......................................................................................................................24 55A-10 H. Immigration Status........................................................................................................................z5 I. Relocation Tax Consequences......................................................................................................z5 V. Administrative Provisions...................................................................................................................... 26 A. Holdover Tenancies......................................................................................................................z6 B. Notices.......................................................................................................................................... 26 C. Privacy of Records.........................................................................................................................z7 D. Grievance Procedures...................................................................................................................27 E. Eviction Policy............................................................................................................................... 28 F. Citizen Participation..................................................................................................................... 28 G. Projected Dates of Displacement................................................................................................ 28 H. Estimated Relocation Costs......................................................................................................... 28 55A-11 TablesList of Table 1: 2010 US Census Population — City of Santa Ana and Impacted Tract(752.02)............................. 4 Table z: 2010 US Census Housing Units — City of Santa Ana and Impacted Tract(752.02)........................ 4 Table 3: Affected Residential Dwellings........................................................................................................5 Table 4: Affected Non -Residential Uses....................................................................................................... 9 Table 5: Availability and Cost of Replacement Rental Housing (Conventional)........................................ti Table 6: Availability and Cost of Single -Family Residences for Sale............................................................ 11 Table 7: Summary of Available Commercial Space for Lease..................................................................... 12 Table 8: Summary of Available Commercial Space for Sale....................................................................... tz Table 9: Schedule of Fixed Moving Payments............................................................................................ 17 Table to: Computation of Rental Assistance Payments...............................................................................18 Figure 1: Project Site Location................................................................................. Exhibit A: Business Interview Form Exhibit B: Residential Interview Form Exhibit C: HUD Income Limits —Orange County Exhibit D: Homes for Sale and Rent Listings Exhibit E: Commercial For Sale and Rent Listings Exhibit F: Business Informational Brochure Exhibit G: Residential Informational Brochure Exhibit H: Public Comments and Response iv •3 55A-12 Introduction The City of Santa Ana (City) has authorized the preparation of a Relocation Plan in connection with the commencement of right of way acquisition activities for the Bristol Street Improvement Project (Phase III A), a street improvement project from Civic Center Drive to Washington Avenue, in the City of Santa Ana, in Orange County, California. The Project will require the acquisition of twenty-nine (29) properties resulting in the permanent displacement of twenty-one (21) residential households and fifteen (15) business occupants. The Project is funded with Orange County Transportation Authority (OCTA) gasoline tax, the OCTA Measure M2 funds, and a Federal Fund, and meets program funding requirements. This Relocation Plan conforms to the requirements of the California Relocation Assistance Law, California Government Code §726o, et seq.; the Relocation Assistance and Real Property Acquisition Guidelines; California Code of Regulations, Title 25, Division 1, Chapter 6 (Guidelines); the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (URA); the implementing federal relocation and acquisition guidelines found at 49 CFR Part 24; and the City's adopted right-of-way policies and procedures. Overland, Pacific & Cutler, Inc. (OPC), an experienced acquisition and relocation firm, has been selected to prepare this Relocation Plan, and will provide all subsequently required relocation assistance in association with any permanently displaced households or non-residential occupants. In compliance with statutory requirements, the Relocation Plan has been prepared to evaluate the present circumstances and replacement housing requirements of Project tenants. The Plan is organized in five sections: The regional and specific location of the Project (SECTION 1); 2. An assessment of the relocation needs of those persons subject to displacement as a result of the Project (SECTION 11); 3. An assessment of available residential and commercial replacement sites within the Santa Ana and surrounding areas (SECTION III); 4. A review of the relocation assistance program to be offered to the displaced residential and business occupants (SECTION IV); and 5. Necessary administrative provisions (SECTION V). 55A-13 1. Project Area Description A. Project Site Location The Project is located approximately 1.3 miles south of State Route zz (SR-zz), 1.6 miles west of Interstate 5 (1-5), o.g mile east of the Santa Ana River, and 4.5 miles north of Interstate 405 0- 405). Adjacent communities include Orange, Anaheim, Tustin, and Costa Mesa. The City is home to points of interest including, but not limited to, the Discovery Center, the Bowers Museum, the Santa Ana Zoo, the Old Orange County Courthouse, and the Santa Ana Regional Transportation Center. Santa Ana is the County Seat and is the second largest city in Orange County.' Refer to Figure t: Project Site Location, on the next page, for a project site map. The Bristol Street Improvement Project was planned and designed to incorporate complete street concepts with storm drain quality features. The improvements include widening of the street from four lanes to six lanes, with bus turnouts, raised median and sound walls. In addition the overhead utility lines will go underground. 'City of Santa Ana website: ht#p lwww•ciaa=ai1�_u.us facts ,accessed January 7, 2ot6. 01 55A-14 Figure t: Project Site Location < G C 'IV lilt. ci. .^•i'�iil :i. A ter, 5 i;q,en iN! W lth SS t@II=hY �' . a c NCecicCmli rDr W Ginn[. cc=ater G! jy: cnam��n W w Caner ljr Ri '} ul 3 55A-15 W Ov . i en[er Or S. J r According to the mo U.S. Census, the population of the City of Santa Ana was 354,528, and the population of the impacted Census Tract is 5,753 (see Table 1 below). Corresponding Census data concerning the housing mix is shown in Table 2, below. Table t: 2oto US Census Population - City of Santa Ana and Impacted Tract (752.02) PopulationPersons Total population Number. 5,753 Percentage 100.0% city 354,258 L __Percent.ag.e__! 1 100.0. White 2,633 45.8% 148,838 45.9% Black or African American 70 1.2% 4,856 1.5% American Indian or Alaskan Native 59 1.0% 3,260 1.0% Asian 175 3.0% 34,138 10.5% Native Hawaiian and Other Pacific Islander 7 0.1% 976 0.3% Some other Race 2,619 45.5% 120,789 37.2% Two or More Races 1 190 3.3% 11,671 3.6% Hispanic or Latino (of Any Race) 5,286 91.9% 253,9z8 U.S. Census Bureau provides additional descriptive population data where persons are identified as either "Hispanic or Latino (of any race)" or "Not Hispanic or Latino." The sum of these two categories will equal the total population of a data set. Table 2: 2oro US Census Housing Units - City of Santa Ana and Impacted Tract (752.02) ���KMMMEZM 1,097 96.2% m 73,174 95.2% Total occupied units Owner -occupied 636 58.0% 34,756 47.5% Renter -occupied 461 42.0% 38,418 52.5% Vacant Housing Units 43 3.8% 3,722 4.8% Available for Sale Only (of Total Vacant Units) 10 23.3% 693 18.6% Available for Rent- Full Time Occupancy (of Total Vacant Units) 19 44.2% 1,983 53.3% Sold or Rented (Not Occupied) o 0.0% 183 4.9% Otherwise Not Available (e.g., seasonal, recreational, migratory, occasional use) 3 7.0% 132 3.5% Other Vacant 11 25.6% 731 19.6% Source: U.S. Census Bureau, accessed January2o16. 55A-16 Assessmentof Relocation To obtain necessary information for the preparation of this Plan, field research of potentially affected residents and business operators was conducted. The research included in -person interviews and field analyses of affected residential and commercial parcels to identify displaced occupants and gather preliminary information for relocation planning. Detailed in -person interviews were conducted with affected residential occupants to gather necessary information, including information such as household size and composition, income, monthly rent obligation, length and type of occupancy, language, disabilities/health problems, and replacement housing preferences. Survey questions of business owners concerned the nature of the business, leasehold circumstances, annual revenues, description and size of current operations, special facility requirements, relocation concerns and area preferences with respect to possible replacement locations. In -person interviews are an important factor in the planning and relocation of displacees. In the early planning process, careful attention is paid to the physical needs of individuals with disabilities, and elderly displacees to make sure that these individuals receive appropriate care and housing. The interviews were conducted on -site in homes and places of business in English, Spanish, or other necessary languages, as appropriate. Follow-up contacts were made with occupants to gather more information and/or to provide information or notices that would be or were made through personal visits and by telephone. The descriptive data in this Plan concerning residents and businesses are based on in -person interviews and field observations. Samples of the residential and business interview forms used in the interview process are attached as Exhibits A and B of this report. The Project will impact 17 single-family residential (SFR) dwellings with zt residential households. Survey information was obtained from 17 of the zt occupied residential households (80.9%). The City has adopted and would adhere to its local housing occupancy standards to make sure housing is of the appropriate size in relocating the affected occupants. Table 3 below shows current housing in the Project area including bedroom size. Table 3; Affected Residential Dwellings 0 t •6 907 N. Bristol 0 Residential SFR i •• 3 ® D. 5 p' Owner SFR z 4 Owner 7Santaidential 3 too9 N. Bristol Residential SFR 3 z Owner idential SFR 4 Unknown* Owner 55A-17 Mum Address 1301 W. tzm St. propertyB V'UseBedrooms0. Residential SFR ofNumber0 3 7 0ocupancy >'oty Owner Santa Ana 6 1305 W. 12th St. Residential SFR z 6 Owner Santa Ana 7 1302 W. ttth St. Residential SFR 3 9 Owner Santa Ana 8 dt15 1307 W. to` St. Residential SFR 3 6 Owner Santa Ana 9 827 N. Bristol Residential SFR z Unl<nown* Tenant Santa Ana t0 829 N. Bristol Residential SFR 3 to Tenant Santa Ana 911 N. Bristol Residential SFR 3 5 Tenant Santa Ana tz 917 N. Bristol Residential SFR 3 5 Tenant Santa Ana 13 1oo3 N. Bristol Residential SFR z 5 Tenant Santa Ana 14 1003 N. Bristol2 Residential SFR z 4 Tenant Santa Ana 15 1003 N. Bristol3 Residential SFR t 1 Tenant Santa Ana 16 1005 N. Bristol Residential SFR o** z Tenant Santa Ana 17 totg N. Bristol Residential SFR 3 g Tenant Santa Ana 18 1302 W. 12t St. Residential SFR z z Tenant Santa Ana 19 1301 W. 711h St. Residential SFR 3 12 Tenant Santa Ana zo 1301 W. loth St. Residential SFR 3 7 Tenant Santa Ana zt 3o7 W. loth St. I Residential SFR o** t Tenant Santa Ana *Unable to interview occupants **Room renters i. Housing M!x As shown in Table 3 above, the Project area includes 21 households occupying 17 single family residences, some with multiple households in one dwelling and or converted into multiple units. 13 of the affected households are tenant -occupied and 8 are owner -occupied. Occupancy information will assist in determining the relocation needs and scope of assistance provided. No mobile homes will be affected by the Project. z. Occupancy Standards The standard for housing density adopted by the City allows two persons per bedroom and one person in a common living area. The City adheres to the state building code occupancy standard based on the square footage of dwellings for households larger than eight members. Referrals to replacement housing provided to occupants may reflect the need for larger accommodations to comply with the state and City of Santa Ana code requirements. Generally, these standards allow for up to three persons to occupy a one -bedroom unit, five persons in a two -bedroom unit, and seven persons in a three -bedroom unit. Any households with more than eight members would require a four -bedroom replacement unit based on the respective size of that unit, per the state building code. The main house was converted from a three -bedroom, one bathroom dwelling, into a two -bedroom, one bathroom unit; a one -bedroom and one bathroom unit, and; a three -bedroom, one bathroom unit. s The main house was converted from a three -bedroom, one bathroom dwelling, into a two -bedroom, one bathroom unit; a one -bedroom and one bathroom unit, and; a three -bedroom, one bathroom unit. 0 55A-18 3. Income Information as to the household's income is gathered from residential interviews to determine individual relocation needs and the scope of financial relocation assistance that may be provided. Low-income households may experience challenges qualifying for the purchase or rent of replacement housing. Advance replacement housing payments may be needed to assist displacees in qualifying for loans or leases. Low-income households that choose to rent may be eligible for additional assistance. Based on information obtained from the residential interviews, at least six households may be identified as low-income households. According to the low-income standards for the Housing Authority of the County of Orange (Exhibit C), adjusted for family size as published by the State of California, Department of Housing and Community Development (HCD), the 2015 low income limits are defined as follows: Family Size 1 2 3 4 5 6 7 8 Low Income Limits 2015 $53,950 $61,650 $69,350 $77,050 $83,250 $89,400 $95,550 $�01,750 Source: Department of Housing and Community Development (HCD) website, accessed March 13, 2016. 4. Ethnicity/Language Per the 2000-2014 U.S. Census American Community Survey Five -Year Estimate, 82.8%4 of the population in the City of Santa Ana speaks a language besides English at home. Based on information obtained from the residential interviews of the 21 displaced households, Spanish is the primary language spoken at home. Language services are available to assist the requirements of all affected occupants. 5. Households with Seniors Per the 2000-2014 U.S. Census 5-Year Housing Unit Estimate, 5.1q of the total households consist of occupants 65 years of age or over. Specific care is taken to identify and address the needs of senior occupants who may require special accommodations. Based on information obtained from residential interviews, no occupants over the age of 65 would be affected. 6. Households with Disabilities Per the 2000-2014 U.S. Census 5-Year Housing Unit Estimates, 8.7%5 of the civilian non - institutionalized population consist of persons with a disability. Disabilities may include a variety of physical mobility impairments, including psychological and other physical health issues. Care is taken to meet the special needs of each household, particularly as these needs involve physical access to accommodations. Early identification of individual health issues would enable relocation staff to more effectively manage the relocation process. In all cases involving physical or mental impairments, additional services will be provided to ensure close individual case n United States Census Bureau web site, accessed March 13, 2016, htt : /factfinder.census.gov(. s United States Census Bureau web site, accessed March 13, 2016, httpjlfactfinder.census.gov/. 55A-19 monitoring. Based on information obtained from the residential interviews, at least one household has occupants that have disabilities. 7. Preferred Relocation Areas The residential interviews identify specific replacement site needs and preferences, and assist in planning replacement housing accordingly. In residential interviews, many residents tend to express a preference to remain in the community in order to maintain current school enrollment, access to employment, medical facilities, recreational resources, and public transportation. Based on information obtained from the residential interviews, the affected households have indicated a preference to remain in the local Santa Ana and Garden Grove areas. ► WITITATM • The Project has identified potentially 15 non-residential occupants that would be displaced. Survey information was obtained from tz of the 15 business owners. The majority of the businesses impacted by the Project would be considered small businesses. The majority of affected businesses would require cost-effective small replacement sites, with proximity to existing customer bases. Detailed interviews with business owners are instrumental in identifying suitable replacement sites. Interviews with the business tenants are crucial in addressing various complex relocation issues early in the process, including issues such as identification of trade fixtures and equipment, tenant improvements, personal property/real property issues, and the relocation requirements of various businesses that may become long lead items, such as obtaining special permits or zoning requirements. Such items should be carefully reviewed and planned in coordination with project time frames. Several non-residential displacements may be identified as potential candidates for extensive advisory services and relocation assistance. Of particular concern are medical facilities and the fast food establishment. • Medical — Medical facilities are historically difficult to relocate, due to the nature of the services provided, the need to provide consistent services without interruption, and expensive diagnostic equipment that would require relocation. For example, there are two dental offices, a chiropractor's office and an eye care facility on the Project. • Restaurant — As with larger chain restaurants, smaller fast food establishments such as Taqueria de Anda usually require busy intersections, pedestrian traffic, visibility, access, and parking. Fast food outlets have very specific market areas in which they must stay to avoid franchise or non-competitive agreements with outlets of the same brand. Moving smaller businesses can have a more detrimental effect than moving larger businesses, presumably with larger capital reserves. For this reason, it would be essential to provide timely, viable referrals to replacement sites, with assistance in relocation planning, while simultaneously executing the move carefully and efficiently. Information obtained during the F:3 55A-20 relocation interview process will assist in determining the financial capacity of a business to accomplish a move, and if an advance relocation assistance payment is necessary. Even if a business is relocated as planned, its employees may still encounter challenges with commuting or transportation to the replacement location. Some employees rely on public transportation to commute to and from work and may need to adjust their personal schedules and routines depending upon bus routes and/or schedules to reach the new location. Upon implementation of the Relocation Assistance Program, relocation timing issues and replacement site concerns will be discussed and addressed, as appropriate. The list of affected businesses provided in Table 4 below reflects data gathered from field observations and business interviews. Table 4: Affected Neon -Residential Uses 1 1023 N. Bristol Commercial Medical Office Santa Ana Eye Care Optometry z 1027 N. Bristol Commercial Medical Office Dr. Euler R. Ferrer, Inc. 3 1111 N. Bristol, Commercial Service/Retail N/A Unit A 4 1111 N. Bristol, Commercial Service/Retail La Modele Unit B 5 1111 N. Bristol, Commercial Service/Retail Nails Pro Unit C 6 1111 N. Bristol, Commercial Service/Retail Advantage Insurance Unit D 7 1111 N. Bristol, Commercial Service/Retail Queen's Beauty Salon Unit E 8 1111 N. Bristol, Commercial Service/Retail Leon's Foto y Bridal Unit F g 1111 N. Bristol, Commercial Service/Retail Total Nutrition Unit G 10 1111 N. Bristol, Commercial Service/Retail Hugo's Computer Unit H 11 1111 N. Bristol, Commercial Medical Office Chiropractic Unit I & J 12 1111 N. Bristol, Commercial Medical Office Denista Unit K 13 1111 N. Bristol, Commercial Service/Retail Rey Income Tax Unit L 14 1111 N. Bristol, Commercial Service/Retail Blooming Flowers Unit M 15 1221 N. Bristol Commercial Service/Retail Taqueria DeAnda E 55A-21 Relocation The Uniform Relocation Act provides that no eligible residential persons shall be required to move from their dwelling unless comparable replacement dwellings are available to such persons. The purpose of this section is to identify whether sufficient comparable replacement housing resources exist for all potential residential displacees. Additionally, while available replacement locations are not required for non-residential occupants to move, a survey of available replacement commercial sites have been searched to determine what sites may be available to the non-residential occupants and to determine what impacts, if any, may occur due to a lack of available replacement sites. The City is committed to making every effort to satisfactorily relocate all displaced occupants. uINEMITOn i To determine the availability of residential and commercial sites prior to the displacement of occupants from the Project area, resources were researched through the following sources: • Internet sources (MLS listings, Loop Net); • Canvassing the Project area for properties available for lease and or for sale; • Telephone and field contact with commercial brokerages serving the area; • Classified rental listings from local publications, and; • Contacts with real estate/property management companies serving the community. B. i. Residential For-Saleand , A housing resource survey was conducted to determine the availability of replacement housing within the City's replacement area, identified as the City of Santa Ana, and the neighboring cities of Tustin, Costa Mesa, Fountain Valley, Garden Grove, Orange, and Anaheim sufficient to meet the needs of displaced rental tenants and homeowners. The replacement housing survey considered available two-, three-, and four -bedroom conventional housing for rent and for sale. This data is summarized in Tables 5 and 6, below. The conventional housing survey, Table 5, identified 24 currently available, two-, three-, four-, and five -bedroom conventional housing units for rent. The survey of available single-family residences for sale, Table 6, identified 25 currently available two-, three-, and four -bedroom housing units for sale. The individual figures for number of units found by bedroom size are presented in the tables, as well as location and price range. 10 55A-22 Table 5: Availability and Cost of Replacement Rental Housing (Conventional) Number..-Numbera Bedroom . - • - City Price Range Lease Two SFR 4 Anaheim, Orange $1,800 - $2,800 Three SFR 10 Santa Ana, Garden Grove, $2,499 - $3,800 Fountain Valley, Orange, Tustin Four SFR 6 Santa Ana, Fountain Valley, $2,550 - $3,975 Tustin Five SFR 4 Santa Ana, Orange, Tustin $2,750 - $5,500 Source: Multiple Listing Service and Zillow, accessed March 2o16. The rent ranges identified in the table above are among the figures used to make benefit and budget projections for this Plan. The variances in the rent range are a result of age, condition, size, and locational factors. Rates are subject to change according to the market rates prevailing at the time of displacement. Exhibit D provides a detailed list of available housing for rent and for sale. Table 6: Availability and Cost of Single -Family Residences for Sale .. 4_0 Type Available in ... Two SFR 5 Santa Ana $350 $550 Three SFR 14 Santa Ana $375-$7z5 Four SFR 6 Santa Ana $417-$599 Source: Multiple Listing Service, accessed March 2o16 2. Commercial Space Availability The availability of retail space in the City of Santa Ana and the surrounding communities was researched through commercial real estate listing resources. Tables 7 and 8 below summarize the availability of various types of commercial properties for lease and sale in the City of Santa Ana and the surrounding areas. Exhibit E provides a detailed list of available commercial space. 11 55A-23 Table 7: Summary of Available Commercial Space for Lease PropertyTotal Office 367 Santa Ana, Anaheim, Costa Mesa, $0.09 - $4.58 SF/MO Fountain Valley, Garden Grove, Irvine, Orange, Tustin, Westminster Retail 195 Santa Ana, Anaheim, Costa Mesa, $0.10 - $4.58 SF/Mo Fountain Valley, Garden Grove, Irvine, Orange, Tustin, Westminster Industrial/Warehouse 72 Santa Ana, Anaheim, Costa Mesa, $0.34 - $1.50 SF/Mo Garden Grove, Irvine, Orange, Tustin Industrial/Flex Space 49 Santa Ana, Anaheim, Costa Mesa, $0.20 - $1.65 SF/Mo Fountain Valley, Irvine, Orange, Tustin Land 8 Santa Ana, Anaheim, Tustin $0.20 - $2.50 SF/Mo Source: LoopNet,accessed January ao16 Table 8: Summary of Available Commercial Space for Sale Total .. Office 68 Santa Ana, Costa Mesa, Fountain $130,000 - $17,685,000 Valley, Garden Grove, Irvine, Orange, Tustin Retail 49 Santa Ana, Anaheim, Fountain $139,900 - $17,685,000 Valley, Garden Grove, Orange, Santa Ana, Tustin, Westminster Industrial/Warehouse 13 Santa Ana, Garden Grove, $599,000 - $35,000,000 Irvine, Orange Industrial/Flex Space 7 Santa Ana, Anaheim, $520,000 - $6,250,000 Costa Mesa, Irvine Land io Santa Ana, Anaheim, $11,995 - $3,500,000 Garden Grove, Tustin Source: Multiple Listing Services, accessed January 2o16; LoopNet, accessed January 2o16 3. Loss of Goodwill Goodwill consists of the benefits that accrue to a business as a result of its location; reputation for dependability, skill, or quality; and any other circumstances resulting in probable retention of old, or acquisition of new, patronage. Claims for loss of goodwill are not compensable under the statutory provisions related to relocation assistance. Where claims are anticipated, state law (California Code of Civil Procedure §1263.51o) requires business owners to prove all of the following: 1) The loss is caused by the acquisition of the property; z) The loss cannot reasonably be prevented by relocation of the business, or by taking steps and adopting procedures that a reasonably prudent person would take to preserve the goodwill; and, 3) The compensation for the loss has not been included as a relocation payment, or duplicated in compensation otherwise awarded to the owner. 12 55A-24 4. Summary Considering the availability of replacement housing, adequate replacement resources exist in the Project area for affected residential tenants and owner -occupants. Although adequate replacement resources exist, based on surveyed results of rental and purchase opportunities, and anticipated values of existing dwellings, occupants are anticipated to have increases in monthly rents and/or higher purchase costs. These possible increases, if any, would be met through the City's Relocation Assistance Program. The data for non-residential resources indicates adequate business sites that are currently available for sale and lease to commercial occupants. While there are adequate replacement sites for non-residential occupants, some business uses may require conformance with local conditional use permits and/or zoning requirements. t. Concurrent Residential Displacement The Project would not compete with or adversely affect the availability of comparable replacement resources. There are no other known current public projects under way in the City of Santa Ana or adjacent communities that currently would compete with the Project for housing resources. The City intends to monitor the activity of local agencies. No residential displacee would be required to move without adequate notice and access to available, affordable, decent, safe, and sanitary housing. z. Temporary Relocation The Project is not anticipated to cause temporary displacements. Affected occupants will be permanently displaced. 13 55A-25 IV. The Relocation The City of Santa Ana's (City) Relocation Program is designed to minimize hardship, be responsive to unique project circumstances, maintain personal contact with all affected individuals, consistently applying all regulatory criteria to formulate eligibility and benefit determinations, and conform to all applicable requirements. The City has retained Overland, Pacific & Cutler, Inc. (OPC) to administer the Relocation Program. OPC has worked on more than 2,500 public agency acquisition and relocation projects over the past 30 years. Additionally, OPC has an extensive resume of public works projects undertaken in other Orange County communities. Experienced City staff would monitor the performance of OPC and be responsible to approve or disapprove OPC's recommendations concerning eligibility and benefit determinations and interpretations of the City's policy. The Relocation Program consists of two principal constituents: Advisory Assistance and Financial Assistance. The City would provide the displaced residential and business occupants with the assistance, rights, and benefits required under federal and/or state relocation law and the City's policies and procedures. The relocation program would provide advisory and financial assistance. Every effort would be made to facilitate relocation arrangements and minimize hardship for displacees. The program objectives would be as follows: 1. To fully inform eligible Project displacees of the nature of, and procedures for, obtaining relocation assistance and benefits; z. To determine the needs of each displacee eligible for assistance; 3. To provide continuously updated referrals to potential replacement sites within a reasonable time prior to displacement and assure that no occupant is required to move without a minimum of go days written notice to vacate; 4. To provide assistance that does not result in different or separate treatment due to race, color, religion, national origin, sex, marital status or other arbitrary circumstances; 5. To supply information concerning federal programs and other governmental programs providing assistance to displaced persons; 6. To assist each eligible occupant to complete applications for benefits; 7. To make relocation benefit payments in accordance with the appropriate guidelines; 8. To inform all persons subject to displacement of City policies with regard to eviction and property management; and g. To establish and maintain a formal grievance procedure for use by displaced persons seeking administrative review of City decisions with respect to relocation assistance. 14 55A-26 OPC staff is available to assist the permanently displaced households and businesses with questions or concerns about relocation and/or assistance in relocating. Relocation staff is located at t Jenner, Suite zoo, Irvine, CA 92618, with office hours from 8:0o a.m. to 5:00 p.m., and can be contacted at (949)951-5263. A comprehensive relocation program, with technical and advisory assistance, would be provided to assist all persons being displaced as a consequence of the Project. Personal contact would be maintained with all individuals until the relocation process has been completed. As discussed previously, OPC has been retained by the City to assist in the administration of its relocation program. OPC will work closely with City staff. City staff would provide final approvals, or otherwise, of all OPC recommendations. Every reasonable effort would be made to ensure that the relocation of residents and businesses occurs with a minimum of delay and hardship. The following services will be provided: 1. The remaining interviews with residents and businesses located in the Project area will be completed to gather information appropriate to the determination of needs and preferences regarding replacement of existing facilities; z. A printed Informational Brochure (Exhibits F and G) will be provided in English or the displacee's language if subsequently be deemed necessary. Signed acknowledgements will be obtained to verify receipt of this material; 3. A database will be maintained of available residential units for sale and commercial space and distribute replacement site referrals for the duration of the Project; 4. Assistance will be offered to displacees in connection with arrangements for the purchase of real property, if applicable, obtaining required business permits or licenses, the filing of claim forms to request relocation benefits from the City and to obtain services from other public agencies; 5. Special assistance in the form of referrals to governmental and non -governmental agencies will be made, if requested; 6. Eligible displacees will be assisted with the preparation and submission of relocation assistance claims; 7. Benefit determinations and payments will be made in accordance with applicable law and City policy; 8. Assure that displacees are not required to move without a minimum of 90 days written notice to vacate; 9. All persons subject to displacement will be informed of City policies with regard to eviction and property management; 15 55A-27 lo. A formal grievance procedure will be established and maintained for use by displaced persons seeking administrative review of City decisions with respect to relocation assistance; and tt. Assistance will be provided that does not result indifferent or separate treatment due to race, color, religion, national origin, sex, marital status or other arbitrary circumstances. Specific eligibility requirements and benefit plans would be detailed on an individual basis with displacees. In the course of personal interviews and follow-up visits, households would be counseled as to available options with respect to financial assistance. Relocation benefits will be provided in accordance with the provisions of the federal and state relocation law and regulations. Benefits would be paid to eligible displaced persons upon submission of required claim forms and documentation in accordance with the City's normal administrative procedures. i. Residential Moving Expense Payments All residential occupants that would be relocated would be eligible to receive a payment for moving expenses. Moving expense payments would be made based on the actual cost of a professional move or a fixed payment based on a room -count schedule. a. .Actual Cost (Professional Move) The displacee may elect to retain the services of a licensed professional mover, in which case the City would pay for the actual cost of the moving services based on the lower of at least two acceptable bids (the City may, at its discretion, solicit competitive bids to determine the lowest reasonable move cost). After the move is complete, the displacee may pay the mover directly and seek reimbursement from the City, or request a direct payment from the City to the mover. In addition to the cost of the actual move, one-time expenses associated with utility reconnections (e.g., gas, water, electricity, telephone, cable) would be eligible for reimbursement. Transportation costs would be limited to a distance of 50 miles, unless otherwise authorized by the City. b. Fixed Payment (based on Room Count schedule) An occupant may elect to receive a fixed payment for moving expenses that is based on the number of rooms occupied in the displacement dwelling. In this case, the person to be relocated takes full responsibility for the move. The fixed payment includes all utility connections as described in Section t.a above. At a minimum, the fixed schedule payment for single occupancy efficiency units, furnished with the tenant's own personal property, is $450, which includes all utility connections at the replacement location. The current schedule for fixed moving payments is provided below in Table q. 16 55A-28 Table 9: Schedule of Fixed Moving Payments Furnished® Room Count 1 2 3 4 5 6 7 8 Each Additional Amount $725 $930 $1,165 $1,375 $1,665 $1,925 $2,215 $2,505 $265 <® Room Count 1 Each Additional Amount $475 $90 Source: Federal Highway Administration (effective August 24, 2015). 2, Rental Assistance to Tenants/Owner-Occupants Who Choose to Rent A tenant or an owner -occupant displaced from a dwelling may be entitled to a RHP in the form of rental or down payment assistance not to exceed $7,20o. The MAP-21 amended RHPs for displaced tenants to $7,2oo. A payment in excess of $7,200 would be made under the provisions of the Last Resort Housing Program (LRH), which is discussed in Section W.G., Last Resort Housing. A displacee may be entitled to a RHP in the form of rental or down payment assistance if the displacee: 1. Has actually and lawfully occupied the displacement dwelling for at least 90 days immediately prior to the ION; and 2. Has rented, or purchased, and occupied a decent, safe, and sanitary replacement dwelling within one year (unless the City extends this period for good cause) after: a. For a tenant, the date he or she moves from the displacement dwelling; or i. For an owner -occupant, the later of: 1. The date final payment is received for the displacement dwelling, or in the case of condemnation, the date the full amount of estimated just compensation is deposited with the court; or 2. The date the owner -occupant moves from the displacement dwelling. Rental/down payment assistance payment amounts are equal to 42 times the difference between the base monthly rent and the lesser of: 1. The monthly rent and estimated average monthly cost of utilities for a comparable replacement dwelling; or 2. The monthly rent and estimated average monthly cost of utilities for the decent, safe, and sanitary replacement dwelling actually occupied by the displaced person. The base monthly rent for the displacement dwelling is the lesser of: 1. The average monthly cost for rent and utilities at the displacement dwelling for a reasonable period prior to displacement, as determined by the City. For owner - occupants or households that paid little or no rent, fair market rent would be used as a substitute for actual rent; or 17 55A-29 z. Thirty percent (30%) of the displaced person's average monthly gross household income if the amount is classified as "low income" by HUD's Annual Survey of Income Limits for the Public Housing and Section 8 Programs. HUD's Survey is shown as Exhibit C. If a displacee refuses to provide appropriate evidence of income or is a dependent, the base monthly rent shall be determined to be the average monthly cost for rent and utilities at the displacement dwelling; or 3. The total of the amount designated for shelter and utilities if receiving a welfare assistance payment from a program that designated the amounts for shelter and utilities. Table io below illustrates the computation of a rental/down payment assistance payment amount. w 1. Old Rent $1,000 Old Rent, plus Utility Allowance Or z. Ability to Pay $950 30% of the Gross Household Income 3. Lesser of Lines 1 or z $95o Base Monthly Rental Subtracted From: 4. Actual New Rent $1,050 Actual New Rent including Utility Allowance Or 5. Comparable Rent $1,050 Determined by the City; includes Utility Allowance 6. Lesser of Lines 4 or 5 $1,050 7. Yields Monthly Need: $100 Subtract Line 3 from Line 6 Rental Assistance $4,200 Multiply Line 7 by 42 Months 3. Down payment Assistance to Tenants1go Day Owner -Occupants WhoChoose Purchase Displacees otherwise eligible to receive a Rental Assistance Payment (RAP) as previously described may choose to utilize the full amount of their rental assistance eligibility to purchase a home. Such payments would be deposited directly to an escrow account with provisions that allow the City to recover its funds if the escrow is cancelled or does not proceed in a timely manner. Down payment assistance provided to a displaced owner -occupant cannot exceed the amount the owner would have received had the owner met the go -day occupancy requirement. 4. Payments to go Day Residential Owner -Occupants Residential owner -occupants who have established residency for at least go days prior to the City's offer to purchase may be eligible for up to $31,000 in replacement housing assistance, prior to consideration of eligibility for LRH assistance (see Last Resort Housing, Section IV.C). MAP-zt amended the maximum statutory benefit for RHPs for displaced homeowners to $31,000. The length of occupancy requirement for homeowners was reduced from 18o days to go days in occupancy before the ION. The amount of the RHP would be determined based on three separate elements: 1) purchase price differential; z) mortgage interest differential; and, 3) incidental expenses. m 55A-30 a. Price Difference Differential The Purchase Price Differential is based on three factors: Acquisition Price: The price paid by the City of Santa Ana for the Project dwelling; Actual Purchase Price: The actual price paid for a replacement dwelling, and; Comparable Replacement Cost: The cost of a decent, safe, and sanitary dwelling comparable to the dwelling acquired by the City of Santa Ana. The purchase price differential amount is determined by comparing the price of the acquired dwelling (including any proceeds obtained through condemnation) to the lesser of the actual cost paid for a replacement home versus the price of the comparable dwelling used to compute eligibility in the Notice of Eligibility (NOE) issued to the displaced owner. In today's real estate market, many agencies have encountered owner -occupants with negative equity, where the fair market value is less than the outstanding debt. The City will follow the Programmatic Waiver of the Code of Federal Regulations methodology for calculating RHPs. This waiver allows computing a RHP based upon the initial written offer of just compensation rather than the administrative settlement amount. The qualifying conditions for use of the Programmatic Waiver are: • Applies only to those in a negative equity situation • Applies only to owner -occupied homes • Applies only to single-family homes • Applies only to mortgages that are current b. Mortgage Interest Differential The purpose of the Mortgage Interest Differential Payment is to compensate homeowners for increased costs between the acquired dwelling and the replacement dwelling. The payment for increased mortgage interest cost shall be the amount that would reduce the mortgage balance on a new mortgage to an amount that could be amortized with the same monthly payment for principal and interest as that for the mortgage(s) on the displacement dwelling. In addition, payments shall include other debt service costs, if not paid as part of incidental costs. To be eligible for this payment, the mortgage on the dwelling being acquired must have been in place, as a valid lien, for at least go days prior to the City's initial written offer to purchase. C. Incidental Expenses — Closing Costs One-time, non -recurring closing costs associated with the purchase of a comparable, replacement dwelling are compensable. Examples of such compensable expenses include costs for: a property survey; preparation of a legal description and deed; recording fees; title insurance; revenue stamps and transfer taxes; loan application fees; loan origination fees; appraisal fees; a credit report; certification for structural soundness; and, termite inspection, when required. Prepaid recurring expenses for mortgage interest, property taxes and insurance are not compensable. The total RHP is the sum of the Purchase Price Differential, Mortgage Interest Differential, and compensable Incidental Expenses. tg 55A-31 5. Payments to Non -tenured Residential Tenants A residential tenant who has actually and lawfully occupied the displacement dwelling for fewer than go days immediately prior to the ION is entitled to receive a moving expense payment. Additionally, non -tenured residential tenants may qualify for a RAP under the provisions of the LRH program (see Last Resort Housing, Section IV.G). Such assistance is authorized when the person's monthly rent and estimated average monthly utility costs for the replacement dwelling exceed the person's base monthly rental for the displacement dwelling. Relocation staff would evaluate the cost of comparable replacement housing in the preparation of each individual NOE issued to residential displacees. For residential tenants and owner - occupants, the cost of comparable replacement housing would be determined primarily on a comparative basis of three, if possible, presently available, comparable dwellings. A Replacement Housing Valuation (RHV) Form would be prepared and placed in the file of each affected household. E. Relocation Benefits Organizations Eligible businesses would have two options with respect to claims for relocation assistance benefits: 1. Compensation for actual reasonable and necessary moving and related expenses, or z. A fixed payment not to exceed $40,000 is Payment for Actual Reasonable and Necessary Moving and Related Expenses Any lawful business that qualifies as a displaced person is entitled to payment for such actual moving expenses, as the City determines to be reasonable and necessary, including expenses for: i. Transportation of persons and property from the present location to the replacement location (transportation costs for a distance beyond 50 miles are not eligible unless the City determines that relocation beyond 50 miles is justified); z. Packing, crating, uncrating, and unpacking personal property; 3. Disconnecting, dismantling, removing, reassembling, and installing relocated and substitute machinery, equipment and other personal property. This will include connection to utilities available nearby and modifications necessary to adapt such property to the replacement structure, or to the utilities, or to adapt the utilities to the personal property; 4. Storage of personal property for a period not to exceed iz months, unless the City determines that a longer period is necessary; zo 55A-32 5. Insurance of personal property while in storage or transit and the replacement value of property lost, stolen, or damaged (not through the fault or negligence of the displaced person) in the process of moving, where insurance is not readily available. 6. Any license, permit, or certification required by the displaced business, to the extent that the cost is necessary for reestablishment at the replacement location. (These costs may be pro -rated based on the remaining useful life of any existing license, permit, or certification); 7. Reasonable and pre -authorized professional services, including architects', attorneys', engineers' fees, and consultants' charges, necessary for: 1) planning the move of personal property; 2) moving the personal property; or, 3) installing the relocated personal property at the replacement location; 8. Professional services performed prior to the purchase or lease of a replacement site to determine its suitability for the business operation including, but not limited to, soil testing, feasibility and marketing surveys; g. The purchase and installation of substitute personal property limited to the lesser of: 1) an amount equal to the reasonable expenses that would have been required to relocate the property, as determined by the City, subject to certain limitations, or, 2) the replacement cost, less any proceeds from its sale or trade in; 1o. Connection to available nearby utilities from the right-of-way to improvements at the replacement site; 11. The modification of machinery, equipment, or other personal property necessary to adapt these to the replacement location or to utilities available at the replacement location; 12. Re -lettering signs and replacing stationary on hand at the time of displacement that are made obsolete as a result of the move; 13. Actual direct losses of tangible personal property resulting from moving or discontinuing a business or non-profit organization, not -to -exceed the lesser of: 1) the fair market value of the property for continued use at its location prior to displacement less any proceeds from the sale of the property; or, 2) an amount equal to the reasonable expenses that would have been required to relocate the property, as determined by the City, subject to certain limitations; 14. Actual and reasonable expenses incurred in searching for a replacement business or non- profit organization location, not to exceed $2,5oo, and including compensation for transportation expenses; time spent searching for a reasonable location, meals, and lodging; real estate broker or agent fees; time spent in obtaining permits and attending zoning hearings; and time spent negotiating the purchase of a replacement site; 15. Impact fees or one-time assessments for anticipated heavy utility usage; 16. Low Value/High Bulk: when the personal property to be moved is of low value and high bulk, and the cost of moving the property would be disproportionate to its value in the 21 55A-33 judgment of the City, the allowable moving cost payment shall not exceed the lesser of: t) the amount which would be received if the property were sold at the site or z) the replacement cost of a comparable quantity delivered to the new business location. Examples of personal property covered by this provision include, but are not limited to, stockpiled sand, gravel, minerals, metals and other similar items of personal property as determined by the City; 17. A Reestablishment allowance of up to $25,000, available to farms, non-profit organizations, and small businesses with no more than Soo employees. MAP-zt amended the maximum statutory benefit for business reestablishment to $40,000. Reestablishment allowance payments are made in addition to compensation provided for actual, reasonable, and necessary moving expenses. Reestablishment allowance expense categories include but are not limited to: a. Repairs or improvements to the replacement property as required by federal, state or local law, code, or ordinance; b. Modifications to the replacement property to accommodate the business operation or make replacement structures suitable for conducting business; c. Construction and installation costs for exterior signing to advertise the business; d. Redecoration or replacement of soiled or worn surfaces at the replacement site, such as paint paneling or carpeting; e. Advertisement of replacement location; f. Estimated increased costs of operation during the first two years at the replacement site for such items as: i. Lease or rental charges ii. Personal or real property taxes iii. Insurance premiums, and iv. Utility charges, excluding impact fees g. Other items essential to the reestablishment of the business. MEW If the displaced business elects to take full responsibility for the move of the business, the City would make a payment for the business's moving expenses in an amount not to exceed the lower of the two acceptable bids or estimates submitted to the City. At the City's discretion, a payment for a low cost or uncomplicated move may be based on a single bid or estimate. 3. A Fixed Payment in Lieu of a Payment for Actual Reasonable Moving and Related Expenses The option to claim a fixed payment enables for -profit and non-profit businesses to receive relocation assistance compensation without providing documentation of bids and actual expenses. The payment amount available to any individual business is based on an average of zz 55A-34 annual net earnings over a two-year period. For businesses that have not been in operation for two years, income figures can be annualized. The method for establishing income is through tax returns and/or certified financial statements. The payment to an eligible business may not be less than $1,000, or more than $40,000. The MAP-21 amended the maximum statutory fixed payment for non-residential moves to $40,000. To qualify for this payment, it must be determined that, a displaced business: • Owns or rents personal property, which must be moved in connection with such displacement and for which an expense would be incurred in such move; • Is not operated at the displacement site solely for the purpose of renting the dwelling or the site to others; • Cannot be a part of a commercial enterprise having at least three other establishments which are not being acquired by the City, and which is under the same ownership and engaged in the same or similar business activities; • Must not be able to relocate without substantial loss of patronage; and • Contributed materially, as defined by the City, to the income of the displaced person during the two taxable years prior to the displacement. When a fixed payment would precede settlement of a claim for compensation for loss of goodwill under the Eminent Domain Law, the City, before tendering payment, shall state in writing what portion of the payment, if any, is considered to be compensation for loss of goodwill and shall explain in writing that any payment made pursuant to Code of Civil Procedure, §1263.510 et seq. (the Eminent Domain Law, Chapter g, Article 6 - "Compensation for Loss of Goodwill") would be reduced in the same amount. The portion considered to be compensation for loss of goodwill shall not exceed the difference between the fixed payment made and an amount which reasonably approximates the payments for which the displaced person otherwise would be eligible to receive as outlined in Section IV.E.1, above. F. General • Regarding the Payment of RelocationBenefits Claims and supporting documentation for relocation benefits must be filed with the City no later than 18 months after: • For tenants, the date of displacement; or • For owners, the date of displacement or the date on which final payment for the acquisition of real property is made, whichever is later. The procedure for the preparation and filing of claims and the processing and delivery of payments would be as follows: 1. Claimant(s) would provide all necessary documentation to substantiate eligibility for assistance; 2. Relocation staff would review all necessary documentation including, but not limited to, scopes -of -services, contractor bids, invoices, lease documents and escrow material before reaching a determination as to which expenses are eligible for compensation; 23 55A-35 3. Required claim forms would be prepared by relocation staff and presented to the claimant for review. Signed claims and supporting documentation would be returned to relocation staff and submitted to the City; 4. The City would review and approve claims for payment, or request additional information; 5. The City would issue benefit checks to claimants in the most secure, expeditious manner possible; 6. Final payments to residential displacees would be issued after confirmation that the Project premises have been completely vacated, and actual residency at the replacement unit is verified; 7. Receipts of payment and all claim material would be maintained in the relocation case file. G. Last Resort Housing Based on information obtained from the residential surveys and the cost of replacement housing, it is anticipated that comparable housing would not be available to the displaced persons without providing additional assistance under the provisions of the Last Resort Housing Program (LRH). Per Federal regulations, when a program or a project cannot proceed on a timely basis due to the unavailability of comparable replacement dwellings within the monetary limits for owners or tenants, additional or alternative assistance may be provided under the provisions of the LRH program. Any decision to provide LRH must be adequately justified either: t. On a case -by -case basis, for good cause, which means that appropriate consideration has been given to: a. The availability of comparable replacement housing in the program or project area; b. The resources available to provide comparable replacement housing; and c. The individual circumstances of the displaced person, or z. By a determination that: a. There is little, if any, comparable replacement housing available to displaced persons within an entire program or project area; and, therefore, LRH is necessary for the area as a whole; b. A program or project cannot be advanced to completion in a timely manner without LRH; and c. The method selected for providing LRH is cost effective, considering all elements, which contribute to total program or project costs. For renters, a payment under the provisions of the LRH program is considered when there is a determination, based on a RHV, that a replacement housing need or price differential exceeds the statutory limit of $7,2oo. For homeowners, a payment under the provisions of the LRH program is considered when a RHP exceeds the statutory limit of $31,000. By providing 24 55A-36 additional assistance under the provisions of the LRH program, comparable replacement housing would be provided that is within the monetary limits of the displaced persons. Federal legislation (PL105-117) prohibits the payment of relocation assistance benefits under the Uniform Act to any alien not lawfully present in the United States unless such ineligibility would result in an exceptional and extremely unusual hardship to the alien's spouse, parent, or child, any of whom is a citizen or an alien admitted for permanent residence. Exceptional and extremely unusual hardship is defined as a significant and demonstrable adverse impact on the health or safety, continued existence of the family unit, and any other impact determined by the City to negatively affect the alien's spouse, parent, or child. The City may elect to authorize the payment of relocation assistance benefits to any otherwise eligible residential or commercial displacee from non -federally authorized reimbursable funds. To track and account for relocation assistance and benefit payments, OPC's relocation staff would be required to seek immigration status information from each displacee 18 years and older and non-residential occupants by having them self -certify as to their legal status. California Government Code §7269 indicates that no relocation payment received shall be considered as income for the purposes of the Personal Income Tax Law, Part 10 (commencing with §170 01) of Division 2 of the Revenue and Taxation Code, or the Bank and Corporation Tax law, Part 11 (commencing with §23001) of Division 2 of the Revenue and Taxation Code. Furthermore, federal regulations (49 CFR Part 24, §24.209) also indicate that no payment received under this part (Part 24) shall be considered as income for the purpose of the Internal Revenue Code of 1954, which has been redesignated as the Internal Revenue Code of 1986. The preceding statement is not tendered as legal advice in regard to tax consequences, and displacees should consult with their own tax advisor or legal counsel to determine the current status of such payments. (IRS Circular 23o disclosure: To ensure compliance with requirements imposed by the IRS, we inform you that any tax advice contained in this communication (including any attachments) was not intended or written to be used, and cannot be used, for the purpose of (i) avoiding tax -related penalties under the Internal Revenue Code or (ii) promoting marketing or recommending to another party any matters addressed herein) 25 55A-37 V. Administrative Provisions R '• The City's acquisition schedule may allow some business and residential tenants to remain in occupancy of the City's acquired properties for periods as long as six months prior to displacement. It is anticipated that by adding time to the relocation process, businesses would have greater opportunities to successfully reestablish operations at a new location. Residential tenants would benefit by having greater flexibility to plan a move around school schedules, as an example, or other personal considerations. Holdover tenants would be required to enter into a Rental Agreement with the City and make monthly payments. The City would assume responsibility for all property management functions. Holdover tenants would be required to conform to state and local law and the requirements of the City's Rental Agreement, or face eviction in conformance with the City's eviction policy as set forth in Section V.E. Each notice that the City is required to provide to a property owner or occupant shall be personally delivered or sent via certified or registered first-class mail, return receipt requested and documented in each case file. Each notice would be written in plain, understandable language. Persons who are unable to read and understand any notice would be provided with appropriate translation and counseling. Each notice would indicate the name and telephone number of a person who may be contacted for answers to questions or other help. There are three principal notices: t. General Information Notice (GIN), z. NOE, and 3• go -Day Informational or go -Day Notice The GIN is intended to provide potential displacees with a general written description of the City's relocation program and basic information concerning benefits, conditions of eligibility, noticing requirements and appeal rights. The GIN would be issued at the time the properties are being appraised. NOES would be distributed to each commercial and residential displacee, including off -site owners of rental properties. The NOE that would be issued to business operators acknowledges the recipient's eligibility for assistance and right to make claims for relocation assistance benefits. The NOE to residential displacees, both tenants and owner -occupants, contains a determination of eligibility for relocation assistance and a computation of maximum entitlement based on information provided by the affected household and the analyses of comparable replacement properties undertaken by relocation staff. NOES would be issued promptly following the ION with property owners. 26 55A-38 No lawful occupant would be required to move without having received at least go days' advance written notice of the earliest date by which the move would be necessary. The go -day notice would either state a specific date as the earliest date by which the occupant may be required to move, or state that the occupant would receive a further notice indicating, at least 6o days in advance for residential tenants and 3o days in advance for owner -occupants and non- residential occupants, the specific date of the required move. The go -day notice would not be issued to any residential displacees before a comparable replacement dwelling has been made available. In addition to the three principal relocation notices previously identified, relocation staff would issue timely written notification in the form of a Reminder Notice, which discusses the possible loss of rights and sets the expiration date for the loss of benefits to those persons who: 1. Are eligible for monetary benefits, z. Have moved from the acquired property, and 3. Have not filed a claim for benefits. Reminder Notices would be issued periodically throughout the qualification period. An attempt shall be made to make written contact with all non -responsive displacees no later than within the last six months prior to the expiration date to file a claim for benefits. Ca Privacy of Records All information obtained from displacees is considered confidential and would not be shared without the consent of the displacee or the City or as a requirement of a specific Public Records Request in accordance with state law. Relocation staff would comply with federal regulations concerning the safeguarding of relocation files and their contents. A person who is dissatisfied with a determination as to eligibility for benefits, a payment amount, the failure to provide comparable replacement housing referrals, or the City's property management practices must file an appeal form or any other written form of appeal with the City's Right -of -Way Project Manager or his/her designee (Hearing Officer). The Hearing Officer shall set a hearing date of no later than 3o days from receipt of the appeal. The person making the appeal shall have: 1. The right to present oral and/or written evidence in support of the appeal, z. The right to seek legal counsel (hired at the appellant's sole expense), and 3. The right to seek judicial review once having exhausted all administrative appeal remedies. The Hearing Officer shall render a decision, in writing, within 3o days following the last day of the hearing. A copy of the decision would be mailed, via certified or registered mail, to the appellant and his/her authorized representative and copies would be filed in the relocation case file. The decision of the Hearing Officer shall be final, and the appellant shall be advised of the right to seek judicial review of the Hearing Officer's decision. 27 55A-39 E. Eviction Policy Eviction for cause must conform to applicable state and local law. Any person, who occupies the real property and is in lawful occupancy on the date of the ION, is presumed to be entitled to relocation payments and other assistance, unless the City determines that: 1. The person received an eviction notice prior to the ION and as a result of that notice is later evicted, or z. The person is evicted after the ION for serious or repeated violation of material term(s) of the lease or occupancy agreement, and 3. In either case, the eviction was not undertaken for the purpose of evading the obligation to make available the payments or other assistance to which a person may otherwise be entitled. F. Citizen Participation The City conducted several public hearings for the Project on the following dates: June 10, 2013; June 25, 2013; June 26, 2013; July 14, 2014; October 17, 2014; October 28, 2014; November 12, 2014; November 18, 2014; August 21, 2015, and; September 3, 2015. As the process for implementing the Project advances, the City will observe the following protocol: t. Provide affected tenants with full and timely access to documents relevant to the relocation program; z. Encourage meaningful participation in reviewing the relocation plan and monitoring the relocation assistance program; including the occupants in the Project area, neighborhood groups and community organizations forming a relocation committee; 3. Provide technical assistance necessary to interpret elements of this Plan and other pertinent materials; 4. Issue a general notice concerning the availability of the Plan for public review, as required, 3o days prior to its proposed adoption; The City has approved acquisition and relocation activities, which began in September 2015 and would be completed no later than the summer of 2017, with construction scheduled to begin in August 2017, and the Project is anticipated to be completed by August 2018. H. Estionated Relocation Costs The total budget estimated for relocation -related payments for this Project, including a lo% contingency, is as follows: Relocation: $ 2,831,336 (escalated) Contingency at 10%: S 283,134 Total: $ 3,114,470 The estimated relocation budget does not include any payments related to property acquisition, improvements pertaining to realty, or loss of business goodwill. In addition, the budget does W-1 55A-40 not consider the cost of any services necessary to implement the Plan and complete the relocation element of the Project. If the Project is to be implemented, and circumstances arise that change the number of residential and business occupants or the nature of their activity, the City would authorize any additional, compensable funds that may need to be appropriated. The City pledges to appropriate, on a timely basis, the funds necessary to ensure the successful completion of the Project, including funds necessary for LRH as indicated in Section IV.G, of this Plan to meet its obligation under the relocation regulations. 29 55A-41 Exhibit , « 55A-42 Business Relocation Interview'. ClientlProject: City of Santa Ana - Bristol St. Project Phase IIIA Case ID: Site Address: Interview Date: ❑ Unoccu ied City, St, ZIP: Santa Ana, CA Interviewer: ❑ No Contact Business Claimant information Legal business name (from tax return): Person interviewed (name/title): Ownership type: ❑ Sole Proprietor ❑ Partnership ❑ Corporation ❑ Non-profit Business type: URA type (list 1). OPC type (list 2): Name under which claimant conducts operations (doe): Mailing address (if different), Goods, products or services provided: Dale business established: IThis site move -in: Business Contacts Information Contact 1 (PRIMARY) Contact 2 Contact 3 Name: Title/position: Business phone: Cell phone: Fax #: Email: Authority (Y/N): ❑ Can theperson(s) with authority to sin claims and agreements read/understand English? If not Ian ua e: Business Professionals Involved Attprri Accountant, Broker, Move Planner, Coritrartor _ Professional 1 Professional 2 Professional Name: Title/posiflon: Specialty (list 3): Company: Address: Business phone: Cell phone: Fax #: Email: CC address (YIN): Busin s Bescri pi and Features Business hours and days of operation: Customer trade area: Is this a franchise business? If yes, is copy of franchise agreement available? Describe any other businesses on site: List any sub -leases: List the same or similar operations owned elsewhere: List residents living on the property: Intend to relocate this business (Y/N): If yes, plans for new market, product or service?: Describe best time to move: Months of year with least inventory: With most inventory: Estimated time it would take to move business, Describe business conducted on the Internet: Describe types of advertising used: List printed materials to become obsolete: Annual gross income: Full-time employees. Annual net income: Part-time employees: r' 1980-2012 Overland. Pacific & Cutler, Inc- (08PI2) Page 1 55A-43 Property Site Features Site layout available (provide): Zoning designation: Occupancy status Total building sq ft.: Parking spaces: ❑ Month -to -month rental Total land sq.ft.: Loading spaces, ❑ Lease: expires, options: Area Breakdown Dock spaces: ❑ Mortgage: balance, _ Office/retail sq.fte Clearance/height: ❑ Own clear Warehouse/shop sq,R.: Railroad access: Monthly payment Yard scift: Lease copy available?: Business EquipMentlim p rovements Inventory list available?: Phone system Computer system Electrical (Amps): Type/brand, Number of PCs: 3 phases (Y/N): Server room (# of racks, A/C, power, etc.): Describe plumbing, Age: Voice Imes: Other equipment (printers, security, WAP, registers, inventory control, etc): Other special utility: Fax lines: Other lines: I Internet service/provider (list 4): Indicate quantity of each type of equipment on site: Bridge crane: Freezer: Sinks: Dry-cleaning plant: Airlines: Jib crane: Walk-in cooler: Clarifier: UST, Water fines: Hood: Walk-in freezer: Boiler. Racking/shelving: Hoist Refrigerator: Spray booth: Compressor', System furniture: Other significant improvements/machinery/equipment Leased equipment onsite: Obsolete equipment or equipment that cannot be moved, Permits I Requited Specialists List required special permits and licenses with number (provide copy): Operate under Conditional Use Permit? (provide copy) WIII CUP be required at a new location?: Assistance required in obtaining any permits/licenses?: Describe any wastewater/air/stack discharge/emissions: List hazardous materials used or stored (including handling and disposal): Needs for outside specialists for a move: 4 1080-2012 Overiand, Pacific & Cutler, Inc. 10&'12) 55A-44 Preferred replacement site attributes Relocation area: Property access (RR, dual): Zoning/type of use: Truck access: Lease / purchase: Freeways/arterials proximity: Building size/layout: Public transport access: Single/multistory building: Pedestrian access: Clearance/height: Parking spaces: Lotlyard size: Shipping/receiving type: Special utility needs: Demographic needs: Internet service needs: Traffic count needs: Franchise/ordinance restrictions: Visibility needs: Specific concerns and anticipated move challenges List of any ideni replacement sites Address Bldg size Lot size Lease amount Status Broker info 1 2 3 ADDITIONAL INTERVIEW NOTES (explain all special circumstances, including those noted above) 1. URA business type: Business, Farm, Non•Profit 2. OPC business type: Agricultural, Industrial, Office, Retail Sales, Retail Service, Special Purpose (detail online) 3. Professional Specialty: Attorney, Accountant, Broker, Move Planner, Contractor 4. Internet service: DSL, cable, T1, fiber, satellite, other I'certify that all information in this survey is true and complete to the.best of my knowledge. The information contained herein shall be treated confidential to the extent permitted bylaw. Claimant Name: Date: Signature: ©1980-2012 Overland, Pacific & Cutler, Irw- (08112) Pace 3 55A-45 Exhibit B: Mr, 55A-46 Residential Relocation Interview ClientlProject: City of Santa Ana - Bristol St. Project Phase IIIA Case ID: Site Address: Total occupants, Interview Date: ❑ Unoccupied City, St, ZIP: Santa Ana, CA Interviewer: ❑ No Contact INDIVIDUAL OCCUPANTS (use additional pages as needed) 1. Name: Gender F M Employer/School: Relationship (list 1): HEAD OF HOUSEHOLD ❑ ID verified Income srce (list 2): Income/empl. description: Hire/start date: Mo Income: Lawful presence (list 3): Dale of birth: Phone/fax/email: Move -in date: Notes/special needs: 2. Name: Gender: F M Employer/School: Relationship (list 1): ❑ ID verified Income srce (list 2): Income/empl. description: Hirelstart dale: Mo Income: Lawful presence (list 3): Date of birth: Phone/fax/email: Move -in date: Notes/special needs, 3. Name: Gender: F M Employer/School: Relationship (list 1): ❑ ID verified Income srce (list 2): Income/empl. description: Hire/start date: Mo Income: Lawful presence (list 3): Date of birth: Phone/fax/email: Move -in date: Notes/special needs: 4. Name: Gender: F M Employer/School: Relationship (list 1): ❑ ID verified Income srce (list 2): Incomelempl. description: Hire/start date: Mo Income: Lawful presence (list 3): Date of bl& Phone/fax/email: Move -in dale: Notes/special needs 5. Name: Gender: F M Employer/School. Relationship (list 1): ❑ ID verified Income srce (list 2): Incomelempl. description: Hire/start date: Mo Income: Lawful presence (list 3): Dale of birth: Phone/fax/email: Move -in date: Notes/special needs: 6. Name: Gender: F M Employer/School: Relationship (list 1): ❑ID verified Income srce (list 2): Income/empl.description: Hire/start dale: Molncome, Lawful presence (list 3), Date of birth: Phone/fax/email, Move -in date: Notes/special needs: ©1930-2012 Overland, Pacific & Cutler, Inc. (Nov-12) Page 1 55A-47 DWELLING HOUSEHOLD Mailing Address: ❑ Primary residence of all occupants? (If not, explain in notes) City, St, ZIP: ❑ Can someone read/understand English? If not, language Carbon Copy Address: Race/Ethnicity: ❑ American Indian/Alaskan ❑ Asian ❑ Black/African-American ❑ Hawaiian/Pacific Islander ❑ Hispanic/Latino ❑ White ❑ Other ❑ Mixed City, St, ZIP: Dwelling Type (list 4): Bedrooms, Attic/Utility/Storage: Approx Sq Ft: Subscribe to: ❑ Land phone ❑ TV service ❑ Internet Kitchen: Basement, Bathrooms: ❑ Home -based business? (describe in notes) Living/family rooms: Garage, Garage Spaces: ❑ Rent rooms in dwelling? (describe in notes) Dining room: Other/Extra: Carport Spaces: ❑ On fixed income or public assistance? (describe in Occupants) Den/Office, --- Total Rooms: Total physical and content rooms to move: Parking Spaces: ❑ Disabled occupants? (describe modifications/needs in Occupants) - Number of cars: Replacement site Ill needs (mark and describe in Notes) ❑ Employment access El Shopping ❑ Public transport ❑ Religious ❑ Medical facilities/services ❑ Social/Public services ❑ School needs ❑ Relatives/Ethnic ❑ Childcare ❑ Other special needs AirCond: ❑Central ❑Wall/Window ❑Heat Pump ❑Evap./Swamp ❑None Heating, ❑FAU ❑Radiant ❑Hot Water ❑SpaceHtr ❑Solar ❑Heat Pump Dwelling Condition: ❑ Good ❑ Fair ❑ Poor Neighborhood Condition: ❑ Good ❑ Fair ❑ Poor_ Amenities: ❑ All occupants to move to the same dwelling? (if not, explain in notes) TENANT Replacement dwelling preference: ❑ Rent ❑ Buy Rent terms: ❑ Month -Month ❑ Lease, months left: Can relocate from: ❑ Neighborhood ❑ City ❑ County ❑ State ❑ Rent reduced in exchange for service ❑ Unit furnished by tenant Preferred relocation areas: Monthly contract rent: $ Security deposit: $ HOMEOWNER Landlord/manager name/ph: Lot size (sq ft): Date purchased: Age (yrs): ❑ Written rental agreement available? ❑ Rent receipts available? ❑ Own clear, no mortg/loans ❑ Negative equity # of stories: ❑ Receiving Section 8 or other housing assistance? let Loan Information 2nd Loan Information Caseworker name/ph: Lender: Lender: Monthly tenant portion of rent: $ Loan Type (list 5): Loan Type (list 5): Annual family/child care expenses to allow work: $ Current % Rate: Current %Rate: Annual non -reimbursed medical expenses: $ Principal Balance: $ Principal Balance: $ Annual non-reimb. handicapped assistance expenses: $ Original Date: Original Date: Utilities paid by tenant: ❑ Gas: $ Pets, Remaining months: Remaining months: Monthly P&I payment: Monthly P&I payment: ❑ Electric $ ❑ Water: $ ❑ Sewer: $ ❑ Trash: $ ❑ NONE Energy source: Gas Electr Oil Other Cooking Stove: ❑ ❑ ❑ Water Heater ❑ ❑ ❑ Space Heat: ❑ ❑ ❑ Air Conditioning: ❑ ❑ ❑ MOBILE HOME Pad space: ❑ Rent ❑ Own Coach: ❑ Rent ❑ Own Pad rent: $ Make/Model: Coach length (ft): Year: Coach width (ft): Decal #: J1980-20f2 Overland. Pacific 8. Cutler. Inc. (Nov-12) Pap AIRMArej INTERVIEW NOTES (explain all special dwelling/household circumstances, including those noted on page 2) 1. Relation: Spouse, Child, Foster Child, Parent, Partner, Sibling, Aunt/Uncle, Cousin, Grandparent, Parent In -Law, Sibling In -Law, Other Relative, Roommate 2.Income: Wages/Salaries, Social Security/Dlsab/Pension, Child Support/Alimony, Welfare/TANF/AFDC, Family Subsidy/Gift, Business Income, Interest/Dividends, Unempl./Workers Comp, AF pay, EITC, Cash Income, Rent Reduction, Other 3. Legal Status: Unknown, Citizen/National, Lawful Other, NOT Lawful, Decline to provide. 4. Dwelling: SFR, Duplex, 3-Plex, 4-Plex, Apartment, Condo/Townhome, Hotel/Motel, Mobile Home, RV, Other 5. Loans: Fixed Mortgage, Adjustable Mortgage, Interest Only, Fixed HELOC, Adjustable HELOC, Reverse Mortgage, Other I certify that all occupants have been identified above and that all information provided for this survey is true and complete to the best of my knowled e. Claimant Name: Date: Signature: 0 1950-2012 Overland, Pacific & Cutler, Inc. (Nov-12) Page 3 1* M0-J Exhibit C: HCD Income Limits - Orange County 55A-50 STAMOF-CAUEORNIA-RIISINRSC TRANSPfIRTkTIlSN AN�}.{01151NCA(iEI�CY FQPd11PIQ.C�RCWN IR ,S,ovamo[ DEPARTMENT OF HOUSING AND COMMUNITY DEVELOPMENT Division of Housing Policy Development nw 2020 W EI Camino Avenue, Suite 500 Sacramento. CA 05833 (016) 203-2911 1 FAX (016) 2634453 vanv,hcd.ca.gov MEMORANDUM DATE: April 15, 2015 TO: Interested Parties,4/ -r''i FROM: Lisa Bates, Deputy Director Division of Housing Policy Development SUBJECT: State Income Limits for 2015 Attached are briefing materials and State Income Limits for 2015 reflecting median income and household income levels for extremely low-, very low-, low-, and moderate -income households for California's 56 counties. Updated 2015 income Limits are now in effect and replace last year's limits. 2015 income limits can be downloaded on the Department of Housing and Community Development's (Department) website <hftp://www.facd.ca.povll7nd/hrclrevlsfatelirioNote hfrnl>. State Income Limits apply to desiq-nated pro rg ams and are to be used to determine applicant eligibility (based on level of household income) and to oaiculate affordable housing cost for applicable housing assistance programs. Note that use of State Income Limits is subject to a particular program's definition of income, family, family size, effective dates, and other factors. Also, definitions applicable to income categories, criteria, and geographic areas sometimes differ depending on funding source and program resulting in some programs using other income limits. California's 2015 income limits were updated based on: (1) federal income limit changes the U,S. Department of Housing and Urban Development (HUD) released on March 6, 2015 and revised on March 10, 2015 for its Section 8 Housing Choice Voucher Program income limits and (2) adjustments the Department made based on particular State statutory provisions and the Department's 2013 Hold Harmless (HH) Policy. Since 2013, the Department's HH policy has held State Income Limits harmless from any decreases in household income category and median income levels that HUD, since 2010, began applying to Its Section 8 Income Limits after eliminating its longstanding Hold Harmless Policy. HUD determined its HH Policy was no longer necessary due to federal law changes in 2008 (Public Law 110-98) prohibiting any rent decreases in federal or private activity bond funded projects. Please contact Department staff at (916) 263-2911 to answer questions concerning State income Limits. Attachments: 2015 State Income Limits and Briefing Materials 55A-51 2015 State Income Limits Briefing Materials California Code of Regulations, Title 25, § 6932 Overview Pursuant to Health & Safety Code (H&SC) Section 50093(c), California Department of Housing and Community Development (HCD) filed 2015 State Income Limits with the Office of Administrative Law. HCD updated its income limits based on Department of Housing and Urban Development (HUD) updates to its Section 8 Housing Choice Voucher Program that HUD released on March 6, 2015 and revised on March 10, 2015. HUD annually updates Section 8 income limits to reflect changes in household income category levels and median income levels applicable to extremely -low, very -low, and low- income households. California law specifies that its State Income Limits must be updated based on HUD updates to its Section 8 income limit levels. The Department also revises its State Income Limit levels to reflect: (1) adjustments, per State law, to some HUD county median income figures, and (2) adjustments to some household income category and area median income levels to reflect HCD's February 2013 Hold Harmless (HH) Policy. This policy was implemented to replace HUD's HH Policy, discontinued in 2009, in maintaining income category and area median income levels at their highest achieved levels and (3) calculation of California's moderate -income household levels based on changes to county area median income levels. Following are brief summaries of different methodologies used by HUD and HCD in updating income limits for different household income categories. HUD Methodology HUD uses 40th percentile rents in 50th percentile fair market rent (FMR) areas, to calculate high housing cost areas. The purpose is to prevent fluctuations in "Low - Income Housing Tax Credit Difficult Development Area" determinations that result solely from high housing cost income limit fluctuations as areas go in and out of the 50th percentile FMR program. Extremely Low -Income This income category comprises households with a maximum income of 30 percent (30%) of HUD's median family income (MFI). HUD calculates extremely -low income limits based on very -low income limits. Extremely low-income limits reflect 60 percent of very -low income limits. However, HUD sets a floor based on minimum Supplemental Security Income (SSI). Very Low -Income The maximum very -low income limit typically reflects 50 percent (50%) of MFI. HUD's MFI figure generally equals two times HUD's 4-person very low-income limit, except when HUD applies adjustments. HUD may adjust income limits for an area or county to account for conditions that warrant special considerations, referred to as exceptions. HUD may Page 2 of 5 55A-52 2015 State Income Limits Briefing Materials California Code of Regulations, Title 26, § 6932 apply exceptions to areas with unusually high or low family income, uneven housing -cost - to -income relationships or historical exceptions. The following reflect HUD's explanations of adjustment increases and decreases contained in HUD's FY 2015 Income Limits Briefing Material: Adjustment Increases: HUD applies an increase, if the four -person very low-income limit would otherwise be less than the amount at which 35 percent (35%) of it equals 85 percent (85%) of the annualized two -bedroom Section 8 FMR (or 401 percentile rent in 50'h percentile FMR areas), The purpose is to increase the income limit for areas where rental housing costs are unusually high in relation to the median income. HUD applies an increase to the four person income limit if it is less than the State non -metropolitan median family income level. In addition, the four -person income limit is also increased, if it is less than 95 percent of last year's very low income limit. HUD restricts adjustments so income limits do not vary more than five percent (5%) of the previous year's very low-income figure. Very low-income limits are used as the base to calculate extremely -low and low-income limits. Adjustment Decreases: HUD applies a decrease to the greater of 80 percent of the U.S. median family level (MFI), or the amount at which 30 percent of a four -person family's income equals 100 percent of the two -bedroom FMR (or 401h percentile rent in 50th percentile FMR areas). The purpose is to decrease the income limit for areas of high median family income. The four -person income limit is reduced to the greater of 105 percent of last year's limit or twice the change in the national MFI estimate if that amount would be larger than five percent (5%). HUD restricts adjustment increases and decreases to not vary more than five percent (5%) of the previous year's very low-income figure. Adjusted very low-income limits are used as the base to calculate extremely -low and low-income limits. Low -Income In general, maximum income for low-income households reflects 80 percent (80%) of the MFI level. Most low-income limits represent the higher level of: (1) 80 percent of MFI or (2) 80 percent of State non -metropolitan median family income. However, due to adjustments that HUD sometimes makes, strictly calculating low-income limits as 80 percent of MFI could produce unintended anomalies inconsistent with statutory intent. HUD's briefing materials specify that, with some exceptions, the low-income limit reflects 160 percent of the very low-income limit. HUD may apply exceptions to areas with unusually high or low housing -costs -to -income relationships. An example of the result from HUD applying an exception to an area could be an increase to the low-income limit without an increase to the very low-income limit. In sum, an "80%" limit cannot be assumed to equal 80 percent of the AMI or 4-person median income limit nor 160 percent of the very low-income limit due to adjustments HUD may make. Page 3 of 5 55A-53 2015 State Income Limits Briefing Materials California Code of Regulations, Title 25, § 6932 Median Family Income/Area Median Income HUD estimates and references Median Family Income (MFI) in calculating its income limits. California law and income limits reference Area Median Income (AMI) that, pursuant to H&SC 50093(c), means the median family income of a geographic area estimated by HUD for its Section 8 Program. HUD's calculations of Section 8 Income Limits begin with the production of MFI estimates. FY 2015 MFI estimates use 5-year survey data (American Community Survey (ACS) 2008-2012 and Puerto Rico Community Survey (PRCS) 2007-2011) augmented by 2012, 1-year ACS and PRCS data. HUD then adjusts the survey data to account for anticipated income growth by applying the Consumer Price Index (CPI) inflation forecast (through the mid -point of 2015) that the Congressional Budget Office published in August 2014. HUD's determination of MFI is used to calculate very low-income limits that are then used as the basis to calculate income limits for other income categories. Income Limit Calculations for Household Sizes Other Than 4-Persons Income limits for all income categories are adjusted for household size so that larger households have higher income limits than smaller households. For all income categories, income limits for household sizes other than 4-persons are calculated using the 4-person income limit as the base. HUD's adjustments use the following percentages, with results rounded to the nearest $50 increment: Number of persons in Household: 1 2 3 4 5 6 7 8 Adjustments:70% 80% 90% Base 108% 116% 124% 132% Income Limit Calculations for Household Sizes Greater Than 8-Persons For households of more than eight persons, refer to the formula at the end of the table for 2015 Income Limits. Due to the adjustments HUD can make to income limits in a given county, table data should be the only method used to determine program eligibility. Arithmetic calculations are applicable only when a household has more than eight members. Reference: FY 2015 HUD Income Limits Transmittal Notice PDR-2015-02 issued March 6, 2015 and HUD Income Limits Briefing Material dated March 10, 2015 http:/Mww.huduser.org/portal/datasets/iI/il1 5/index.htmi http:t/www.hLiduser.org/portai/datasets/11/ilI5/HUD—sec8_15.pdf HCD Methodology State law (Health & Safety Code Section 50093, et. seq.) prescribes the methodology the Department uses to update its Official State Income Limits. The Department utilizes HUD's Section 8 Housing Choice Voucher Program Income Limits. HCD's methodology involves: (1) increasing some counties' median income levels established by HUD, (2) increasing some 4-person very -low income limits established by HUD, (3) applying its Hold Harmless (HH) Policy, in effect since 2013, to not allow decreases in area median income levels and household income category levels, and (4) determining income limit levels applicable to California's moderate -income households defined by State law as household income not exceeding 120 percent of county AMI. Page 4 of 5 55A-54 2016 State Income Limits Briefing Materials California Code of Regulations, Title 25, § 6932 Area Median Income and Income Category Levels HOD, pursuant to federal and state law and its Hold Harmless (HI -I) Policy, adjusts median income levels determined by HUD for a metropolitan county (county included in a metropolitan statistical area) and for a non -metropolitan county (county not included in a metropolitan statistical area). For non -metropolitan counties, federal law (Section 567 of the 1987 Housing and Community Development Act) requires adjusting median income to the higher of the (1) median income for the county or (2) the current statewide non - metropolitan median income ($56,900 for 2015) determined by HUD. Next, HCD, for both metropolitan and non -metropolitan counties, applies its HH policy to ensure area median income for all counties and income limits for all income categories do not fall below any level achieved in the prior year. 4-person Median Income Calculation HUD's 4-person median income figure usually reflects the county's AMI figure. HUD sometimes makes adjustments to decrease the 4-person very -low income limit when median family income is unusually high. The Department makes adjustments so its calculation of the 4•person very -low income limit for each county is not less than HUD's median family income figure and, pursuant to HOD's HH Policy, not less than the prior year's higher level. Moderate -Income Levels The Department is responsible for establishing California moderate -income limit levels. After calculating the 4-person area median income (AMI) level as previously described, the Department sets the maximurn moderate income limit to equal 120 percent of the county's AMI. Applicability of California's Official State Income Limits Applicability of these State Income Limits is subject to particular programs as program definitions of such factors as income, family, and household size, etc., vary. Some programs, such as Multifamily Tax Subsidy Projects (MTSPs), use different income limits. For MTSPs, separate income limits apply per provisions of the Housing and Economic Recovery Act (HERA) of 2008 (Public Law 110-289). Income limits for MTSPs are used to determine qualification levels as well as set maximum rental rates for projects funded with tax credits authorized under Section 42 of the Internal Revenue Code (Code). Also, MTSP income limits apply to projects financed with tax exempt housing bonds issued to provide qualified residential rental development under Section 142 of the Code. These income limits are available at this web link http://www.huduser.org/datasetshxrtsp.html. Page 5 of 5 55A-55 Section 6932. 2015Income Limits Page 1 of 7 Income Number of Persons in Household County ---_. i I I I TI a 1 7 1 a it 4-Person lVery Low income Area Median Income: Law Income $70,200 IMedlan Income 4-Person Area Median Income: $58,700 Contra Costa County 4-Person Area Median Income: $93,500 Extremely Low 196501 224501 262601 280501 =Uul 32570 36730 408fl0 Very Low Income 32750 374001 421001 46750 505001 54250 68000 61750 Low Income 50160 57300 644601 71CO01 773501 83100 88800 94550 Median Income 654501 748001 841601 935001 1UlUUOI 108450 115950 123400 Moderate Income 785501 897601 1010001 1122001 12120DI 130150 139150 148100 4-Person Area Median Income; $57,900 4-Person Area Median Income: $76,100 See Instructions on lastpage to use these income limits to dater applica�ibility and calculate affordable housing cost and rent. Section 6932. 2015 Income Limits Page 2 of 7 County Income Category Number of Persons in Household 1 2 3 4 5 6 7 8 Fresno County 4-Person Area Median Income: $57,900 Extremely Low 1 12150 159301 200901 242601 284101 325701 363001 37600 Vo Low Income 20300 23200 26100 28950 31300 33600 35900 38250 Low Income 32450 37056 417001 57450 61160 Median Income 1 40650 46300 621001 679001 626601 67150 71B00 76450 Moderate Income 1 48650 55600 625601 695001 750501 80600 86200 91750 Glenn County 4-Person Area Median Income: $57,900 Extremel Low 12150 15930 20090 24250a6256O 2570 35300 3"00 Ve Lowlncome 20300 23200 26100 289503600 35900 38250 Low Income 32450 37050 41700 463003750 57456 61150 Medlanlncome 40550 46300 52100 579007150 71800 76450Moderatelncome 48650 55600 62550 69 0000600 86200 91750 Humboldt County 4-Person Area Median Income: $57,900 Extremely Low 121601 159301 200901 242601 284101 325701 35300 37500 Very Low Income 203001 232001 261001 289501 313001 33600 35900 38250 Low Income 324501 37050 4170000 46300 50050 53750 57450 61150 Median Income 40550 46300 521 57900 62560 67150 71800 76450 Moderate Income 48650 556001 625501 695001 750501 80600 86200 91760 Imperial County 4-Person Area Median Income: $$7,900 Extra mel Law 12150 15930 20090 24250 28410 32570 35300 37600 VeryLow Income 20300 23200 26100 28950 31300 33600 35900 38250 Low Income 32450 37050 41700 46300 50050 53750 67450 61150 Median income 40550 46300 52100 57900 62550 67160 71800 76460 Moderate Income 48650 55600 62560 69600 75050 80600 86200 91750 Inyo County 4-Person Area Median Income: $71,500 Extremely Low 15050 17200 20090 242601 284101 325701 367301 40890 Very25 Low 050 28600 32200 35750 3Q650 41500 44350 47200 Low Income 40050 45800 51500 57200 61800 66400 70950 75550 Median Income 50050 57200 64350 715001 772001 82950 88650 94400 Moderate Income 60050 68650 77200 85800 92650 99550 106400 113250 Kern County 4-Person Area Median Income: $57,900 Extremely Low 1 12150 159301 200901 242501 284101 325701 363001 37600 Ve Low Income 20300 23200 26100 28950 31300 33600 35900 38250 Low Income 32460 37050 41700 46300 50050 53750 57450 61150 Medianlncome 40550 46300 52100 57900 62550 67150 71800 76450 Moderate Income 48850 55000 62550 69500 75050 80600 86200 91750 Kings County 4-Person Area Median Income: $67,900 Extremely Low 12150 15930 20090 24250 28410 32570 35300 37600 Ve Low Income 20300 23200 26160 28950 31300 33600 35900 38250 Low income 32450 37050 41700 46300 50050 53750 67450 61150 Medianlncome 40550 46300 52100 57900 62550 67150 71800 76450 Moderatelncome 48650 55600 62550 69500 75060 80600 86200 91750 Lake County 4-Person Area Median Income: $67,900 Extremely Low, 12150 15930 20090 24250 28410 32570 35300 37600 VeryLow Income 20300 23200 26100 28950 31300 33600 35900 38250 Low Income 32450 37050 41100 501 67460 61150 Medianlncome 40550 46300 62100 67900 62550 67150 71800 76450 Moderate Income 48650 556001 625501 695001 750501 806001 862001 91750 Lassen County 4-Person Area Median Income: $88,400 ExtremelyLow 14600 16650 20090 24250 28410 32570 36730 40890 24300 27800 31250 347n0 37500 40300 43050 45850 Mow Low Income 38850 444D0 48950 55500 699501 644001 688501 73300 Medianlncome 436001 655001 62450 694D0 74960 80500 86050 91600 Moderate Income 58300 66650 74950 83300 89960 96650 103300 109950 See Instructions on last page to use these income limits to deterr5�oAicarim Ility and calculate affordable housing cost and rent. Section 6932. 2016 Lucerne Limits Page 3 of 7 County Income Number of Persons in Household Category 1 2 3 4 5 Los Angeles County 4-Person Area Median income: $64,800 Extreme) Low 17956 20500 23050 25600 28410 32570 3-6730 40890 Ve m Low Income 29900 34200 38450 42700 46150 49550 _ 52950 66400 Low Income* 47850 54650 61500 68300 73800 792bOIR4100 90200 Medianlncome 46350 51850 58300 64800 70000 75150 85550Moderate Income 54450 62200 70000 77750 83950 90200 102650 Low income exceeding median income is an anorrraly for this county due to HUD historical adjustments to median income. [toll towarincorne figures are denvod tram var -!ow income fr ores that are not acrusted b HUD forexce ffons. 4-Person Area Median Income: $67,900 4-Person Area Median Income: $103,000 4-Person Area Median Income: $61,900 4-Person Area Median Income: $58,900 4-Person Area Median Income: $67,900 4-Person Area Median income: $67,900 4-Person Area Median Income: $81,200 Monterey County 4-Person Area Median Income: $68,700 Extremely Low 15250 17400 20090 24250 28410 32570 36730 40890 Ve Lowlncome 25400 29000 32650 36250 39150 42050 44950 47650 Low Income 40600 46400 22200 68000 62650 67300 71960 76600 Medianlncome 46100 54950 61850 68700 74200 79700 85200 90700 Moderateincome 57700 65950 74200 82450 89050 95660 102260 108850 See instructions on last page to use these Income limits to detesiSayr�I . ibiiity and calculate affordable housing cost and rent. Section 6932. 2015Income Limits Page 4 of 7 County Income Category Number of Persons in Household 1 2 3 4 5 6 7 8 Napa County 4-Person Area Median Income: $86,100 Extremelv Low 18350 210001 236001 262001 284101 32570 35/3U1 40890 Very Low Income 30600 349501 393001 436501 471501 506501 54150 67650 Low income 48900 65850 62850 69800 75400 81000 86600 92150 Median Income 60250 68900 77500 86100 93000 99900 106750 113650 Moderate Income 72300 82650 92950 103300 111660 119850 128100 136350 Nevada County 4-Person Area Median Income: $73,600 Extrenneiv Low 16100 184001 20700 242501 284101 326701 367301 40890 Very Low Income 26850 307001 34550 383501 414501 446001 476001 60660 Low Income 42950 49050 55200 61300 66260 71160 76050 80950 Median Income 61450 58800 66150 73500 79400 85250 9115D 97000 Moderate Income 61750 70550 79400 )01 109350 116400 Orange County 4-Person Area Median Income: $87,200 Extramelv Low 202601 231601 260501 28900 _312601 335501 36730 40890 Very Low Income 337601 385501 43350 481501 52050 55900 59750 63600 Low income 53950 81650 69350 77050 83260 894001 95556 101750 Medianlnc ome 61D52500 69750 78500 87200 fl4200 101150 108150 115100 rat Modeelncome 73 83700 94200 104650 113000 1214001 129760 138150 Placer County 4-Person Area Median Income: $76,100 Extremelv Low 16000 18300 20600 24250 28410 32570 36730 40890 Vea Low Income 26650 30450 34250 38050 41100 44150 47200 50250 Low Income 42650 48750 548501 60900 6580PI 70UP 75550 80400 Median income 53250 60900 68500 76100 82200 88300 94350 100450 Moderate Income 63900 73050 821601 91300 986001 105900 113200 120500 Plumes County 4-Person Area Median Income: $62,000 Extremel Low 13050 159301 200901 242501 284101 32570 35:3UUI 37600 Ve Low Income 21700 248001 270001 310001 335001 36000 38450 40950 Low Income 34750 397001 446501 496001 6,36001 57550 61550 65500 Median Income 43460 49600 668001 620001 609601 71900 76900 81850 Moderate Income 52100 595001 669501 74400 803601 86300 92250 98200 Riverside County 4-Person Area Median Income: $65,000 Extremely Low 14100 16100 20090 242501 284101 32670 367301 40890 Very Low income 23450 26800 30160 33500 36200 38900 41550 440 25 Low Income 37550 42900 48250 53600 57900 62200 66500 70800 Median Income 45500 52000 58500 65000 70200 75400 80600 85800 Moderate Income 54600 624001 90500 96700 102950 Sacramento County 4-Person Area Median Income; $76,100 Extremely Low 16000 183001 206001 242501 284101 325701 36730 40890 Very Low Income 26650 304501 342601 38050 411001 44150 47200 50250 Low Income 42650 487501 548601 5550 80400 Median Income 53250 60900 686001 94350 100450 Moderate income 63900 730501 821501 113200 120500 San Benito County 4-Person Area Median Income: $81,100 Extremely Low 17050 19500 219601 243501 284101 32570 36730 40890 Very Low Income 28400 32450 36500 40550 43800 47050 50300 53550 Low Income 45100 51550 58000 64400 69600 74750 799D0 85050 Median Income 56750 64900 73000 81100 87600 94100 100550 107050 Moderate Income 68100 77850 87650 97300 106100 112850 120650 128450 San Bernardino County 4-Person Area Median income: $65,000 Extremely Low 14100 16100 20090 24250 28410 32570 30730 40890 Very,Low Income 23450 26800 30150 33500 36200 38900 41550 44250 Low Income 37550 42900 48250 53600 57900 62200 65500 70800 Median Income 45500 52000 586001 65000 70200 75400 80600 85800 Moderate Income 54600 62400 702001 78000 84250 90500 96700 102950 See instructions on last page to use these Income limits to detenMISS lity and calculate affordable housing cost and rent. Section 6932, 2015Income Limits Page 5 of 7 County Income Number of Persons In Household .._.______ w n a e R 7 A 4-Person Area Median Income: $77,100 4�Person Ivery Low Income Area Median Income: Low Income $103,000 Median Income 4-Person Area Median Income: $75,400 81 Santa Clara County 4-Person Median Income: $106,300 Extreme! Low 22350 25550 31900 34500 37050 39600 42150 Very Low Income 37250 42560j1147860 53160 5740 617Q06595Area Low Income 69400 67900 84900 91650 98450 105250 112050 Median Income 74400 85050 106300 114800 123300 13180D 140300 Moderate income 89300 102050 127650 1377501 1479601 1581501 168350 4-Person Area Median Income: $87,000 4�Person Area Median Income: $59,000 See Instructions on last page to use these Income limits to datereiroawlicam4eyibility and calculate affordable housing coat and rent. Section 6932. 20151ncorne Limits Page 6 of 7 County Income Cate o Number of Persons in Household 1 2 3 1 4 1 5 1 6 1 7 8 Sierra County 4-Person Area Median Income: $71,800 Extremely Low 1 14800 169001 200901 242501 28410 38570 36730 40890 Ve Low Income 24660 28160 31650 35150 38000 40800 43600 46400 Low Income 394e0 45000 50650 56250 60750 65250 69750 74260 Median Income 50250 57450 64600 71806 77550 83300 89050 94800 Moderate Income 60300 68900 77650 861501 930601 99960 106850 113700 Siskiyou County 4-Person Area Median Income: $57,900 Extremely Low 12150 159301 20090 242601 28410 326701 353001 37600 Very Low Income 20300 232001 26100 28950 31300 33600 35900 38250 Low Income 32460 37050 41700 46300 50050 63750 574501 61150 Median Income 40550 46300 52100 57900 62550 87150 718001 76450 Moderate Income 48650 55600 62550 695001 750501 806001 862001 91760 Solano County 4-Person Area Median Income: $82,600 Extreme l Low 17400 19850 22350 24800 28410 32570 38730 40890 Ve Lowlncome 28950 33050 372001 41300 44650 47950 51250 54550 Low income 45500 52000 58500 65000 70200 75400 80600 85800 Median income 57800 66100 74350 $2600 89200 95800 102400 109050 Moderate income 69350 79300 89200 99100 107nrt)l 114950 122900 130800 Sonoma County 4-Person Area Median Income: $82,600 Extremely Low 17400 198501 223601 248001 284101 328701 367301 40890 Very Low Income 28950 330601 372001 41300 44650 47950 51250 54550 Low Income 45500 52000 58500 65000 70200 75400 80600 85800 Median Income 57800 66100 74360 82600 89200 95800 102400 109060 Moderate Income 69350 793001 892001 991001 1070501 1149501 1229001 130800 Stanislaus County 4-Person Area Median Income: $62,000 Extremelv Low 13050 159301 200901 242501 300 37G00 Very Low income 21700 248001 27900 31000 33500 36000 38450 40950 Low Income 34750 39700 44650 49600 53600 57550 61550 65500 Median Income 43400 49600 501 71900 76900 81850 Moderate Income 52100 59500 66950 74400 80350 BG300 92250 98200 Sutter County 4-Person Area Median Income: $59,400 Extreme] Low 12500 159301 20090 242501 284101 325701 353001 37600 Ve Low Income 20800 23800 26760 29700 $2100 346.00 36850 39250 Low Income 33260 3800D 42750 47500 51300 55100 68900 62700 Median Income 41600 47500 53450 59400 64150 G8900 73650 78400 Moderate Income 499oo 670501 64150 713001 770001 82700 884001 94100 Tehama County 4-Person Area Median Income: $67,900 12160 15930 20090 24250 28410 32570 35300 37600 20300 23200 26100 28950 31300 33600 35900 38250 MIncome 32450 37050 41700 46300 50050 53750 67450 61150 Median 40550 46300 52100 57900 G2550 67150 71800 76450 48650 55600 626501 696001 750501 806001 86200 91750 Trinity County 4-Person Area Median Income: $57,900 Extremely Low 12150 159301 20090 242501 284101 326701 36300L 37600 Very Low Income 20300 232001 26100 28950 31300 33000 36900 38250 LowIncome 32460 37050 41700 46300 5010501 53750 57450 61150 Median income 40550 46300 521D0 57900 62550 67150 71800 76450 Moderate Income 48650 55600 62550 69500 75050 80600 88200 91750 Tulare County 4-Person Area Median Income: $67,900 Extremely Low 12150 15930 20090 24250 28410 32570 363001 37600 Ve Low income 20300 232001 26100 289501 31300 33600 35900 38250 Low Income 32460 370501 41700 46300 50050 53750 57450 6115D Median Income 40550 46300 52100 57900 62550 67150 718001 76450 Moderate Income 48650 65600 62550 695001 75050 80600 86200 11750 See instructions on last page to use these Income Ilmlts to deter,51S-61bllity and calculate affordable housing cost and rent. Section 6932. 2015 Income Limits Page 7 of 7 County Income Category Number of Persons in Household 1 2 3 4 5 6 7 8 Tuolumne County 4-Person Area Median income: $66,700 Extremely Low 1 13950 169501 200901 24260 284101 326701 367301 40890 Very Low Income 23250 26600 29900 33200 35900 38550 41200 43850 Low income 31210 42500 47800 53100 57350 61600 65850 70100 Median Income 46700 53350 60656 66700 72050 77350 82700 88050 Moderate Income 56050 640501 720501 80050 864501 928501 99250 105650 Ventura County 4-Person Area Median income: $89,300 Extremely Low 19050 21800 24500 27200 29400 32570 36730 40890 Very Low Income 31750 36250 40800 45300 48950 52550 56200 59800 Low income 50750 58000 65250 72500 78300 84100 89900 95700 Median Income 62500 71450 803501 89300 96450 103600 1107501 117900 Moderate Income 75000 85700 084601 107150 115700 12430p 132850 141A50 Yolo County 4-Person Area Median Income: $76,900 Extremely Low 161501 184501 207601 242501 284101 326701 367301 40890 Very Low income 26950 30800 34650 38450 41550 44650 47700 50800 Low Income 43050 49200 55350 61500 66450 7135p 76300 81200 Median Income 53860 61500 69200 76900 83050 89200 95350 101500 Moderate Income 646001 738601 830501 923001 997001 1070601 1144501 121850 Yuba County 4-Person Area Median Income: $59,400 Extremely Low 125001 159301 200901 242601 284101 32570 35300 37600 Very Low Income 20800 23800 26750 2fl700 32100 34600 36850 39250 Low Income 33250 38000 42750 2 00 gl 3001 55100 58900 62700 Median Income 416001 475001 534501 694001 641501 68900 73650 78400 Moderatelnwme 499001 570501 641501 713001 77000 82700 88400 94100 Instructions: Eligibility Determination: Use household size Income category figures in this chart. Determine eligibllllty based on actual number of persons in household and total of gross Income for all persons. Determination of Income Limit for Households Larger than Eight Persons: Per person (PP) adjustment above 8: (1) multiply the 4-person income limit by eight percent (8%), (2) multiply result by number of persons In excess of eight, (3) add the amount to the 8-person income limit. and (4) round to the nearest $50. Yuba County E X A M P L E Income Cate o 4 arsons 8% PP Adj, +8 person -9 persons Extremely Low 24,250 19401 32,0001 33,950 Very Low Income 29,700 2316 39,200 41,600 Lower Income 47,500 38P0 62,700 66,500 Moderate Income 71,300 5704 94,100 89,800 8 nerson+ 0 arsons 32 000 3880 36900 39200 4752 43950 62.700 7600 70 300 94.100 11408 10 0 Calculation of Housing Coat and Rent: Refer to Heath & Safely Code Sections 50052.5 and 50053. Use benchmark household size and multiply against applicable percentages defined in H&SC using Area Median Income Identified In this chart. Determination of Household Size: For projects with no federal assistance, household size is set at number or bedrooms In unit plus one. For projects with federal assistance, household size may be set by multiplying 1.6 against the number of bedrooms In unit. HUD release: 316f2016 Authority cited: Health and Safety Cade (H&SC) Section 50093. Reference: H&SC Sections 50079.5, 50093, 50105, and 60106. 55A-62 Exhibit D: Homesr and Rent Listings 55A-63 SFRs for Sale in Santa Ana Address Bedrooms Purchase Price Median Price 804 W. McFadden 2 $350,000 $409,900 2082 S. Standard 2 $379,900 1144 W.Cubbon 2 $409,900 1135 Cabrillo Park 2 $459,900 325 W. 18th St 2 $550,000 1001 Elaine Drive 3 $465,000 $527,000 1110S. Huron 3 $439,900 1908 S. Standard 3 $439,900 2537 W. Camden 3 $468,000 623 S. Cooper St 3 $525,000 3709 S. Van Ness 3 $552,500 218 N. Susan 3 $375,000 1809 Merriday Lane 3 $479,999 1015 Cherry Street 3 $529,000 2105 N. Spruce St 3 $530,000 914 E. West St 3 $535,000 3106 Mary 3 $550,000 710 W. Jonquil 3 $572,000 2707 Olive Lane 3 $725,000 209 N. Cooper 4 1 $599,000 $499,450 911 S. Figueroa 4 $417,000 1901 S. Fairview 4 $465,000 1809 Halladay 4 $499,000 2057 S. Broadway 4 $499,900 1506 E. Avalon 4 $589,000 55A-64 SFRs for Rent in Santa Anaand surrounding areas Address City Bedrooms Rent Median Price 1437 E. Century Drive Orange 2 $2 800 $2,400 221 W. Sparkleberry Orange 2 $2,600 931 N. Ventura St Anaheim 2 $1,800 1067 S. Sundance Anaheim 2 $2,200 12752 Malena Drive Santa Ana 3 $2,499 $2,975 2329 N, Lyon Street Santa Ana 3 $2,600 402 W. Harvey Santa Ana 3 $3,000 14392 Morning Glory Tustin 3 $2,950 10236 Ferrey Drive Tustin 3 $3,100 10008 Albee Ave Tustin 3 $3,200 15209 Washington Tustin 3 $3,800 9581 Royal Palm Blvd. Garden Grove 3 $2,700 142 N. Grant Place Orange 3 $2,750 18903 Mount Walton Fountain Valley 3 $3,650 2518 N. Greenbrier Santa Ana 4 $3,975 $3,448 10531 Ridgeway Drive Santa Ana 4 $3,695 2225 N. Hesperian Street Santa Ana 4 $3,150 1309 Marcella Lane Santa Ana 4 $3,750 2162 Sweetbriar Tustin 4 $2,550 8844 La Zana Fountain Valley 4 $3,200 1909 W. Blackhawk Drive Santa Ana 5 $4,600 $4,000 1320 Sun Dial Drive Tustin 5 $5,500 2402 N. Cameo St Orange 5 $2,750 1760 N. Maplewood Orange 5 $3,400 55A-65 Exhibit Es ListingsCommercial For Sale and Rent 55A-66 Commercial Properties for Sale City Price Tustin $139,900 Garden Grove $299,999 Orange $449,000 Santa Ana $699,000 Santa Ana $699,000 Santa Ana $850,000 Orange $875,000 Santa Ana $900,000 Santa Ana $900,000 Santa Ana $929,000 Santa Ana $975,000 Santa Ana $1,100,000 Garden Grove $1,200,000 Orange $1,280,000 Santa Ana $1,375,000 Santa Ana $1,400,000 Garden Grove $1,499,900 Santa Ana $1,500,000 Santa Ana $1,550,000 Santa Ana $1,620,000 Garden Grove $1,670,000 Garden Grove $1,700,000 Anaheim $1,920,000 Santa Ana $2,050,000 Orange $2,400,000 Santa Ana $2,495,000 Fountain Valley $2,498,000 Westminster $2,590,000 Anaheim $2,880,000 Westminster $2,900,000 Garden Grove $3,010,000 Santa Ana $3,495,000 Tustin $3,500,000 Tustin $3,500,000 Santa Ana $4,000,000 Santa Ana $4,320,000 Tustin $4,875,000 Orange $5,200,000 Tustin $6,000,000 Santa Ana $7,000,000 Anaheim $7,200,000 Orange $11,855,000 Santa Ana $17,685,000 55A-67 Fountain Valley Not disclosed Garden Grove Not disclosed Garden Grove Not disclosed Santa Ana Not disclosed Tustin Not disclosed Tustin Not disclosed 55A-68 Properties for Sale: Land Only City Price Santa Ana $11,995 Santa Ana $250,000 Santa Ana $290,000 Santa Ana $689,000 Garden Grove $750,000 Tustin $1,500,000 Santa Ana $2,380,000 Anaheim $3,500,000 Santa Ana Not disclosed Santa Ana Not disclosed 55A-69 Properties for Sale: Office Use city Price Tustin $130,000 Tustin $137,000 Santa Ana $149,999 Santa Ana $155,000 Santa Ana $159,200 Santa Ana $168,000 Santa Ana $190,000 Orange $220,000 Santa Ana $268,650 Santa Ana $290,250 Santa Ana $315,000 Tustin $333,000 Santa Ana $418,500 Tustin $440,000 Santa Ana $454,300 Santa Ana $485,000 Santa Ana $735,000 Santa Ana $775,000 Santa Ana $795,000 Santa Ana $899,000 Santa Ana $900,000 Orange $1,050,000 Costa Mesa $1,050,950 Costa Mesa $1,056,000 Costa Mesa $1,100,000 Santa Ana $1,100,000 Santa Ana $1,150,000 Santa Ana $1,250,000 Santa Ana $1,280,000 Orange $1,300,000 Fountain Valley $1,450,000 Irvine $1,597,950 Tustin $1,698,928 Santa Ana $1,699,000 Orange $1,795,000 Costa Mesa $1,920,000 Santa Ana $1,936,000 Tustin $1,950,000 Tustin $2,495,000 Santa Ana $2,511,630 Costa Mesa $2,560,000 Irvine $2,589,580 55A-70 Orange $3,000,000 Orange $3,000,000 Costa Mesa $3,275,000 Orange $3,500,000 Santa Ana $3,500,000 Santa Ana $3,500,000 Tustin $3,895,000 Tustin $3,970,727 Irvine $3,995,000 Orange $4,200,000 Orange $4,399,000 Santa Ana $4,500,000 Santa Ana $4,600,000 Santa Ana $4,680,000 Irvine $4,735,000 Santa Ana $6,200,000 Irvine $7,234,235 Santa Ana $7,650,000 Garden Grove $8,250,000 Santa Ana $10,828,800 Santa Ana $15,500,000 Santa Ana $17,685,000 Costa Mesa Not disclosed Irvine Not disclosed Santa Ana Not disclosed Santa Ana Not disclosed 55A-71 Retail Properties for Sale City Price Tustin $139,900 Garden Grove $299,999 Orange $449,000 Santa Ana $699,000 Santa Ana $699,000 Santa Ana $850,000 Orange $875,000 Santa Ana $900,000 Santa Ana $900,000 Santa Ana $929,000 Santa Ana $975,000 Santa Ana $1,100,000 Garden Grove $1,200,000 Orange $1,280,000 Santa Ana $1,375,000 Santa Ana $1,400,000 Garden Grove $1,499,900 Santa Ana $1,500,000 Santa Ana $1,550,000 Santa Ana $1,620,000 Garden Grove $1,670,000 Garden Grove $1,700,000 Anaheim $1,920,000 Santa Ana $2,050,000 Orange $2,400,000 Santa Ana $2,495,000 Fountain Valley $2,498,000 Westminster $2,590,000 Anaheim $2,880,000 Westminster $2,900,000 Garden Grove $3,010,000 Santa Ana $3,495,000 Tustin $3,500,000 Tustin $3,500,000 Santa Ana $4,000,000 Santa Ana $4,320,000 Tustin $4,875,000 Orange $5,200,000 Tustin $6,000,000 Santa Ana $7,000,000 Anaheim $7,200,000 Orange $11,855,000 Santa Ana $17,685,000 55A-72 Retail Properties for Sale City Price Fountain Valley Not disclosed Garden Grove Not disclosed Garden Grove Not disclosed Santa Ana Not disclosed Tustin Not disclosed Tustin Not disclosed 55A-73 Warehouse Properties for Sale City Price Garden Grove $599,000 Garden Grove $1,111,725 Garden Grove $1,437,735 Santa Ana $1,461,020 Garden Grove $2,576,000 Orange $4,885,000 Irvine $5,132,640 Santa Ana $35,000,000 Santa Ana Not disclosed Santa Ana Not disclosed Orange Not disclosed Irvine Not disclosed Irvine Not disclosed 55A-74 Commercial Properties for Lease: Warehouse Lease City Price Santa Ana $0.34 Garden Grove $0.49 Santa Ana $0.50 Anaheim $0.59 Santa Ana $0.65 Santa Ana $0.65 Santa Ana $0.65 Santa Ana $0.67 Anaheim $0.69 Costa Mesa $0.72 Irvine $0.72 Santa Ana $0.72 Santa Ana $0.74 Anaheim $0.75 Irvine $0.75 Santa Ana $0.75 Orange $0.78 Santa Ana $0.79 Orange $0.80 Santa Ana $0.80 Santa Ana $0.80 Santa Ana $0.83 Irvine $0.85 Orange $0.85 Santa Ana $0.85 Orange $0.88 Irvine $0.89 Santa Ana $0.89 Santa Ana $0.89 Santa Ana $0.89 Garden Grove $0.90 Irvine $0.90 Orange $0.90 Orange $0.90 Santa Ana $0.90 Santa Ana $0.90 Santa Ana $0.90 Santa Ana $0.92 Santa Ana $0.95 Santa Ana $0.95 Tustin $0.95 Santa Ana $0.98 Tustin $0.98 55A-75 Commercial Properties for Lease: Warehouse Lease City Price Tustin $0.98 Santa Ana $0.99 Anaheim $1.00 Irvine $1.00 Santa Ana $1.00 Santa Ana $1.00 Santa Ana $1.00 Orange $1.05 Santa Ana $1.05 Santa Ana $1.10 Orange $1.11 Orange $1.11 Anaheim $1.18 Anaheim $1.18 Tustin $1.20 Santa Ana $1.21 Irvine $1.25 Irvine $1.25 Irvine $1.25 Orange $1.25 Santa Ana $1.25 Santa Ana $1.25 Irvine $1.30 Garden Grove $1.35 Anaheim $1.40 Tustin $1.50 Orange Negotiable Santa Ana Negotiable Santa Ana Negotiable 55A-76 Commercial Properties for Lease: Warehouse Lease City Price Santa Ana $0.10 Irvine $0.77 Anaheim $0.79 Santa Ana $0.80 Santa Ana $0.80 Anaheim $0.82 Orange $0.85 Orange $0.85 Santa Ana $0.89 Orange $0.90 Santa Ana $0.90 Orange $0.93 Orange $0.95 Santa Ana $0.95 Tustin $0.95 Santa Ana $0.97 Santa Ana $0.98 Irvine $1.00 Orange $1.00 Santa Ana $1.05 Tustin $1.05 Santa Ana $1.10 Tustin $1.10 Santa Ana $1.13 Santa Ana $1.15 Irvine $1.20 Irvine $1.20 Irvine $1.20 Irvine $1.20 Santa Ana $1.20 Irvine $1.25 Irvine $1.25 Irvine $1.25 Santa Ana $1.25 Irvine $1.30 Tustin $1.30 Costa Mesa $1.35 Fountain Valley $1.35 Tustin $1.40 Tustin $1.40 Tustin $1.40 Tustin $1.40 Tustin $1.40 55A-77 Commercial Properties for Lease: Warehouse Lease City Price Irvine $1.50 Orange $1.50 Irvine $1.65 Orange Negotiable Santa Ana Negotiable Santa Ana Negotiable 55A-78 Commercial Properties for Lease: Flex Sale City Price Santa Ana $520,000 Santa Ana $540,000 Anaheim $1,492,155 Costa Mesa $2,200,000 Anaheim $6,250,000 Irvine Not disclosed Santa Ana Not disclosed 55A-79 Commercial Properties for Lease: Land Lease City Price Tustin $0.20 Santa Ana $0.25 Santa Ana $0.27 Santa Ana $0.30 Santa Ana $0.34 Anaheim $0.74 Santa Ana $2.50 Santa Ana Negotiable 55A-80 Commercial Properties for Lease: Office Lease City Price Costa Mesa $0.09 Tustin $0.10 Santa Ana $0.12 Santa Ana $0.13 Irvine $0.15 Tustin $0.18 Santa Ana $0.65 Santa Ana $0.68 Orange $0.79 Santa Ana $0.79 Costa Mesa $0.80 Irvine $0.89 Santa Ana $0.89 Garden Grove $0.90 Orange $0.95 Santa Ana $0.95 Santa Ana $0.95 Santa Ana $0.99 Orange $1.00 Orange $1.00 Orange $1.00 Santa Ana $1.00 Santa Ana $1.00 Santa Ana $1.00 Santa Ana $1.00 Santa Ana $1.00 Santa Ana $1.05 Tustin $1.05 Fountain Valley $1.10 Fountain Valley $1.13 Santa Ana $1.15 Santa Ana $1.15 Santa Ana $1.15 Santa Ana $1.15 Santa Ana $1.15 Santa Ana $1.15 Irvine $1.20 Santa Ana $1.20 Santa Ana $1.20 Santa Ana $1.20 Tustin $1.20 Santa Ana $1.21 Santa Ana $1.22 55A-81 Page 1 Commercial Properties for Lease: Office Lease City Price Santa Ana $1.24 Anaheim $1.25 Anaheim $1.25 Garden Grove $1.25 Garden Grove $1.25 Irvine $1.25 Irvine $1.25 Santa Ana $1.25 Santa Ana $1.25 Santa Ana $1.25 Santa Ana $1.25 Tustin $1.25 Tustin $1.25 Tustin $1.25 Tustin $1.25 Santa Ana $1.29 Garden Grove $1.30 Santa Ana $1.30 Santa Ana $1.30 Santa Ana $1.30 Anaheim $1.35 Costa Mesa $1.35 Garden Grove $1.35 Garden Grove $1.35 Irvine $1.35 Orange $1.35 Orange $1.35 Orange $1.35 Orange $1.35 Orange $1.35 Santa Ana $1.35 Santa Ana $1.35 Santa Ana $1.35 Santa Ana $1.35 Santa Ana $1.35 Orange $1.36 Santa Ana $1.39 Santa Ana $1.39 Irvine $1.40 Irvine $1.40 Santa Ana $1.40 Santa Ana $1.40 Santa Ana $1.42 55A-82 Page 2 Commercial Properties for Lease: Office Lease City Price Tustin $1.42 Orange $1.45 Santa Ana $1.45 Santa Ana $1.45 Santa Ana $1.45 Tustin $1.45 Irvine $1.49 Anaheim $1.50 Costa Mesa $1.50 Fountain Valley $1.50 Fountain Valley $1.50 Fountain Valley $1.50 Irvine $1.50 Irvine $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Santa Ana $1.50 Santa Ana $1.50 Santa Ana $1.50 Santa Ana $1.50 Santa Ana $1.50 Santa Ana $1.50 Santa Ana $1.50 Santa Ana $1.50 Santa Ana $1.50 Tustin $1.50 Tustin $1.50 Tustin $1.50 Tustin $1.50 Tustin $1.52 Santa Ana $1.54 Fountain Valley $1.55 Santa Ana $1.55 55A-83 Page 3 Commercial Properties for Lease: Office Lease City Price Santa Ana $1.55 Santa Ana $1.55 Anaheim $1.58 Garden Grove $1.60 Irvine $1.60 Orange $1.60 Orange $1.60 Tustin $1.60 Westminster $1.60 Fountain Valley $1.65 Garden Grove $1.65 Irvine $1.65 Irvine $1.65 Irvine $1.65 Orange $1.65 Santa Ana $1.65 Santa Ana $1.65 Santa Ana $1.65 Santa Ana $1.65 Santa Ana $1.70 Tustin $1.71 Santa Ana $1.74 Costa Mesa $1.75 Costa Mesa $1.75 Orange $1.75 Orange $1.75 Santa Ana $1.75 Santa Ana $1.75 Santa Ana $1.75 Santa Ana $1.75 Santa Ana $1.75 Santa Ana $1.75 Santa Ana $1.75 Santa Ana $1.75 Santa Ana $1.75 Santa Ana $1.75 Santa Ana $1.75 Tustin $1.75 Tustin $1.75 Tustin $1.75 Tustin $1.75 Tustin $1.76 Santa Ana 1 $1.77 55A-84 Page 4 Commercial Properties for Lease: Office Lease City Price Anaheim $1.78 Costa Mesa $1.80 Orange $1.80 Santa Ana $1.80 Costa Mesa $1.85 Costa Mesa $1.85 Costa Mesa $1.85 Fountain Valley $1.85 Fountain Valley $1.85 Garden Grove $1.85 Irvine $1.85 Irvine $1.85 Orange $1.85 Santa Ana $1.85 Santa Ana $1.85 Tustin $1.85 Tustin $1.85 Tustin $1.85 Orange $1.89 Anaheim $1.90 Anaheim $1.90 Irvine $1.90 Santa Ana $1.90 Santa Ana $1.90 Tustin $1.91 Fountain Valley $1.93 Costa Mesa $1.95 Costa Mesa $1.95 Costa Mesa $1.95 Irvine $1.95 Irvine $1.95 Irvine $1.95 Irvine $1.95 Orange $1.95 Santa Ana $1.95 Tustin $1.95 Tustin $1.95 Costa Mesa $2.00 Costa Mesa $2.00 Garden Grove $2.00 Santa Ana $2.00 Santa Ana $2.00 Santa Ana $2.00 55A-85 Page 5 Commercial Properties for Lease: Office Lease City Price Tustin $2.00 Tustin $2.00 Tustin $2.00 Orange $2.05 Santa Ana $2.05 Santa Ana $2.05 Santa Ana $2.05 Santa Ana $2.05 Santa Ana $2.05 Santa Ana $2.05 Santa Ana $2.06 Orange $2.10 Tustin $2.10 Tustin $2.10 Irvine $2.15 Santa Ana $2.15 Tustin $2.15 Costa Mesa $2.20 Tustin $2.20 Tustin $2.20 Westminster $2.20 Anaheim $2.25 Costa Mesa $2.25 Irvine $2.25 Santa Ana $2.25 Tustin $2.25 Orange $2.30 Anaheim $2.35 Garden Grove $2.35 Irvine $2.35 Irvine $2.35 Irvine $2.35 Irvine $2.35 Irvine $2.35 Irvine $2.35 Irvine $2.35 Orange $2.35 Santa Ana $2.35 Santa Ana $2.35 Orange $2.40 Santa Ana $2.40 Orange $2.43 rvine 1 $2.45 55A-86 Page 6 Commercial Properties for Lease: Office Lease City Price Irvine $2.45 Irvine $2.45 Irvine $2.45 Irvine $2.45 Irvine $2.45 Irvine $2.45 Tustin $2.45 Irvine $2.50 Orange $2.50 Santa Ana $2.65 Tustin $2.65 Costa Mesa $2.75 Orange $2.75 Orange $2.75 Orange $2.93 Orange $2.93 Costa Mesa $2.95 Orange $2.95 Tustin $2.95 Orange $3.00 Westminster $3.00 Costa Mesa $3.10 Orange $3.10 Orange $3.10 Orange $3.10 Orange $3.10 Garden Grove $3.15 Costa Mesa $3.20 Costa Mesa $3.20 Santa Ana $3.25 Santa Ana $3.33 Orange $3.62 Irvine $4.58 Anaheim Negotiable Anaheim Negotiable Anaheim Negotiable Anaheim I Negotiable Costa Mesa Negotiable Costa Mesa Negotiable Costa Mesa Negotiable Costa Mesa Negotiable Costa Mesa Negotiable Costa Mesa Negotiable 55A-87 Page 7 Commercial Properties for Lease: Office Lease City Price Costa Mesa Negotiable Costa Mesa Negotiable Costa Mesa Negotiable Costa Mesa Negotiable Fountain Valley Negotiable Fountain Valley Negotiable Fountain Valley Negotiable Fountain Valley Negotiable Fountain Valley Negotiable Fountain Valley Negotiable Garden Grove Negotiable Garden Grove Negotiable Garden Grove Negotiable Garden Grove Negotiable Irvine Negotiable Irvine Negotiable Irvine Negotiable Irvine Negotiable Irvine Negotiable Irvine Negotiable Irvine Negotiable Irvine Negotiable Irvine Negotiable Irvine Negotiable Irvine Negotiable Irvine Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange I Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable 55A-88 Page 8 Commercial Properties for Lease: Office Lease City Price Orange Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Tustin Negotiable Tustin Negotiable Tustin Negotiable Tustin Negotiable Tustin Negotiable 55A-89 Page 9 Commercial Properties for Lease: Retail Lease City Price Santa Ana $0.10 Orange $0.12 Santa Ana $0.23 Orange $0.28 Santa Ana $0.50 Santa Ana $0.80 Garden Grove $1.00 Orange $1.00 Santa Ana $1.00 Garden Grove $1.10 Fountain Valley $1.13 Santa Ana $1.20 Santa Ana $1.20 Santa Ana $1.20 Santa Ana $1.22 Anaheim $1.25 Garden Grove $1.25 Garden Grove $1.25 Santa Ana $1.25 Santa Ana $1.25 Santa Ana $1.25 Tustin $1.25 Fountain Valley $1.35 Fountain Valley $1.35 Garden Grove $1.35 Garden Grove $1.35 Garden Grove $1.35 Orange $1.35 Orange $1.35 Fountain Valley $1.39 Garden Grove 1 $1.40 Garden Grove $1.40 Santa Ana $1.45 Garden Grove $1.47 Anaheim $1.50 Anaheim $1.50 Fountain Valley $1.50 Garden Grove $1.50 Garden Grove $1.50 Orange $1.50 Orange $1.50 Orange $1.50 Orange $1.50 55A-90 Commercial Properties for Lease: Retail Lease City Price Orange $1.50 Orange $1.50 Orange $1.50 Santa Ana $1.50 Santa Ana $1.50 Santa Ana $1.50 Tustin $1.50 Tustin $1.50 Orange $1.55 Santa Ana $1.55 Santa Ana $1.55 Garden Grove $1.60 Santa Ana $1.60 Santa Ana $1.64 Orange $1.65 Tustin $1.65 Tustin $1.67 Tustin $1.67 Garden Grove $1.70 Garden Grove $1.75 Garden Grove $1.75 Garden Grove $1.75 Anaheim $1.80 Garden Grove $1.80 Orange $1.80 Orange $1.82 Fountain Valley $1.85 Orange $1.85 Orange $1.86 Santa Ana $1.87 Orange $1.90 Garden Grove $1.95 Santa Ana $1.95 Santa Ana $1.95 Santa Ana $1.95 Garden Grove $2.00 Garden Grove $2.00 Garden Grove $2.00 Orange $2.00 Orange $2.00 Santa Ana $2.00 Santa Ana $2.00 Santa Ana $2.00 55A-91 Commercial Properties for Lease: Retail Lease City Price Tustin $2.00 Tustin $2.00 Orange $2.10 Garden Grove $2.13 Orange $2.14 Tustin $2.15 Westminster $2.20 Orange $2.21 Garden Grove $2.25 Orange $2.25 Orange $2.25 Orange $2.25 Santa Ana $2.25 Santa Ana $2.25 Santa Ana $2.25 Santa Ana $2.25 Santa Ana $2.25 Santa Ana $2.25 Tustin $2.25 Tustin $2.25 Westminster $2.25 Garden Grove $2.35 Santa Ana $2.35 Santa Ana $2.40 Garden Grove $2.50 Orange $2.50 Santa Ana $2.50 Santa Ana $2.50 Tustin $2.50 Tustin $2.50 Tustin $2.75 Santa Ana $2.85 Tustin $2.95 Tustin $2.95 Tustin $2.95 Fountain Valley $3.00 Garden Grove $3.00 Santa Ana $3.00 Santa Ana $3.00 Santa Ana $3.00 Tustin $3.00 Westminster $3.00 Westminster $3.00 55A-92 Commercial Properties for Lease: Retail Lease City Price Santa Ana $3.15 Santa Ana $3.33 Anaheim $3.75 Orange $4.00 Orange $4.00 Westminster $4.00 Santa Ana $4.25 Irvine $4.58 Anaheim Negotiable Anaheim Negotiable Anaheim Negotiable Costa Mesa Negotiable Fountain Valley Negotiable Fountain Valley Negotiable Garden Grove Negotiable Garden Grove Negotiable Garden Grove Negotiable Garden Grove Negotiable Garden Grove Negotiable Garden Grove Negotiable Garden Grove Negotiable Garden Grove Negotiable Garden Grove Negotiable Irvine Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Orange Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable 55A-93 Commercial Properties for Lease: Retail Lease City Price Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Santa Ana Negotiable Tustin Negotiable Tustin Negotiable Tustin Negotiable Tustin Negotiable Tustin Negotiable Tustin Negotiable Tustin Negotiable Tustin Negotiable Tustin Negotiable 55A-94 City Price Santa Ana $520,000 Santa Ana $540,000 Anaheim $1,492,155 Costa Mesa $2,200,000 Anaheim $6,250,000 Irvine Not disclosed Santa Ana Not disclosed 55A-95 55A-96 Relocation Assistance Informational Statement For Business, Farm & Nonprofit' (Federal) Displacing Agency: City of Santa Ana Project Name: Bristol Street Improvement Project Phase III A between Civic Center Dr. and Washington Ave. Displacing Agency Representative: Overland, Pacific & Cutler, Inc. 1 Jenner, Suite 200 Irvine, CA 92618 Phone: 949.951.5263 Spanish speaking agents are available. Si necesita esta informaaion en espahol, por favor Name a su agente. ©1980.20,14 Overland, Pacific & Cutler, Inc. (Oct-14) Page 1 of 10 55A-97 Wormational Statement for Business, Farm & Non -Pr (Federal) Introduction The property on which you now conduct your business is in an area to be improved by, or financed through, the Displacing Agency using federal funds. If and when the project proceeds, and it is necessary for you to move your business, you may be eligible for certain benefits. You will be notified in a timely manner as to the date by which you must move. Please read this information, as it will be helpful to you in determining your eligibility and the amount of the relocation benefits you may receive under the law. You will need to provide adequate and timely information to determine your relocation benefits. The information is voluntary, but if you don't provide it, you may not receive the benefits or it may take longer to pay you. We suggest you save this informational statement for reference. The Displacing Agency has retained the professional firm of Overland, Pacific & Cutler, Inc. (OPQ to provide relocation assistance to you. The firm is available to explain the program and benefits. Their address and telephone number is listed on the cover. PLEASE DO NOT MOVE PREMATURELY. THIS IS NOT A NOTICE TO VACATE THE PROPERTY. However, if you desire to move sooner than required, you must contact your relocation agent at Overland, Pacific & Cutler, Inc., so you will not jeopardize any benefits. This is a general informational brochure only, and is not intended to give a detailed description of either the law or regulations pertaining to the Displacing Agency's relocation assistance program. Please continue to pay your rent to your current landlord, otherwise you may be evicted and jeopardize the relocation benefits to which you may be entitled to receive. Once the Displacing Agency acquires the property, you will also be required to pay rent to the Displacing Agency. Summary of Available Relocation Assistance: A. Advisory assistance to explain the relocation process, the related eligibility requirements, the procedures for obtaining reimbursement for moving expenses and referrals to suitable replacement locations B. Payment for your moving expenses. You may receive one of the following options Option 1: A Payment for Actual Reasonable Moving and Related Expenses; or Option 2: A Fixed Payment In Lieu of a Payment for Actual Moving and Related Expenses C. Other help to reestablish your business and minimize the impact of the move including help in preparing claim forms to request relocation payments. If you disagree with the Displacing Agency's decision as to your right to a relocation payment, or the amount of the payment, you may appeal that decision. ©1980.2914 Overland, Pacific & Cutler, Inc. (Oct-14) Page 2 of 18 55A-98 GENERAL RELOCATION QUESTIONS 1. How Will I Know I Am Eligible for Relocation Assistance? Ordinarily, eligibility begins on the date the owner of the property receives the Displacing Agency's initial written offer to purchase the property. Therefore, you should not move before that date or receiving a notice of eligibility. If you do, you may not be eligible for relocation assistance. 2. How Will the Displacing Agency Know How Much Help I Need? You will be contacted at an early date and personally interviewed by an agent of the Displacing Agency. The interviewer will want to get information about your current operation, as well as identify movable personal property and non -movable improvements, determine your needs and preferences for a replacement location, estimate the time required to vacate the premises and your need for advance payments. During the interview, you may want to discuss other issues relative to your move. It is to your advantage to provide as much information as possible so that the Displacing Agency, through its relocation agent, can assist you in moving with a minimum of hardship. The information you give will be kept in confidence. 3. How Soon Will I Have to Move? Every reasonable effort will be made to provide you with sufficient time to find a suitable replacement location and reestablish your business. If possible, a mutually agreeable date for the move will be worked out. Unless there is an urgent need for the property (e.g., your occupancy would present a health or safety emergency), you will not be required to move without at least 90 days advance written notice. It is important, however, that you keep in close contact with the Displacing Agency so that you are aware of the time schedule for carrying out the project and the approximate date by which you will have to move. 4. I Own the Property. Will I Be Paid for It Before I Have to Move? If you reach a voluntary agreement to sell your property to the Displacing Agency, you will not be required to move before you receive the agreed purchase price. If the property is acquired through an eminent domain proceeding, you cannot be required to move before the estimated fair market value of the property has been deposited with the court. (You should be able to withdraw this amount immediately, less any amounts necessary to pay off any mortgage or other liens on the property and to resolve any special ownership problems. Withdrawal of your share of the money will not affect your right to seek additional compensation for your property). S. Will I Have to Pay Rent to the Displacing Agency Before I Move? You may be required to pay a fair rent to the Displacing Agency for the period between the acquisition of your property and the date that you move. Your rent and the terms of your tenancy will be generally the same as in the prior arrangement. 9)1980-2014 Overland, Pacific & Cutler, Inc. (Oct-14) Page 3 of 10 55A-99 6. How Will I Find a Replacement Location? Your relocation agent will provide you with current and continuing information on available replacement locations that meet your needs. You will also be provided with the names of local real estate agents and brokers who can assist you in finding the type of replacement location you require. However, you are urged to take an active role in identifying, and relocating to, a location of your choice. No one knows your needs better than you do. You will want a facility that provides sufficient space for your planned activities. You will also want to ensure that there are no zoning or other requirements which will unduly restrict your planned operations. Your relocation agent will explain which kind of moving costs are eligible for reimbursement and which are not eligible. That will enable you to carry out your move in the most advantageous manner. 7. What Other Assistance Will Be Available to Help Me? In addition to help in finding a suitable replacement location, your relocation agent will help you secure the services of outside specialists, as necessary, to plan the move, as well as provide assistance during the actual move and in the reinstallation of machinery and/or other personal property. The range of services depends on the needs of the business being displaced. You should ask the Displacing Agency's relocation agent to tell you about the specific services that will be available to you. 8. I Have a Replacement Location and Want to Move. What Should I Do? Before you make any arrangements to move, notify the Displacing Agency's relocation agent, in writing, of your intention to move. This should be done at least 30 days before the date you begin your move. The Displacing Agency will discuss the move with you and advise you of the relocation payment(s) for which you may be eligible, the requirements to be met, and how to obtain a payment. 9. I Plan to Discontinue My Business Rather than Move. What Should I Do? If you have decided to discontinue your business rather than reestablish it, you may still be eligible to receive a payment. Contact the Displacing Agency's relocation agent and discuss your decision to discontinue your business. You will be informed of the payment, if any, for which you may be eligible, the requirements to be met, and how to obtain your payment. 10. What Kinds of Payments for Moving Expenses Will I Receive? Every business is eligible for a relocation payment to cover the reasonable cost of moving. Assuming you meet certain eligibility criteria, you may choose one of the following options: Option 1: A Payment for Actual Reasonable Moving and Related Expenses; or Option 2: A Fixed Payment In Lieu of Moving and Related Expenses These payment options are described below: ©1980-2014 Overland, Pacific & Cutler, Inc. (Oct-14) Page 4 of 10 55A-100 Option 1: Payment for Actual Reasonable Moving and Related Expenses If you choose a Payment for Actual Reasonable Moving and Related Expenses, you may claim the cost of: 1. Transportation of personal property. Transportation costs for a distance beyond 50 miles are not eligible, unless the Displacing Agency determines that relocation beyond 50 miles is justified. 2. Packing, crating, unpacking, and uncrating of the personal property. 3. Disconnecting, dismantling, removing, reassembling, and reinstalling relocated machinery, equipment, and other personal property, and certain substitute personal property. This includes connection to utilities available within the building. It also includes modifications to the personal property, including those mandated by Federal, State or local law, code or ordinance, necessary to adapt it to the replacement structure, the replacement site, or the utilities at the replacement site, and modifications necessary to adapt the utilities at the replacement site to the personal property. 4. Storage of the personal property determined to be necessary by the Displacing Agency, not to exceed 12 months, unless the Displacing Agency determines that a longer period is warranted. 5. Insurance for the replacement value of the personal property in connection with the move and necessary storage. 6. The replacement value of property lost, stolen or damaged in the process of moving (not through fault or negligence of the displaced person, his or her agent or employee), where insurance covering such loss, theft or damage is not reasonably available. 7. Any license, permit, fees or certification required of your business at the replacement location. However, the payment may be based on the remaining useful life of the existing license, permit, fees or certification. 8. Reasonable and preauthorized professional services, the Displacing Agency determines to be necessary for (i) planning the move of the personal property, (ii) moving the personal property, and (ill) installing the relocated personal property at the replacement location. 9. Re -lettering signs and replacing stationary on hand at the time of displacement that is made obsolete as a result of the move. 10. Actual direct loss of tangible personal property incurred as a result of moving or discontinuing your business. The payment will consist of the lesser of: (i) The fair market value in place of the item, as is for continued use at the displacement site, less the proceeds from its sale. (To be eligible for payment, you must make a good faith effort to sell the personal property, unless the Displacing Agency determines that such effort is not necessary. When payment for property loss is claimed for goods held for sale, the fair market value will be based on the cost of the goods to the business, not the potential selling price.); or (ii) The estimated cost of moving the item as is, but with no allowance for storage; or for reconnecting a piece of equipment if the equipment is in storage or not being used at the acquired site. (If you elect to discontinue your business, the estimated cost will be based on a moving distance of 50 miles.) ©1980-2014 Overland, Pacific & Cutler, Inc. (Oct-14) Page 5 of 10 55A-101 11. Purchase of substitute personal property. If an item of personal property which is used as part of your business is not moved but is promptly replaced with a substitute item that performs a comparable function at the replacement site, you will be entitled to payment for the lesser of: (i) The cost of the substitute item, including installation costs at the replacement site, minus any proceeds from the sale or trade-in of the replaced item; or (ii) The estimated cost of moving and reinstalling the replaced item but with no allowance for storage. At the Displacing Agency's discretion, the estimated cost for a low cost or uncomplicated move may be based on a single bid or estimate. 12. The reasonable cost incurred in attempting to sell an item that is not to be relocated. 13. Searching for a replacement location. Your business is entitled to reimbursement for actual expenses, not to exceed $2,500 as the Displacing Agency determines to be reasonable, which are incurred in searching for a replacement location including: i) Transportation ii) Meals and lodging away from home. iii) Time spent searching, based on reasonable salary or earnings. iv) Fees paid to a real estate agent or broker to locate a replacement site, exclusive of any fees or commissions related to the purchase of such site. v) Time spent in obtaining permits and attending zoning hearings; and vi) Time spent negotiating the purchase of a replacement site based on a reasonable salary or earnings. 14. When the personal property to be moved is of low value and high bulk, and the cost of moving the property would be disproportionate to its value in the judgment of the Displacing Agency, the allowable moving cost payment shall not exceed the lesser of; the amount which would be received if the property were sold at the site or the replacement cost of a comparable quantity delivered to the new business location. 15. Other related moving expenses as the Displacing Agency determines to be reasonable and necessary, including: Connection to available nearby utilities from the right-of-way to improvements at the replacement site; ii) Professional services performed prior to the purchase or lease of a replacement site to determine its suitability for your business operation, including but not limited to soil testing, feasibility and marketing studies (excluding any fees or commissions directly related to the purchase or lease of such site). At the Displacing Agency's discretion, a reasonable pre -approved hourly rate may be established ) Impact fees or one-time assessments for anticipated heavy utility usage, as determined by the Displacing Agency. The Displacing Agency's relocation agent will explain all eligible moving costs, as well as, those which are not eligible. You must be able to account for all costs that you incur, so keep all your receipts. The Displacing Agency will inform you of the documentation needed to support your claim. You may minimize the amount of documentation needed to support your claim, if you elect to "self -move" your property. Payment for a self -move is based on the amount of an acceptable low bid or estimate obtained by the © 1980-2014 Overland, Pacific & Cutler, Inc. (Oct-14) Page 6 of 10 55A-102 Displacing Agency. If you self -move, you may move your personal property using your own employees and equipment or a commercial mover. If you and the Displacing Agency cannot agree on an acceptable amount to cover the cost of the self -move, you will have to submit full documentation in support of your claim. You may elect to pay your moving costs yourself and be reimbursed by the Displacing Agency or, if you prefer, you may have the Displacing Agency pay the mover directly. In either case, let the Displacing Agency's relocation agent know before you move. The Displacing Agency agent can help you select a reliable and reputable mover. When a payment for "actual direct loss of personal property" or "substitute personal property" is made for an item, the estimated cost of moving the item may be based on the lowest acceptable bid or estimate obtained by the Displacing Agency. If not sold or traded -in, the item must remain at the old location and ownership of the item must be transferred to the Displacing Agency before you may receive the payment. In addition to the reimbursable expenses described above, a small business, farm or non-profit organization may be eligible to receive a payment of up to $25,000 for expenses actually incurred in relocating and reestablishing its operation at a replacement site. Eligible expenses must be reasonable and necessary, as determined by the Displacing Agency. They may include but are not limited to the following: 1. Repairs or improvements to the replacement real property as required by federal, state or local law, code or ordinance. 2. Modifications to the replacement property to accommodate the business operation or make replacement structures suitable for conducting the business. 3. Construction and Installation costs for exterior signage to advertise the business. 4. Redecoration or replacement of soiled or worn surfaces at the replacement site, such as paint, paneling or carpeting. 5. Advertising of replacement location. 6. Estimated increased costs of operation during the first 2 years at the replacement site, for such items as: a. Lease or rental charges b. Personal or real property taxes c. Insurance premiums, and d. Utility charges (excluding Impact fees) 7. Other items that the Displacing Agency considers essential to the reestablishment of the business. The following is a non-exclusive listing of reestablishment expenditures not considered to be reasonable, necessary or otherwise eligible: • Purchase of capital assets, such as, office furniture, filing cabinets, and machinery or trade fixtures. • Purchase of manufacturing materials, production supplies, product inventory, or other items used in the normal course of the business operation. • Interest costs associated with any relocation expense or the purchase of replacement property. • Payment to a part-time business in the home which does not contribute materially to the household income. ©1980.2014 Overland, Pacific & Cutler, Inc. (Oct-14) Page 7 of 10 55A-103 Option 2: Fixed Payment In Lieu of a Payment for Actual Reasonable Moving and Related Expenses A displaced business, non-profit organization or farm may be eligible to choose a fixed payment in lieu of the payments for actual moving and related expenses and actual reasonable reestablishment expenses. The payment may not be less than $1,000.00 or more than $40,000.00. For a business or farm, the payment is based on the average annual net earnings before Federal, State and local income taxes during the 2 taxable years immediately prior to the taxable year in which it was displaced. For a non-profit organization, the payment is based on the average of 2 years annual gross revenues less administrative expenses. In order to qualify for this payment, the Displacing Agency must determine that: 1. The business owns or rents personal property which must be moved in connection with the displacement and for which an expense would be incurred in such move, and the business vacates or relocates from its displacement site. 2. The business cannot be relocated without a substantial loss of existing patronage (clientele or net earnings). 3. The business is not a part of a commercial enterprise having more than three other entities which are not being acquired by the Displacing Agency, and which are engaged in the same or similar business activities. 4. The business is not operated at the displacement dwelling/site solely for the purpose of renting such dwelling/site to others. 5. The business contributed materially to the income of the displaced person during the two (2) taxable years prior to displacement. If the business or farm was not in operation for the full two years prior to displacement, the net earnings are based on the actual period of operation at the acquired site projected to an annual rate. Average net earnings may be based on a different period of time when the Displacing Agency determines it to be more equitable. Net earnings include any compensation paid to the owners of the business, a spouse or dependents. Proof of net earnings must be furnished to the Displacing Agency through income tax returns, certified financial statements, or other reasonable evidence which the Displacing Agency determines is satisfactory. For a qualified non-profit organization, gross earnings may include membership fees, class fees, cash donations, tithes and receipts from sales or other forms of fund collection that enables the non-profit organization to operate. Administrative expenses are those for administrative support such as rent, utilities, salaries, advertising and other like items as well as fund raising expenses. Operating expenses for carrying out the purposes of the non-profit organization are not included in administrative expenses. The monetary receipts and expense amounts may be verified with certified financial statements or financial documents required by public agencies. The Displacing Agency will inform you as to your eligibility for this payment option and the documentation you must submit to support your claim. Remember, when you elect to take this payment option you are not entitled to reimbursement for any other moving expenses i.e. Option A described above. ©1980-2014 Overland, Pacific & Cutler, Inc. (Oct-14) Page S of 10 55A-104 11. I Own an Outdoor Advertising Display. What Relocation Payment Will I Receive? As the owner of an outdoor advertising display, you are eligible for a Relocation Payment For Actual Reasonable Moving and Related Expenses. You are not eligible to receive a Payment In Lieu of a Payment For Actual Reasonable Moving and Related Expenses. If you choose not to relocate or replace the sign, the payment for "direct loss of personal property" would be the lesser of: (1) the depreciated reproduction cost of the sign, as estimated by the Displacing Agency, less the proceeds from its sale, or (2) the estimated cost of moving the sign without temporary storage. The Displacing Agency will inform you as to the exact costs that may be reimbursed. 12. How do I Receive a Relocation Payment? You must file a claim for a relocation payment. The Displacing Agency's relocation agent will provide you with the required claim forms, assist you in completing them, and explain the type of documentation that you must submit in order to receive your relocation payments. If you must pay any relocation expenses before you move (e.g., because you must provide a security deposit if you lease your new location), discuss your financial needs with the Displacing Agency. You may be able to obtain an advance payment. An advance payment may be placed in "escrow" to ensure that the move will be completed on a timely basis. If you are a tenant, you must file your claim within 18 months after the date you move. If you own the property, you must file within 18 months after the date you move, or the date you receive the final acquisition payment, whichever is later. However, it is to your advantage to file as soon as possible after you move. The sooner you submit your claim, the sooner it can be processed and paid. If you are unable to file your claim within 18 months, the Displacing Agency may extend this period. You will be paid promptly after you file an acceptable claim. If there is any question regarding your right to a relocation payment or the amount of the payment, you will be notified, in writing, of the problem and the action you may take to resolve the matter. 13. Non -Discrimination No person shall on the grounds of race, color, national origin or sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under the Displacing Agency's relocation assistance program pursuant to Title VI of the Civil Rights Act of 1964, Title VIII of the Civil Rights Act of 1968, and other applicable state and federal anti -discrimination laws. You may file a complaint if you believe you have been subjected to discrimination. For details contact the Displacing Agency. 14. Appeals Any person aggrieved by a determination as to eligibility for, or the amount of, a payment authorized by the Displacing Agency's Relocation Assistance Program may have the appeal application reviewed by the Displacing Agency in accordance with its appeals procedure. Complete details on appeal procedures are available upon request from the Displacing Agency. ©1980.2014 Overland, Pacific & Cutler, Inc. (Oct-14) Page 9 of 10 55A-105 15. Tax Status of Relocation Benefits California Government Code Section 7269 indicates no relocation payment received shall be considered as income for the purposes of the Personal Income Tax Law, Part 10 (commencing with Section 170 01) of Division 2 of the Revenue and Taxation Code, or the Bank and Corporation Tax law, Part 11 (commencing with Section 23001) of Division 2 of the Revenue and Taxation Code. Furthermore, federal regulations (49 CFR Part 24, Section 24.209) also indicate that no payment received under this part (Part 24) shall be considered as income for the purpose of the Internal Revenue Code of 1954, which has been redesignated as the Internal Revenue Code of 1986. The preceding statement is not tendered as legal advice in regard to tax consequences, and displacees should consult with their own tax advisor or legal counsel to determine the current status of such payments. (IRS Circular 230 disclosure: To ensure compliance with requirements imposed by the IRS, we inform you that any tax advice contained in this communication (including any attachments) was not intended or written to be used, and cannot be used, for the purpose of (i) avoiding tax -related penalties under the Internal Revenue Code or (ii) promoting marketing or recommending to another party any matters addressed herein) 16. Lawful Presence Requirement Pursuant to the Public Law 105-117, in order to be eligible to receive non-residential relocation benefits in federally -funded projects, in the case of an unincorporated business, each owner must be either a citizen or national of the United States, or an alien who is lawfully present in the United States. The owner of a sole proprietorship and all owners of a partnership must provide information regarding their lawful presence in the United States, and a for -profit or a non-profit corporation must certify that it is authorized to conduct business within the United States. Owners of sole proprietorships or partnerships, who are not lawfully present in the United States, or who decline to provide this information, are not eligible for relocation assistance, unless such ineligibility would result in an exceptional and extremely unusual hardship to the alien's spouse, parent, or child, any of whom is a citizen or an alien admitted for permanent residence. Exceptional and extremely unusual hardship is defined as significant and demonstrable adverse impact on the health or safety, continued existence of the family unit, and any other impact determined by the Displacing Agency to negatively affect the alien's spouse, parent or child. Relocation benefits will be prorated to reflect the number of owners with certified lawful presence in the United States. 17. Additional Information If you have further questions after reading this brochure, please contact the Displacing Agency's relocation agent at Overland, Pacific & Cutler, Inc. ©1980.2014 Overland, Pacific & Cutler, Inc. (Oct-14) Page 10 of 10 55A-106 Exhibit G: 55A-107 Relocation Assistance Informational Statement for Families and Individuals (Federal) Displacing Agency: City of Santa Ana Project Name: Bristol Street Improvement Project Phase III A between Civic Center Dr. and Washington Ave. Displacing Agency Representative: overland, Pacific & Cutler, Inc. 1 Jenner, Suite 200 Irvine, CA 92618 Phone: 949.951.5263 Informational Statement Content: 1. General Information 2. Assistance In Locating A Replacement Dwelling 3. Moving Benefits 4. Replacement Housing Payment - Tenants And Certain Others 5. Section 8 Tenants 6. Replacement Housing Payment — Homeowners 7. Qualification For And Filing Of Relocation Claims 8. Last Resort Housing Assistance 9. Rental Agreement 10. Evictions 11. Appeal Procedures — Grievance 12. Tax Status of Relocation Benefits 13. Legal Presence Requirement 14. Non -Discrimination and Fair Housing 15. Additional Information And Assistance Available 01980-2015 Overland, Pacific 8. Cutler, Inc. (Aug-15) Page 1 of 6 55A-108 Spanish speaking agents are available. Si neeesita esta informacidn.en espahol, por favor (lame a su agente. Informational Statement for Families and Individuals (Federal) 1. GENERAL INFORMATION The dwelling in which you now live is in a project area to be improved by, or financed through, the Displacing Agency using federal funds. If and when the project proceeds, and it is necessary for you to move from your dwelling, you may be eligible for certain benefits. You will be notified in a timely manner as to the date by which you must move. Please read this information, as it will be helpful to you in determining your eligibility and the amount of the relocation benefits you may receive under the federal law. You will need to provide adequate and timely information to determine your relocation benefits. The information is voluntary, but if you don't provide it, you may not receive the benefits or it may take longer to pay you. We suggest you save this informational statement for reference. The Displacing Agency has retained the professional firm of Overland, Pacific & Cutler, Inc. (OPQ to provide relocation assistance to you. The firm is available to explain the program and benefits. Their address and telephone number is listed on the cover. PLEASE DO NOT MOVE PREMATURELY. THIS IS NOT A NOTICE TO VACATE YOUR DWELLING. However, if you desire to move sooner than required, you must contact your representative with Overland, Pacific & Cutler, Inc., so you will not jeopardize any benefits. This is a general informational brochure only, and is not intended to give a detailed description of either the law or regulations pertaining to the Displacing Agency's relocation assistance program. Please continue to pay your rent to your current landlord, otherwise you may be evicted and jeopardize the relocation benefits to which you may be entitled to receive. Once the Displacing Agency acquires the property, you will also be required to pay rent to the Displacing Agency. 2. ASSISTANCE IN LOCATING A REPLACEMENT DWELLING The Displacing Agency, through its representatives, will assist you in locating a comparable replacement dwelling by providing referrals to appropriate and available housing units. You are encouraged to actively seek such housing yourself. When a suitable replacement dwelling unit has been found, your relocation agent will carry out an inspection and advise you as to whether the dwelling unit meets decent, safe and sanitary housing requirements. A decent, safe and sanitary housing unit provides adequate space for its occupants, proper weatherproofing and sound heating, electrical and plumbing systems. Your new dwelling must pass inspection before relocation assistance payments can be authorized. 3. MOVING BENEFITS If you must move as a result of displacement by the Displacing Agency, you will receive a payment to assist in moving your personal property. The actual, reasonable and necessary expenses for moving your household belongings may be determined based on the following methods: ©1980.2015 Overland, Pacific & Cutler, Inc. (Aug-15) Page 2 of B 55A-109 • A Fixed Moving Payment based on the number of rooms you occupy (see below); or • A payment for your Actual Reasonable Moving and Related Expenses based on at least two written estimates and receipted bills; or • A combination of both (in some cases). For example, you may choose a Self -Move, receiving a payment based on the Fixed Residential Moving Cost Schedule shown below, plus contract with a professional mover to transport your grand piano and /or other items that require special handling. In this case, there may be an adjustment in the number of rooms which qualify under the Fixed Residential Moving Cost Schedule. A. Fixed Moving Payment (Self -Move) A Fixed Moving Payment is based upon the number of rooms you occupy and whether or not you own your own furniture. The payment is based upon a schedule approved by the Displacing Agency, and ranges, for example, from $725.00 for one furnished room to $2,505.00 for eight rooms. (For details see the table). Your relocation agent will inform you of the amount you are eligible to receive, if you choose this type of payment. If you select a fixed payment, you will be responsible for arranging for your own move, and the Displacing Agency will assume no liability for any loss or damage of your personal property. A fixed payment also includes utility hook-ups and other related moving fees. Fixed Moving Schedule CALIFORNIA Effective 2015 Occupant Owns Furniture: 1 room $725 2 rooms $930 3 rooms $1,165 4 rooms $1,375 5 rooms $1,665 6 rooms $1,925 7 rooms $2,215 8 rooms $2,505 Each additional room $265 Occupant does NOT Own Furniture: 1 room $475 Each additional room 90 B. Actual Moving Expense (Commercial Move) If you wish to engage the services of a licensed commercial mover and have the Displacing Agency pay the bill, you may claim the ACTUAL cost of moving your personal property up to 50 miles. Your relocation agent will inform you of the number of competitive moving bids (if any) which may be required, and assist you in developing a "mover" scope of services for Displacing Agency approval. 4 REPLACEMENT HOUSING PAYMENT— TENANTS AND CERTAIN OTHERS You may be eligible for a payment up to $7,200.00 to assist in renting or purchasing a comparable replacement dwelling. In order to qualify, you must either be a tenant or owner who has occupied the present dwelling for at least 90 days immediately prior to the initiation of negotiations. A. Rental Assistance. If you wish to rent your replacement dwelling, your maximum rental assistance benefits will be based upon the difference over a forty-two (42) month period between the rent you must pay for a comparable replacement dwelling and the lesser of your current rent or thirty percent (30%) of your monthly household income if your total gross income is classified as "low income" by the U. S. Department of Housing and Urban Development's (HUD) Annual Survey of Income Limits for Public Housing and Section 8 Programs. You will be required to provide your relocation agent with monthly rent and household income verification prior to the determination of your eligibility for this payment. © 1980-2015 Overland, Pacific & Cutler, inc. (Aug-15) Page 8 of 8 55A-110 B. Down -payment Assistance. If you qualify, and wish to purchase a home as a replacement dwelling, you can apply up to the total amount of your rental assistance payment towards the down -payment and non -recurring incidental expenses. Your relocation agent will clarify procedures necessary to apply for this payment. 5. SECTION 8 TENANTS When you do move, you may be eligible to transfer your Section 8 eligibility to a replacement site. In such cases, a comparable replacement dwelling will be determined based on your family composition at the time of displacement and the current housing program criteria. This may not be the size of the unit you currently occupy. Your relocation agent will provide counseling and other advisory services along with moving benefits. 6. REPLACEMENT HOUSING PAYMENT - HOMEOWNERS A. If you own and occupy a dwelling to be purchased by the Displacing Agency for at least 90 days prior to the initiation of negotiation, you may be eligible to receive a payment of up to $31,000.00 to assist you in purchasing a comparable replacement unit. This payment is intended to cover the following items: 1. Purchase Price Differential - An amount which, when added to the amount for which the Displacing Agency purchased your property, equals the lesser of the actual cost of your replacement dwelling; or the amount determined by the Displacing Agency as necessary to purchase a comparable replacement dwelling. Your relocation agent will explain both methods to you. 2. Mortgage Interest Differential - The amount which covers the increased interest costs, if any, required to finance a replacement dwelling. Your relocation agent will explain limiting conditions. 3. Incidental Expenses - Those one time incidental costs related to purchasing a replacement unit, such as escrow fees, recording fees, and credit report fees. Recurring expenses such as prepaid taxes and insurance premiums are not compensable. B. Rental Assistance Option - If you are an owner -occupant and choose to rent rather than purchase a replacement dwelling, you may be eligible for a rental assistance payment of up to the amount that you could have received under the Purchase Price Differential, explained above. The payment will be based on the difference between the fair market rent of the dwelling you occupy and the rent you must pay for a comparable replacement dwelling. If you receive a rental assistance payment, as described above, and later decide to purchase a replacement dwelling, you may apply for a payment equal to the amount you would have received if you had initially purchased a comparable replacement dwelling, less the amount you have already received as a rental assistance payment. 7. QUALIFICATION FOR, AND FILING OF, RELOCATION CLAIMS To qualify for a Replacement Housing Payment, you must rent or purchase and occupy a comparable replacement unit within one year from the following: © 1980-2015 Overland, Pacific & Cutler, Inc. (Aug-15) Page 4 of 6 55A-111 For a tenant, the date you move from the displacement dwelling. For an owner -occupant, the latter of: a. The date you receive final payment for the displacement dwelling, or, in the case of condemnation, the date the full amount of estimated just compensation is deposited in court; or b. The date the Displacing Agency fulfills its obligation to make available comparable replacement dwellings. All claims for relocation benefits must be filed with the Displacing Agency within eighteen (18) months from the date on which you receive final payment for your property, or the date, on which you move, whichever is later. 8. LAST RESORT HOUSING ASSISTANCE If comparable replacement dwellings are not available when you are required to move, or if replacement housing is not available within the monetary limits described above, the Displacing Agency will provide Last Resort Housing assistance to enable you to rent or purchase a replacement dwelling on a timely basis. Last Resort Housing assistance is based on the individual circumstances of the displaced person. Your relocation agent will explain the process for determining whether or not you qualify for Last Resort assistance. If you are a tenant, and you choose to purchase rather than rent a comparable replacement dwelling, the entire amount of your rental assistance and Last Resort eligibility must be applied toward the down -payment and eligible incidental expenses of the home you intend to purchase. 9. RENTAL AGREEMENT As a result of the Displacing Agency's action to purchase the property where you live, you may become a tenant of the Displacing Agency. If this occurs, you will be asked to sign a rental agreement which will specify the monthly rent to be paid, when rent payments are due, where they are to be paid and other pertinent information. 10. EVICTIONS Eviction for cause must conform to applicable State and local law. Any person who occupies the real property and is not in unlawful occupancy on the date of initiation of negotiations, is presumed to be entitled to relocation benefits, unless the Displacing Agency determines that: • The person received an eviction notice prior to the initiation of negotiations and, as a result, was later evicted; or • The person is evicted after the initiation of negotiations for serious or repeated violation of material terms of the lease; and • The eviction was not undertaken for the purpose of evading relocation assistance regulations. Except for the causes of eviction set forth above, no person lawfully occupying property to be purchased by the Displacing Agency will be required to move without having been provided with at least 90 days written notice from the Displacing Agency. 11. APPEAL PROCEDURES - GRIEVANCE Any person aggrieved by a determination as to eligibility for, or the amount of, a payment authorized by the Displacing Agency's Relocation Assistance Program may have the appeal application reviewed © 1989-2615 Overland, Pacific & Cutler, Ino. (Aug-15) Page 5 of 6 55A-112 by the Displacing Agency in accordance with its appeals procedure. Complete details on appeal procedures are available upon request from the Displacing Agency. 12. TAX STATUS OF RELOCATION BENEFITS California Government Code Section 7269 indicates no relocation payment received shall be considered as income for the purposes of the Personal Income Tax Law, Part 10 (commencing with Section 170 01) of Division 2 of the Revenue and Taxation Code, or the Bank and Corporation Tax law, Part 11 (commencing with Section 23001) of Division 2 of the Revenue and Taxation Code. Furthermore, federal regulations (49 CFR Part 24, Section 24.209) also indicate that no payment received under this part (Part 24) shall be considered as income for the purpose of the Internal Revenue Code of 1954, which has been redesignated as the Internal Revenue Code of 1986. The preceding statement is not tendered as legal advice in regard to tax consequences, and displacees should consult with their own tax advisor or legal counsel to determine the current status of such payments. (IRS Circular 230 disclosure: To ensure compliance with requirements imposed by the IRS, we inform you that any tax advice contained in this communication (including any attachments) was not intended or written to be used, and cannot be used, for the purpose of (i) avoiding tax -related penalties under the Internal Revenue Code or (ii) promoting marketing or recommending to another party any matters addressed herein) 13. LAWFUL PRESENCE REQUIREMENT In order to be eligible to receive relocation benefits in federally -funded relocation projects, all members of the household to be displaced must provide information regarding their lawful presence in the United States. Any member of the household who is not lawfully present in the United States or declines to provide this information may be denied relocation benefits, unless such ineligibility would result in an exceptional and extremely unusual hardship to the alien's spouse, parent, or child, any of whom is a citizen or an alien admitted for permanent residence. Exceptional and extremely unusual hardship is defined as significant and demonstrable adverse impact on the health or safety, continued existence of the family unit, and any other impact determined by the Displacing Agency to negatively affect the alien's spouse, parent or child. Relocation benefits will be prorated to reflect the number of household members with certified lawful presence in the US. 14, NON-DISCRIMINATION AND FAIR HOUSING No person shall on the grounds of race, color, national origin or sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under the Displacing Agency's relocation assistance program pursuant to Title VI of the Civil Rights Act of 1964, Title VIII of the Civil Rights Act of 1968, and other applicable state and federal anti -discrimination and fair housing laws. You may file a complaint if you believe you have been subjected to discrimination. For details contact the Displacing Agency. 15. ADDITIONAL INFORMATION AND ASSISTANCE AVAILABLE Those responsible for providing you with relocation assistance hope to assist you in every way possible to minimize the hardships involved in relocating to a new home. Your cooperation will be helpful and greatly appreciated. If you have any questions at any time during the process, please do not hesitate to contact your relocation agent at Overland, Pacific & Cutler. O 1080-2015 Overland, Pacific & Cutler, Inc. (Aug-15) Page 6 of 6 55A-113 Public Comments r Response 55A-114 55A-116 5/3/1e jxs RESOLUTION NO. 2016- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE RELOCATION PLAN FOR PHASE 3A IMPROVEMENTS OF THE BRISTOL STREET IMPROVEMENTS PROJECT BETWEEN CIVIC CENTER DRIVE AND WASHINGTON AVENUE 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 ("Council') hereby finds, determines and declares as follows A. Bristol Street is a major north -south transportation facility, which is designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane, continues to be a long-term priority project, constructed in several phases. B. On March 6, 2006, the City Council approved a cooperative agreement between the City and the Orange County Transportation Authority for widening of Bristol Street between Warner Avenue and Seventeenth Street. C. The March 6, 2006 agreement committed OCTA to contribute funding for various phases of the Bristol Street widening project. D. The Public Works Agency is acquiring property for development of Phase 3A, bounded by Civic Center Drive and Washington Avenue, and expects to complete the right-of-way acquisition process by June 2017. Construction is anticipated to begin in late 2017. E. Pursuant to California Government Code section 7260, et seq., a public entity is required to adopt a relocation plan, by resolution, whenever it enters into an agreement for acquisition of real property or an agreement for the disposition and development of property which would lead to displacement of people from their homes. F. Section 6002 and 6038 of the California Code of Regulations, Title 25, Chapter 6, et seq., requires the adoption of a Relocation Plan due to the displacement of residential and business occupants. G. The relocation plan has been prepared in conformance with applicable provisions of the California Government Code section 7260, et seq., and the Relocation Guidelines, California Code of Resolution No. 2016- 55A-117 5/3116 jxs Regulations, Title 25, Chapter 6 and has been made available for Public review since April 01, 2016. Each potential displaced occupant was given written notification regarding the Plan's availability and an opportunity to submit questions or comments. H. The primary purpose of the Relocation Plan is to outline the requirements for moving and re-establishing the displaced residential and business occupants, and to demonstrate the level of advisory and financial assistance that will be provided. Based on occupant interviews, needs analyses, and searches for appropriate replacement sites, the Agency estimates relocation costs to be approximately $3,114,470. Section 2: The City Council hereby approves the Relocation Plan for the acquisition activities for Phase 3A of the Bristol Street widening plan between Civic Center Drive and Washington Avenue. Section 3: In accordance with the California Environmental Quality Act, the proposed project has been determined to be adequately evaluated in the previously prepared FEIR (FEES/EIR No. 89-01) approved by City Council in 1990. Due to several minor design modifications related to Phase 3A, an Addendum to the FEIS/EIR was prepared and adopted according to the California Environmental Quality Act by City Council on April 7, 2015. Section 4: This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 3rd day of May, 2016, Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By. se Sando al, Chief Assistant City Attorney Resolution No. 2416- 55A-118 5/3/16Ixs AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers; CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2016-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on May 3, 2016. Date: Maria D, Huizar, Clerk of the Council 55A-119 Resolution No. 2016- 55A-120 CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: RESOLUTION APPROVING RELOCATION PLAN FOR BRISTOL STREET PHASE 4 IMPROVEMENTS BETWEEN WARNER AVENUE AND SAINT ANDREW PLACE (PROJECT NO. 116741) (NON -GENERAL FUND) (STRATEGIC PLAN NO. 6, 1G & 3, 2C) l CITY MANAGIfIR RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 13' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Adopt a resolution approving the Relocation Plan for Bristol Street Phase 4 Improvements between Warner Avenue and Saint Andrew Place, DISCUSSION Bristol Street is a north -south transportation facility, which is designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane is a long-term priority project that will be constructed in several phases. Improvements include widening the street from two to three lanes in each direction, constructing raised landscape medians, and installing bike lanes. The Public Works Agency is acquiring property for development of Phase 4, bounded by Warner Avenue and Saint Andrew Place (Exhibit 1). The right-of-way acquisition is expected to be completed by spring 2017, with construction scheduled to begin in summer 2017. Pursuant to California Government Code, a public entity is required to adopt a relocation plan by resolution whenever it enters into an agreement for acquisition of real property or an agreement for the disposition and development of property which would lead to displacement of people from their homes. In conformance with this provision, the City prepared a Bristol Street Phase IIIA Relocation Plan (Relocation Plan) to outline the requirements for moving and reestablishing displaced residential and business occupants, and to demonstrate the level of advisory and financial assistance that will be provided (Exhibit 2). Based on occupant interviews, needs analyses, and searches for appropriate replacement sites, the total estimated relocation cost is approximately $4,365,384. The resolution adopting the Relocation Plan requires Council approval before the property acquisitions can proceed. 55B-1 Relocation Plan for Bristol Street Phase 4 Between Warner and St. Andrew May 3, 2016 Page 2 The Draft Relocation Plan was made available for public review for 30 days beginning March 31, 2016, at the Main City Library, the City Clerk's Office, the Public Works Agency public counter, Memorial Recreation Center, and on the City's website. Each potential displaced occupant and affected property owner was given an advisory notice regarding the availability of the Relocation Plan and the opportunity to submit questions and comments by April 30, 2016. All comments/questions and responses have been incorporated into the Relocation Plan that is presented here for Council approval. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the proposed improvement as the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications related to Phase 4, an Addendum to the FEIS/EIR was prepared and adopted according to the California Environmental Quality Act by City Council on April 7, 2015. FISCAL IMPACT Funding for the estimated cost of $4,365,384 is available in the Bristol Street Improvements Project (No. 116741): $2,182,692 in the Select Street Construction Fund (Account No. 05917661-66220) and $2,182,692 in the Measure M2 Street Construction Fund (Account No. 03217663-66220). 55B-2 Relocation Plan for Bristol Street Phase 4 Between Warner and St. Andrew May 3, 2016 Page 3 Preliminary estimates of fiscal year expenditures for this project are as follows and are subject to change: Account No. Fiscal Year Amount 05917661-66220 2015-2016 $375,000.00 03217663-66220 2015-2016 $375,000.00 05917661-66220 2016-2017 $1,807,692.00 03217663-66220 2016-2017 $1,807,692.00 TOTAL $4,365,384.00 Public Works Agency FM/EWG/ML Exhibits: 1. Location Map 2. Relocation Plan 3. Resolution APPROVED AS TO FUNDS AND ACCOUNTS: r Francisco Gutierrez — Executive Director Finance & Management Services Agency 55B-3 55B-4 1 (NTS) MATCHLINE SEE BELOW RIGHT --� 1408-33a-17 f � �I I I---�----T--�----T-m�� q-r---r--�--- 0 ST GERTRUDE r =. -r-- -a ST ANDREW 14aea71-o1, 01-- T-:- -T..7..7---I- .. �I 1 I I I --I-"--1---1—� .L..L..L.. L. I I_- CARLTON PL , ---f— pl 409-471-17 n; I :015d94-23 o1s-194-z4, GLENWr--1 OOD PL 0 -- - 015-084.25 I I ---0 016-194J6 ' � , — — 1 — — I E S 15-194-28i \ LcS 408471-05 �{---'-� CAMEN PL I r----_-- ;075-794-36; ' � — 40e-471 os r' r r T— o WARNER AVENUE ST ANNE PL -7--- r� LEGEND: MATCHLINE -1U6 B r p -1-TI SEE TOP LEFT EXHIBIT 1 SANTA ANA RESOLUTION APPROVING RELOCATION PLAN CITY COUNCIL FOR BRISTOL STREET PWA AGENDA DATE: IMPROVEMENTS (PROJECT NO.116741 PUBLIC WORKS AGENCY MAY, 03, 2016 NONGENERAL FUND) (Strategic Plan No. 6, 1, G; and 3, 2, C) PAGE 1 OF 1 55B-5 55B-6 MAYOR Miguel A. Pulido MAYOR PRO TEM Vicente Sarmiento COUNCILMEMBERS Angelica Amezcua P. David Benavides Michele Martinez Roman Rayne Sal Tinajero March 31, 2016 CITY OF SANTA ANA 20 Civic Center Plaza M-36 s P.O. Box 1988 M-36 Santa Ana, California 92702 (714) 647-5013 w aanta-ana.oro ADVISORY NOTICE CITY MANAGER David Cavazos CITY ATTORNF_Y Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Huizar The City of Santa Ana is notifying you that the draft Relocation Plan for the Bristol Street Improvement Project - Warner Avenue to Saint Andrew Place (Phase IV) has been completed. The Plan will be available for a period of thirty (30) days for public review and comment beginning Thursday March 31, 2016. All written comments regarding the Plan should be submitted no later than 5:00 p.m., Saturday, April 30, 2016. The Relocation Plan is available for your review at the following locations: City of Santa Ana 20 Civic Center Plaza City Hall, 8" Floor Santa Ana, CA 92701 Mon-Thurs (8am - 5pm) Alternate Fridays(8am-4pm) City of Santa Ana 20 Civic Center Plaza Ross Annex, 1 at Floor Santa Ana, CA 92701 Mon-Thurs (8am - 5pm) Alternate Fridays(8am-4pm) City of Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 Mon-Thurs (10am - 9pm) Fri -Sat (10am - 6pm) The draft Relocation Plan will also be posted at the following link: www.santa-ana.orgpwa/bristolstreetwideLiinaprrgj,p .asp. City of Santa Ana Memorial Center 2102 S Flower St Santa Ana, CA 92707 Mon-Thurs (8am - 9pm) Fri (10am - 6pm) Sat (8:30am - 12:30pm) If you have any comments regarding the draft Relocation Plan or the proposed project, submit your written comments by Saturday April 30, 2016 to: Mr. Ron Wicks Epic Land Solutions, Inc. 2601 Airport Drive, Suite 130 Torrance, CA 90505 De- du'ac oiu"p d& bano Wnq Viet xin vui long aoi EPIC Land Solutions (310) 626-4848 Exhibit 2 SANTA ARIA CITY COUNCIL Miguel A. Pulido Vicente Sarmiento Michele Martinez Angelica Amezcua i PDowd Benavides Roman Rayne Sal Tinajero Mayor Mayor Pro T., Waal 1 Ward Went WeM4 Wards WartlS MPulidoelsantaana.oro i VSarmientoaanm-ana.o a"inez(santana.og Azuasanana.o 13.aAde,0anIanorq iRRoyn.@,m ngemTLm.ara oo 55B-7 MAYOR Miguel A. Pulido MAYOR PRO TEM Vicente Sarmiento COUNCILMEMBERS Angelica Amezcua P. David Benavides Michele Martinez Roman Rayne Sal Tinajero 20 Civic Center Plaza M-36 a P.O. Box 1988 M-36 Santa Ana, California 92702 1714)647-5013 www.santa-ana.oro NOTA DE AVISO 31 de marzo de 2016 CITY MANAGER David Cavazos CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Huizar La Cuidad de Santa Ana le esta notificando que el plan preliminar de reubicaci6n del Proyecto de Mejoramiento de la calle Bristol entre la Avenida Warner y Saint Andrew Place (Fase IV), ha sido completado. El Plan estara disponible para la opinion publica y comentarios a partir del jueves 31 de marzo, 2016 y estara disponible por 30 dias. Todos los comentarios sobre este plan deben ser presentados por escrito a mas tardar el sabado, 30 de abril del 2016, a las 5:00 PM. El plan preliminar de reubicaci6n esta disponible pare su revision en IDS siguientes sitios City of Santa Ana City of Santa Ana City of Santa Ana City of Santa Ana 20 Civic Center Plaza 20 Civic Center Plaza Public Library Memorial Center City Hall, 8" Floor Ross Annex, 15' Floor 26 Civic Center Plaza 2102 S Flower St Santa Ana, CA 92701 Santa Ana, CA 92701 Santa Ana, CA 92701 Santa Ana, CA 92707 Mon-Thurs (Sam - 5pm) Mon-Thurs (8am - 5pm) Mon-Thurs (10am - 9pm) Mon-Thurs (Sam - 9pm) Alternate Fridays(8am-4 pm) Alternate Fridays(8am-4pm) Fri -Sat (1 Oam - 6 pm) Fri (10am - 6pm) Sat (8:30 am - 12:30 pm) El plan reubicacion preliminar estara tambi6n publicado an la siguiente conexi6n: www.santa- ana.org/pwa/bristoistreetwidenbapLg[pct4.asp Comentarios sobre el plan preliminar de reubicaci6n o el proyecto publicado seran aceptados hasta el sabado, 30 de abril del 2016. Los comentarios pueden ser enviados a: Mr. Ron Wicks Epic Land Solutions, Inc. 2601 Airport Drive, Suite 130 Torrance, CA 90505 Ed dutoc giup 0 bang ti6ng Viet xin vui 16nggoi EPIC Land Solutions (310) 626-4848 SANTA ANA CITY COUNCIL Miguel A. Puloo i Vicente Sermiento i Michele Monte z i Angelica Amezcua i P. David Ben.des i Roman Rayne i Sal Tinalem Mayor i Mayor Pro Tom, Ward 1 1 Ward Ward i Were i Were Ward MPuldoftsanta-ana.ore VSarmenlo(@sanla-ana.ore i MMarrnezItit ants-ana om i AAmezcuaflsanta-anaom 1 DBen videsAsanto-ana om 1 RRevna(Msanla-ana ore STinai..Osanta-ana ore 55B-8 FINAL RELOCATION PLAN FOR THE BRISTOL STREET PHASE 4 PROJECT (Final) FROM WARNER AVE TO ST. ANDREW PL. PREPARED FOR: CITY OF SANTA ANA 20 Civic Center Plaza Santa Ana, CA 92701 im Epic Land Solutions, Inc. 2601 AIRPORT DRIVE SUITE 130 TORRANCE, CA 90505 May 2, 2016 CCM 05/03/2016 55B (updated page) 55B-9 TABLE OF CONTENTS INTRODUCTION.................................................................................................... 1 L THE REGIONAL AND SPECIFIC LOCATION OF THE PROJECT ............................. 2 REGIONAL SETTING................................................................................ 2 PROJECT AREA DESCRIPTION.................................................................. 2 PROJECT AREA LOCATION................................................................. 3 GENERAL DEMOGRAPHIC AND HOUSING CHARACTERISTICS ....................... 4 II. ASSESSTMENT OF RELOCATION NEEDS........................................................... 5 RESIDENTIAL RELOCATION IMPACT........................................................ 5 SURVEY METHOD............................................................................. 5 FIELD SURVEY DATA-RESIDENTIAL................................................... 5 OCCUPANCY STANDARDS FOR CITY OF SANTA ANA............................ 7 METHODOLOGY............................................................................... 7 RELATED ISSUES.............................................................................. 7 NON-RESIDENTIAL RELOCATION IMPACT ................................................ 8 ASSESSMENT OF NEEDS..................................................................... 8 COMMERCIAL PROJECT OCCUPANTS .................................................. 8 COMMERCIAL REPLACEMENT RESOURCES .......................................... 9 III. THE RELOCATION PROGRAM......................................................................... 10 NON-RESIDENTIAL RELOCATION PROGRAM ............................................. 10 NON-RESIDENTIAL ADVISORY SERVICES ............................................. 10 RELOCATION BENEFITS..................................................................... 10 MOVING EXPENSES........................................................................... 10 IN -LIEU PAYMENT............................................................................ 11 ACTUAL REASONABLE MOVING COSTS ............................................... 11 SEARCHING EXPENSES FOR REPLACEMENT PROPERTY ........................ 11 REESTABLISHMENT EXPENSES........................................................... 11 OUTDOOR ADVERTISING SIGNS......................................................... 12 LOSS OF BUSINESS GOODWILL........................................................... 12 RESIDENTIAL RELOCATION PROGRAM ................................................... 13 RESIDENTIAL ADVISORY SERVICES .................................................... 13 RELOCATION BENEFITS..................................................................... 13 IV. ASSESSMENT OF AVAILABLE RESOURCES....................................................... 17 REPLACEMENT HOUSING AVAILABILITY ............................................. 17 HOUSING OF LAST RESORT................................................................ 19 55B-10 V. NECESSARY ADNHNISTRATIVE PROVISIONS.................................................... 19 ADNHNISTRATIVE PROVISIONS................................................................ 19 PAYMENT OF RELOCATION BENEFITS ................................................ 19 RELOCATION TAX CONSEQUENCES.................................................... 20 NOTICES.......................................................................................... 20 IMMIGRATION STATUS..................................................................... 20 EVICTION POLICY............................................................................. 20 APPEALS POLICY.............................................................................. 21 CITIZEN PARTICIPATION.................................................................... 21 PROGRAM ASSURANCES AND STANDARDS .......................................... 22 PROJECTED DATE OF DISPLACEMENT ................................................. 23 ESTIMATED RELOCATION COSTS ........................................................ 23 TABLES TABLE 1 — SANTA ANA — POPULATION..................................................... 4 TABLE 2 — SANTA ANA - HOUSING UNITS .................................................. 4 TABLE 3 —DESCRIPTION OF DWELLINGS .............................................. 5 TABLE 4 — OWNER OCCUPANT IN THE PROJECT AREA ........................... 5 TABLE 5 — TENANTS IN PROJECT AREA ................................................ 6 TABLE 6 — REPLACEMENT HOUSING NEEDED ....................................... 6 TABLE 7 — OWNER OCCUPIED BUSINESS IN PROJECT AREA ..................... 8 TABLE 8 — TENANT OCCUPIED BUSINESS IN PROJECT AREA ................... 8 TABLE 9 — AVAILABLE COMMERCIAL REPLACEMENT SITES ................... 9 TABLE 10 —FIXED MOVING PAYMENT SCHEDULE ................................... 14 TABLE 11—RENTAL ASSISTANCE PAYMENT CALCULATION (RENT to RENT)...................................................................................................... 15 TABLE 12 — EXAMPLE OF PAYMENT CALCULATED FOR A LOW INCOME DI SPLACEE..................................................................... 15 TABLE 13 —RESIDENTIAL RELOCATION RESOURCES —RENTALS ............. 17 TABLE 14 — RESIDENTIAL RELOCATION RESOURCES — FOR SALE ............ 18 EXHIBITS EXHIBIT A — GENERAL INFORMATION NOTICE — NON-RESIDENTIAL ...... 24 EXHIBIT B — GENERAL INFORMATION NOTICE — RESIDENTIAL ............... 25 EXHIBIT C — NON-RESIDENTIAL INTERVIEW FORM ............................... 26 EXHIBTI D — RESIDENTIAL INTERVIEW FORM ....................................... 27 EXHIBIT E — RELOCATION BROCHURE — NON-RESIDENTIAL .................. 28 EXHIBIT F — RELOCATION BROCHURE — RESIDENTIAL ........................... 29 EXHIBIT G—HUD INCOME LIMITS ....................................................... 30 EXHIBIT H — PUBLIC COMMENTS AND RESPONSES ................................ 31 55B-11 INTRODUCTION The City of Santa Ana ("City") has been battling a traffic problem for years. As the population increases, travel conditions are expected to worsen and the current infrastructure will not be able to handle the area's transportation, mobility and accessibility needs. In order to help alleviate traffic conditions, the City has proposed the Bristol Street Improvements — Warner Avenue to Saint Andrew Place Phase 4 ("Project"), which will improve Bristol Street from a current four -lane roadway to a six -lane roadway. In addition to, the installation of wider sidewalks, ADA compliant curb ramps, and bike lanes. The proposed improvements have been designed to provide safe travel for pedestrians, bicyclists, transit riders, and motorists. Funding for this project includes OCTA Measure M2 Fund, and OCTA Gas Tax. In order for the Project to move forward, the City will be obligated to acquire property, and relocate affected residents and businesses. Existing structures will be demolished once properties have been vacated. The Project will result in the displacement of 13 single family residence dwellings and 1 mixed use residence/commercial. For commercial there are 13 structures and 1 billboard. The number of proposed displacements requires the preparation of a Relocation Plan ("the Plan") pursuant to Federal and State relocation laws. To adequately plan for the displacement of the residents and businesses, the City contracted Epic Land Solutions, Inc. ("Epic") to prepare the Plan. The Plan incorporates policies and procedures which conform with statutes and regulations established by the Federal Uniform Relocation Assistance and Real Property Acquisition Policies Act — "The Uniform Act" (42 U.S.0 460/et seq.), the Federal Relocation Regulations (Title 49 Code of Federal Regulations, Part 24), the California Relocation Assistance Law, Government Code Section 7260, et seq. (Law), the Relocation Assistance and Real Property Acquisition Guidelines adopted by the Department of Housing and Community Development and Title 25, California Code of Regulations Section 6000, et seq. (Guidelines). The purpose of the Plan is to determine the impact of the project on displaced residents and businesses, as well as provide an estimate of the relocation cost, and reassure that adequate relocation assistance and resources will be available to the displaced persons. The Plan is organized in five sections 1. The regional and specific location of the Project (SECTION 1); An assessment of the relocation needs of those persons subject to displacement as a result of the Project (SECTION 11); 3. A description of the policies and procedures that the City will follow to meet the displace needs and ensure compliance with federal law (SECTION III); An assessment of replacement housing opportunities within the City of Santa Ana area (SECTION IV); 5. Necessary administrative provisions (SECTION V). Page11 RELOCATION PLAN Bristol Street Phase 4 Project I. THE REGIONAL AND SPECIFIC LOCATION OF THE PROJECT REGIONAL SETTING The Project is located in between three US Highways the 5, 22 and 55 in Orange County. PROJECT AREA DESCRIPTION The improvements of Bristol Street from Warner Avenue to Saint Andrew Place will accommodate the west side of Bristol, to align with a previously widened section. Improving Bristol Street Corridor will benefit the City greatly, since it is currently designated as a Major Arterial Highway in Orange County and serves as a vital north -south transportation link which has regional as well as local significance. The roadway implement complete street features by providing safe mobility for all users. Page12 RELOCATION PLAN Bristol Street Phase 4 Project PROJECT AREA LOCATION �M4wm7 Wv Y Ii I Ff ° Iry N IN s V".pi[IJn N Q,u Y n PI ICI: Fe aJ C: artrn ten 1'^I L.` rNIIIV, m1 4J ,v tiV f rrn; !^I Vic, bpi, Rf Jr u fl tiXi n h- „�., o,�onoorvuueuw Page3 RELOCATION PLAN Bristol Street Phase 4 Project 65B-.14 GENERAL DEMOGRAPHIC AND HOUSING CHARACTERISTICS Santa Ana is the second most populous city in Orange County, California. Santa Ana is located in Southern California, adjacent to the Santa Ana River, about 10 miles away from the California coast. Now fully developed, Santa Ana has several distinct districts. The core of the city is the downtown area, which contains both retail and housing, as well as the Santa Ana Civic Center which is a dense campus of administrative buildings for both the city and the County of Orange. According to the 2010 U.S. Census, the population of the City of Santa Ana is 324,528, the population of the impacted Census Tract 741.03 and 741.02 is 11,845, (see Table 1). Corresponding Census data concerning housing mix is shown in Table 2. TABLE 1 - POPULATION MOT (tlbaiiicftrsrrK}„i% W/W, (tlbaiiicftrsrrK}iii;,,,,,, S1 NTfii F N1 (rsu414}' MALE 2553 3511 51.1 % / 165,833 FEMALE 2473 3308 48.9% / 158,694 WHITE 2476 2731 45.9% / 148,958 BLACK 45 81 1.5% / 4,867 ASIAN 134 683 10.5% / 34,075 HAWAI IAN/ ISLANDER 15 22 0.3% / 973 NATIVE AMERICAN 64 67 1.0% / 3245 HISPANIC 4612 5753 78.2% / 253,780 OTHER 2101 2992 3.6% / 11,683 UNDER 5 YR OF AGE UNDER 19 YR OF AGE OVER 65 YR OF AGE 410 1733 302 529 2049 365 8.9% / 28,882 30.7% / 99,630 6.8% / 22,067 TOTAL 5026 6819 100% / 324,528 TABLE 2 — HOUSING UNITS YRA II 4 TRACT VACANT HOUSING UNITS 28 44 2,712 / 3.5% OCCUPIED HOUSING UNITS 897 1273 74,437 / 96.5% OWNER OCCUPIED 716 871 331812/45.4% TENANT- OCCUPIED 181 402 40,625 / 54.6% TOTAL HOUSING UNITS 925 1317 77,149 Page14 RELOCATION PLAN Bristol Street Phase 4 Project II. ASSESSTMENT OF RELOCATION NEEDS RESIDENTIAL RELOCATION IMPACT SURVEY METHOD All tenants are being interviewed by agents to determine the family composition of the current residences and explained the relocation process and benefits. As of the date of this report 100% of the displacees have been contacted and/or interviewed inquiries were made of the displacees and household size and composition, length of occupancy, property description, renter's information, owner/occupant information, business use in residence (if applicable), income information, transportation & education, replacement housing preferences, and ethnicity. Interviews and contacts have been done in person and over the phone in the language of the displacee's preference. FIELD SURVEY DATA- RESIDENTIAL As of the date of this report our staff has calculated that there will be a total of 13 single family residence dwelling and 1 mixed use of residence/ commercial. A sample of the residential form used in the interview process is presented as Exhibit D of this report. 1. Current Occupants This report has identified 6 residential owner occupants and 11 residential tenants. The project area includes 13 single family residence and 1 mixed use of residence/commercial. TABLE 3: DESCRIPTION OF DWELLINGS v?O ,,,, „ram,, Four # of Units 0 0 1 12 1 TABLE 4: OWNER OCCUPANT IN THE PROJECT AREA „1302 W. Saint Anne PI, Full 3/2 4 1302 W. Camden PI. Full 3/3 1 1301 Camden PI. Full 3/1 % 4 1301 W. Glenwood PI. Full 3/2 10 1301 W. Carlton PI. Full 3/1 % 5 1302 W. Saint Andrew PI. Full 3/1 % 5 Page15 RELOCATION PLAN Bristol Street Phase 4 Project TABLE 5: TENANTS IN THE PROJECT AREA SITtAD0RI5SS,- #E [f/B tM ; rffti Gpanis 2205S Bristol St. 3 /1 Full 16 2201 S. Bristol St. 2/1 Full 1 1235 W. Saint Gertrude PI. 3/1 Full 6 1242 Saint Anne PI. 3/1 Full 5 1301 W. Saint Anne PI 3/2 Full 3 2034 S. Bristol St. 3/2 Full 10 2115B Bristol St. 2/1 Full 3 1302 W. Camden PI. Rents 1 Room Full 1 1302 W. Camden PI. Rents 1 Room Full 2 1302 W. Camden PI. Rents 1 Room Full 3 1302 W. Carlton PI. 5/1/2 Full 6 2. Replacement Housing Needs As of the date of this report we will need 3 one -bedrooms, 2 two -bedrooms, 3 three -bedrooms, and 4 four+ -bedroom dwellings for the tenants that will be displaced. As far as the owner occupant composition our surveys display that we will need 1 one - bedroom, 4 three -bedroom dwellings, and 1 four+ -bedroom. # Needed -Tenants 0 3 2 3 3 # Needed -Owners 0 1 0 4 1 3. Income During the process of interviewing each household for this Plan, an attempt was made to obtain as much voluntary information as possible regarding the household's income. The income standards for the County of Orange (See Exhibit G) are approved by the U.S. Department of Housing and Urban Development (HUD) to define and determine housing eligibility by income level for 2015. 4. Ethnicity/Language As agents performed interviews they discovered that most families living in the project are of either Latin or Vietnamese descent. Most of them also speak English, Spanish or Vietnamese, but so far agents have not had any complications in communicating with displacees. 5. Senior/Handicapped Household So far there have been 2 handicapped people identified and no senior citizens. Page16 RELOCATION PLAN Bristol Street Phase 4 Project 6. Preferred Relocation Areas Most households would like to stay in Santa Ana mainly because of jobs and schools. However, some have no issues moving to surrounding cities such as Costa Mesa or Anaheim. OCCUPANCY STANDARDS FOR CITY OF SANTA ANA The City's policy is that there will be no more than 2 persons per room and one person in common living area. The City adheres to the State building code occupancy standard based on square footage of dwellings for households larger than eight members. Referrals to replacement housing provided to occupants may reflect the need for larger accommodations to comply with State and the City of Santa Ana code requirements. Generally these standards allow for up to three people to occupy a one bedroom unit, five person in a two bedroom unit, seven persons in a three unit. Any households with more than eight members require a four bedroom replacement unit based on the respective size of that unit per the State building code. METHODOLOGY One of the main reasons for creating a Relocation Plan is to determine whether comparable, decent, safe and sanitary residential replacement dwellings will be available for residents at the times of displacement, which are within the financial means of the displacee. RELATEDISSUES Temporary Housing It is anticipated that comparable replacement housing will be available at the time of displacement, therefore, there will be no need to rely on temporary relocation resources to meet the needs of the occupants. Language Issues Our staff has been able to successfully communicate with residents and business owners without any language barriers. Preferred Relocation Areas Most of the Project residents interviewed expressed a preference to remain in or around the local community in order to maintain current access to schools and employment. Page17 RELOCATION PLAN Bristol Street Phase 4 Project NON-RESIDENTIAL RELOCATION IMPACT ASSESSMENT OF NEEDS Based on staff observations there will be 13 businesses and 1 billboard impacted. All tenants are being interviewed by agents to determine the business composition of the current businesses and explained the relocation process and benefits. As of the date of this report 100% of the displacees have been contacted and/or interviewed. Inquiries made of the businesses concerned general information of the business, operations, current facility physical features, financial information, equipment and inventory, replacement site requirements, referrals, permits, insurance, advertising, and tax credits/enterprise zones. Contacts and interviews have been done in person and by phone in the language of the business's preference. A sample of the non-residential interview form used in the interview process are presented as Exhibits C of this report. COMMERCIAL PROJECT OCCUPANTS TABLE 7: OWNER OCCUPIED BUSINESS IN PROJECT AREA Tacos Mexico 2102 S. Bristol St. Full Restaurant/Food Services Nunez Corporation/ 2101 S. Bristol St. Full Real Estate/Financial Professional Mortgage (17 Brokerage Independent Contractors) JM Real Estate (8 2223 S. Bristol St. Full Real Estate Independent Contractors) Brokerage 12620 Brookhurst LLC 2105-2109 S. Bristol St. Full Dental TABLE 8: TENANT OCCUPIED BUSINESS IN PROJECT AREA South Coast Dental Group 2231 S. Bristol St. Full Dental Rental Booti ue 2227 S. Bristol St. Full Retail Sales Schaefer Ambulance Service 2215 & 2119 S. Bristol St. Full Medical Botanica Sol 2123 S. Bristol St. Full Retail Sales MMC Marijuana Dispensary 2115A S. Bristol St. Full Retail Sales Dentistry NHA Khoa 2105 S. Bristol St. Full Dental American Smile Dentist 2209 S. Bristol St. Full Dental Lawnmower City 2115 S. Bristol St. Full Repair & Service Media` 2115 S. Bristol St. Full Billboard HCOutfront onroy's Flowers 2240 S. Bristol St. Full Retail Sales * One billboard sign has been identified as Outfront Media (Billboard Face No. 500116843) located at 2115 S. Bristol Street, Santa Ana, CA 92704. RELOCATION PLAN Bristol Street Phase 4 Project COMMERCIAL REPLACEMENT RESOURCES Generally, the businesses that are to be displaced should be able to relocate in the Santa Ana area or surrounding cities. The majority of the business owners indicated a desire to stay in the Santa Ana area. When searching for replacement locations, zoning and other regulatory issues must be considered carefully. The current availability of general commercial/retail space for lease in Santa Ana is adequate. The search for available properties for lease was conducted in Santa Ana beginning within a five -mile radius of the project site and expanding outward as necessary. Available replacement sites conducive to auto -related uses within Santa Ana specifically were limited in number and available sites in surrounding cities were researched as well. Special consideration was given to locate available replacement sites within Santa Ana, however, available sites in surrounding communities were also included in the resource table below. The resources utilized to identify available commercial sites included: classified ads, the internet, and multiple listing services. Table 9 provides a sample of the commercial properties available in the City of Santa Ana and the Greater Orange County area as of the date of this Plan. TABLE 9: AVAILABLE COMMERCIAL REPLACEMENT SITES Page19 RELOCATION PLAN Bristol Street Phase 4 Project III. THE RELOCATION PROGRAM NON-RESIDENTIAL RELOCATION PROGRAM NON-RESIDENTIAL ADVISORY SERVICES The City has two programs, Relocation Advisory Assistance Program and Relocation Payments Program, to aid businesses, farms and nonprofit organizations which must relocate. In addition, if the displace chooses to take full responsibility for all part of the move of the business, farm, or nonprofit organization, the City may approve not to exceed the lower of the two bids obtained by the City from qualified moving firms. RELOCATION BENEFITS 1) Relocation Advisory Assistance Program, which is to aid you displacee locating a suitable replacement property, and 2) The Relocation Payments Program, which is to reimburse displacee for certain costs involved in relocating. These payments are classified as: Moving and Related Expenses (costs to move personal property not acquired), Search Expenses (expenses related to finding a replacement), Reestablishment Expenses (expenses related to the replacement property), and In -Lieu Payment (a fixed payment in lieu of moving and related expenses, and reestablishment expenses). MOVING EXPENSES Actual Reasonable Moving Costs — Business owners may be paid for actual reasonable moving costs and related expenses when a commercial mover performs the move. Reimbursement will be limited to a move 50 miles or less. Related expenses, with limitations, may include: • Transportation, • Packing and unpacking personal property, • Disconnecting and reconnecting personal property related to the operation, • Temporary storage of personal property, • Insurance while property is in storage or transit, or the loss and damage of personal property if insurance is not reasonably available, • Expenses in finding a replacement location ($2,500 limit), • Professional services to plan and monitor the move of the personal property to the new location, and Licenses, permits and fees required at the replacement location. Self -Move Agreement — Business owners may also be paid to move their own personal property based on the lower of two acceptable bids obtained by the City. Page110 RELOCATION PLAN Bristol Street Phase 4 Project ,� IN -LIEU PAYMENT A small business may be eligible to accept a fixed payment between $1,000 and $40,000, based on their annual earnings In Lieu of the moving cost and related expenses. ACTUAL REASONABLE MOVING COSTS A business may be paid the actual reasonable and necessary and necessary costs of their move when a professional mover performs the move. All of your moving costs must be supported by paid receipts or other evidence of expenses incurred. In addition to the transportation costs of their personal property, certain other expenses may also be reimbursable, such as packing, crating, unpacking and uncrating, and the disconnecting, dismantling, removing, reassembling, and reinstalling relocated machinery, equipment, and other personal property. Other expenses such as professional services necessary for planning and carrying out the move, temporary storage costs, and the cost of the licenses, permits and certifications may also be reimbursable. This is not intended to be an all-inclusive list of moving related expenses. SEARCHING EXPENSES FOR REPLACEMENT PROPERTY A displaced business, farm or nonprofit organization is entitled to reimbursement for actual reasonable expenses, not to exceed $2,500. Expenses may include transportation, meals, and lodging when away from home. Reasonable time spent during the search, fees paid to the real estate agents, brokers or consultants, and other expenses, may be reimbursable, but only if determined to be reasonable and necessary by the City. REESTABLISHMENT EXPENSE A small business, farm or nonprofit organization may be eligible for a payment, not to exceed $25,000, for expenses actually incurred in relocating and reestablishing the enterprise at a replacement site. Reestablishment expenses may include but are not limited to the following: 1. Repairs or improvements to the replacement real property required by Federal, State or local laws, codes or ordinances, Modifications to the replacement of real property to make the structure(s) suitable for the business operation, 3. Construction and installation of exterior signing to advertise the business, 4. Redesign or replacement such as, interior painting, wallpapering, paneling or, carpeting if/when required by the condition of the replacement site or for aesthetic purposes, Page111 RELOCATION PLAN Bristol Street Phase 4 Project Advertising the new business location, The estimated increased costs of operation at the replacement site during the first two years, for items such as: A) Lease or rental charges, B) Personal or real property taxes, C) Insurance premiums, and D) Utility charges (excluding impact fees). 7. Other items that the City considers essential for the reestablishment of the business or farm. OUTDOOR ADVERTISING SIGNS Eligibility for this payment exist whether or not the business had a sign at the displacement property. However, some sign expense is more properly assigned as a moving cost. A sign designated as personal property at the displacement site is eligible to be moved and reinstalled as a moving expense. Signs that can be re -lettered or otherwise modified due to the move can be claimed as a moving expense. Erection of signs not eligible as a moving expense can generally be claimed as a reestablishment expense. LOSS OF BUSINESS GOODWILL As with any project of this magnitude some businesses are often more difficult to relocate than others due to zoning and other regulatory and basic locational considerations. While certain problem areas have already been identified and based upon experience are considered not insurmountable, consideration for "Loss of Goodwill" may subsequently be an option pursued by some businesses. In this regard, State law (California Code of Civil Procedure Section 1263.510) requires the owner to establish the validity of all of the following: (1) The loss is caused by the taking of the property, (2) The loss cannot reasonably be prevented by relocation of the business, or by taking steps and adopting procedures that a reasonably prudent person would take to preserve the goodwill, and (3) the compensation for the loss has not been included as a relocation payment or duplicate in compensation otherwise awarded to the owner. Goodwill consists of the benefits that accrue to a business as a result of its location, reputation for dependability, skill or quality and any other circumstances resulting in probable retention of old or acquisition of patronage. If a claim for loss of goodwill is to be made it must be fled after displacement has occurred allowing suffcient time to enable determination of loss, if any. The process of claiming Loss of Goodwill, however, occurs outside the scope of relocation assistance. Page112 RELOCATION PLAN Bristol Street Phase 4 Project RESIDENTIAL RELOCATION PROGRAM RESIDENTIAL ADVISORY SERVICES Epic's relocation staff will be available to provide advisory services to the residents throughout the relocation process. Advisory services include: meeting with each household individually and in a group meeting, explaining the relocation process, providing notices, assisting in locating replacement housing, providing information on applicable First Time Homebuyer programs, explaining claim forms and options, completing claim forms, and ensuring timeliness of processing claim forms. Relocation staff will be available to answer questions and address issues. RELOCATION BENEFITS Residential Moving Expense Payments All displaced residential occupants will be eligible to receive a payment for moving expenses. Moving expense payments will be made based upon the actual cost of a professional mover or a fixed payment based on a room count schedule. Actual Cost (professional move) The Relocation Agent shall explain to the displacee the availability of the option of receiving actual reasonable moving expenses, as the basis of payment for moving costs. The agent will fully explain the types of expenses that are reimbursable and review the eligible items contained in the brochure. If the occupant selects actual reasonable moving expenses as the basis of payment for moving expenses the Relocation Agent will explain to the displacee that they must obtain at least two bids from a professional moving company and provide copies to the agent for evaluation. The agent can also assist the displacee in obtaining these bids. Fixed Pavment (based on room count schedule) An occupant may elect to receive a fixed payment for moving expenses, which is based on the number of rooms occupied in the displacement dwelling. In this case, the displaced person takes full responsibility for the move. This fixed moving payment is in accordance with the established Federal Highway Administration schedules maintained by California Department of Transportation. The current schedule for fixed moving payments in California is in the table below: Page113 RELOCATION PLAN Bristol Street Phase 4 Project TABLE 10: FIXED MOVING PAYMENT SCHEDULE P[1I C+fI HE "C1 IE "LING a One room $725 Two rooms $930 Three rooms $1,165 Four rooms $1,375 Five rooms $1,665 Six rooms $1,925 Seven rooms $2,215 Eight rooms $2,505 Each additional room $265 UFJF[1IFfI SHED-GtlEk4 ICVG Fkubr,cflo6frrs,,,,,, ,........i ........I .........i .........1 ...,,,,pS/t%nf,,Jkfn6Uni;, One room $475 Each additional room $90 Rental Assistance for 90-day Residential Tenants Residential tenants who have established their residency within the Project area for a minimum of 90 days prior to the initiation of negotiations and who choose to re -rent may be eligible to receive Rental Assistance Payments in addition to a Moving Expense Payments. Agents use the following to determine the maximum rental benefits for the displacees: Agent will verify current rent for displacement dwelling. This can be done by getting rent receipts, copy of lease the agreement or canceled checks, Determine what utilities the tenant is responsible for. Utility costs usually include electricity, gas and water, Agent will also determine what the household income is. They will do this by gathering all the means of income received as a household for a 12 month period, such as earned wages, salary, child support, alimony, unemployment benefits, worker's compensation, social security and net income from business, and If a household is determine to be low income then their benefits are calculated by using 30% of the gross monthly income. Page114 RELOCATION PLAN Bristol Street Phase 4 Project Payments to Non -Tenured Residential Tenants Non low-income residential tenants with less than 90 days of continuous occupancy prior to the City's acquisition offer presented to the owner will only be eligible to receive a moving expense. The table below is an example of how a rental assistance payment is calculated by using the rent to rent method: TABLE 11: RENTAL ASSISTANCE PAYMENT CALCULATION (RENT to RENT) Rent and Utilities at Displacement Dwelling $1,200.00 Annual Household Income $50,000.00 Number of Occupants of Household 5 Location of displacement dwelling Orange County Low income threshold $47,250.00 Base monthly rental lesser of 1 of4 $1,200.00 Comparable rent and utilities $1,250.00 Computation of payment $1,250 minus $1,200 $50 x 42 months $2,100.00 TABLE 12: EXAMPLE OF PAYMENT CALCULATED FOR A LOW INCOME DISPLACEE: Rent and Utilities at Displacement Dwelling $1,200.00 Annual Household Income $46,000.00 Number of Occupants of Household 5 Location of displacement dwelling Orange Count Low income threshold $47, 250.00 30% of monthly household income $46,000 divided by 12 x 30% $1,150.00 Base monthly rental lesser of 1 or 4 $1,150.00 Comparable rent and utilities $1,250.00 Computation of Payment $1,250 minus $1,150 $100 x 42 months $4,200.00 Down Payment Assistance to Tenants Who Purchase Residential displacees eligible to receive a rental assistance payment, may choose to utilize up to the amount of their rental assistance eligibility (including any Last Resort benefits) to purchase a replacement dwelling, provided that the entire eligibility amount is used toward the down payment and eligible incidental closing costs. In the case of Down payment Assistance claims, the City will arrange for the deposit of the total rental assistance eligibility amount in an open escrow account. Provisions will be included in the Page115 RELOCATION PLAN Bristol Street Phase 4 Project escrow instructions to assure the prompt return of all the City funds in the event escrow is cancelled by either party or should fail to close within a reasonable period of time. Payments to Non -Tenured Residential Tenants Residential tenants with less than ninety days (90) of continuous occupancy prior to the initiation of negotiations will be eligible to receive only a payment of moving expenses. Replacement Housing Payments to Owner -Occupants Residential owner -occupants who have established residency for at least 180 days prior to the City's offer to purchase may be eligible for a replacement housing payment determined by the aggregate value of three separate compensation elements: a) Purchase Price Differential, b) Mortgage Interest Differential, and, c) Incidental Expenses. Purchase Price Differential The Purchase Price Differential is based on three factors: The final price paid by the City for a replacement dwelling, and, The cost of a decent, safe and sanitary dwelling comparable to the dwelling acquired by the City. The purchase price differential amount is determined by comparing the final acquisition price of the Project residence to the lesser of the actual price paid for a replacement home or the price of a comparable available decent, safe and sanitary dwelling. If the purchase price of a replacement home is less than the cost of a comparable replacement home, the payment will be limited to the actual difference. If the purchase price exceeds the cost of a comparable replacement home, the payment will be based on the cost of the comparable replacement home. Replacement housing referrals to owner -occupants will match, as closely as possible, current housing circumstances. The calculation of purchase price differential payments to owner -occupants of multifamily properties will be determined by comparing the pro -rated value of the comparable element of a replacement property. Mortgage Interest Differential The Mortgage Interest Differential Payment is intended to compensate homeowners for any increase in interest costs between the acquired dwelling and the replacement dwelling. Computation of the payment is based upon three factors: 1) the remaining term and amount(s) of the current mortgage or mortgages 2) the current type of mortgage product (i.e. fixed vs. variable) 3) a comparison of the mortgage interest rate for the acquired dwelling relative to the lesser of the current market rate or the actual new rate for a similar mortgage product. To be eligible for this payment, the mortgage on the dwelling being acquired must have been in place, as a valid lien, for at least 180 days prior to the City's initial written offer to purchase. Page116 RELOCATION PLAN Bristol Street Phase 4 Project Incidental Expenses — Closing Costs One-time, non- recurring closing costs associated with the purchase of a comparable, replacement dwelling are compensable. Examples of such compensable expenses include costs for: a property survey, preparation of a legal description and deed, recording fees, loan origination fees, appraisal fees, a credit report, certification for structural soundness, and, termite inspection, when required. Prepaid recurring expenses for mortgage interest, property taxes and insurance are not compensable. Owner Occupants Relocations For this project there are approximately 6 owner occupants that will have to be relocated. Owner occupants are eligible to receive moving benefits, purchase price differential and non -recurring cost. Tenant Relocations Upon our staff research it was discovered that at least two single family homes have multiple families living in them. In addition, there is also one Section 8 household that was identified. IV. ASSESSMENT OF AVAILABLE RESOURCES REPLACEMENT HOUSING AVAILABILITY From our research it does not appear like there will be any issues in finding replacement housing in and around the area. NI/e1:14:iM:4:6Mnl4,NIrewN4K•Z97a11111[•],I:4*X1l:T""NN4,Illre1I&I bf f UNIT TYPE . 0V 8EWBp;TH IkHbNTHL RENTALS 1330 N Bush St#44, Santa Ana, CA APT 1/1 $1,150 1313 W. Memory In, Santa Ana, CA APT 1/1 $1,295 3663 S. Bear St, Santa Ana, CA APT 1/1 $1,295 2414 N. Tustin Ave, Santa Ana, CA APT 1/1 $1,310 811 S. Fairview St, Santa Ana, CA APT 1/1 $1,315 2701 W. McFadden Ave, Santa Ana, CA APT 1/1 $1,360 1507 N Durant St #55, Santa Ana, CA APT 2/2 $1,400 1026 Highland St, Santa Ana, CA Townhouse 2/1.5 $1,425 1423 S. Sycamore St, Santa Ana, CA APT 2/1 $1,456 1313 W. Memory In, Santa Ana, CA APT 2/1 $1,505 1101 W. Stevens Ave, Santa Ana, CA APT 2/1 $1,573 1001 W. Stevens Ave. Apt. 415, Santa Ana, CA Condo 2/2 $1,650 1460 Cabrillo Park Dr., Santa Ana, CA Condo 2/1 $1,695 Page117 RELOCATION PLAN Bristol Street Phase 4 Project 1600 E. 17th St, Santa Ana, CA APT 2/1 $1,695 2701 W. McFadden Ave, Santa Ana, CA APT 2/1 $1,740 2837 S. Fairview St, Santa Ana, CA Condo 2/2 $1,750 811 S. Fairview St, Santa Ana, CA APT 2/1 $1,790 2414 N. Tustin Ave, Santa Ana, CA APT 2/1 $1,790 1010 W. MacArthur Blvd, Santa Ana, CA Condo 2/1 $1,800 1437 E. Century Dr., Orange, CA SFR 2/1 $2,800 2101 S Pacific Ave, Santa Ana, CA SFR 3/1.5 $1,750 2245 Franzen Ave, Santa Ana, CA APT 3/2 $2,275 2211 Ponderosa St, Santa Ana, CA Townhouse 3/2 $2,400 4414 W. Moonridge Ave, Santa Ana, CA SFR 3/2 $2,450 1707 N. Olive St, Santa Ana, CA SFR 3/1 $2,600 2009 W. Summer Wind, Santa Ana, CA Townhouse 3/2 $2,700 1009 Virginia Ave, Santa Ana, CA SFR 3/2 $2,750 2202 S. Flower St, Santa Ana, CA SFR 4/2 $2,600 10531 Ridgeway Dr, Santa Ana, CA SFR 4/2 $3,695 1909 W. Blackhawk Dr, Santa Ana, CA SFR 5/4 $4,600 2720 N. Via Real Dr., Orange, CA SFR 7/6.5 $9,500 TABLE 14: RESIDENTIAL RELOCATION RESOURCES- FOR SALE „btbbkt%S,,`, UNITTYPE- „ tOPIWID113 H FOR SALE 633 S. Shelton St, Santa Ana, CA SFR 2/1 $365,000 411 Highland St, Santa Ana, CA SFR 2/1 $380,000 1021 W. Chestnut Ave, Santa Ana, CA SFR 3/1 $399,950 920 W. Myrtle St, Santa Ana, CA SFR 3/1 $435,000 2302 W. La Verne Ave, Santa Ana, CA SFR 3/1 $438,000 323 W. 18th St, Santa Ana, CA SFR 3/1 $445,000 2027 S. Broadway, Santa Ana,CA SFR 3/1 $445,000 1721 W. Civic Center Dr, Santa Ana, CA SFR 3/1 $448,000 706 N. Eastwood Ave, Santa Ana, CA SFR 3/1.5 $460,000 2616 Park Lk., Santa Ana, CA SFR 3/2 $270,000 300 Carriage Dr., Santa Ana, CA SFR 3/2 $248,000 1030 S. Orange Ave, Santa Ana, CA SFR 3/2 $335,000 1657 W. Cubbon St, Santa Ana, CA SFR 3/2 $445,000 2245 S. Lowell St, Santa Ana, CA SFR 3/2 $445,000 602 S. Rosewood Ave, Santa Ana, CA SFR 3/2 $450,000 929 S. Virlee St, Santa Ana, CA SFR 3/2 $479,999 Page118 RELOCATION PLAN Bristol Street Phase 4 Project HOUSING OF LAST RESORT "Last Resort Housing" payments are authorized by statute if affordable comparable replacement housing is not available, i.e. housing costing not more than 30% of the household's average monthly income. In this case, payments may be made beyond the $7,200 statutory cap up to 42 months of rental assistance. Relocation will not be considered complete until all households qualifying for relocation have been relocated to comparable, decent, safe, and sanitary housing units. V. NECESSARY ADMINISTRATIVE PROVISIONS ADMINISTRATIVE PROVISIONS PAYMENT OF RELOCATION BENEFITS Claims and supporting documentation for relocation benefits must be filed with the City within 18 months from. The date the claimant moves from the acquired property, or, The date, on which final payment for the acquisition of the real property is made, whichever is later. The procedure for the preparation and filing of claims and the processing and delivery of payments will be as follows: Claimant(s) will provide all necessary documentation to substantiate eligibility for assistance, Payment amounts will be determined in accordance with the provisions of the Federal relocation law and guidelines, Required claim forms will be prepared by relocation personnel and reviewed with claimants. Signed claims and supporting documentation will be submitted by Epic staff to the City. The City will review all claims for payment and determine whether to approve, deny, or seek additional information, The City will issue benefit checks for distribution to claimants by relocation staff, Final payments will be issued only after confirmation that the Project premises have been completely vacated and occupancy of the replacement unit is verified, All correspondence, back-up documentation, claims, receipts of payment and notices will be maintained in the relocation file. Page119 RELOCATION PLAN Bristol Street Phase 4 Project RELOCATION TAX CONSEQUENCES In general, relocation payments are not considered income for the purpose of the Internal Revenue Code of 1968 or the Personal Income Tax Law, Part 10 of the Revenue and Taxation Code. The above statement on tax consequences is not intended to be provision of tax advice by the City or their consultants. Displacees are encouraged to consult with their own tax advisors concerning the tax consequences of relocation payments. NOTICES The notices used in this project are outlined in Exhibits A- F for review. IMMIGRATION STATUS Under the Uniform Act residents not lawfully present in the United States are not eligible to receive relocation payments and assistance, however the City at their discretion may approve payments to residents not lawfully present in the United States. EVICTION POLICY Eviction of occupants by the City will be pursued only as a last resort, with the exception of a person considered to be an unlawful occupant. A displaced person's eviction may affect eligibility for relocation assistance and benefits. Relocation records must be documented to reflect the specific circumstances surrounding the eviction. Eviction by the City may be undertaken for one, or more of the following reasons: Failure to pay rent, except in those cases where failure to pay is due to the City's failure to keep the premises in habitable condition is the result of the City's harassment or retaliatory action or is the result of the City's discontinuation of substantial interruption of services, Performance of a dangerous or illegal act in or upon the premises by the lessee, Material breach of the rental agreement by lessee and failure to correct said breach within 30 days of notice to cure, Maintenance of a nuisance by lessee and failure to abate such nuisance within a reasonable number of offers of replacement dwellings, Refusal of lessee to accept one of a reasonable number of offers of replacement dwellings, and A requirement under State or local law or emergency circumstances such that it (the eviction) cannot be prevented by any other reasonable efforts on the part of the public entity. Page120 RELOCATION PLAN Bristol Street Phase 4 Project APPEALS POLICY All displaced persons will be informed of their right to appeal the City's determination as to eligibility for payment or to the amount of the relocation payment. The right of appeal will be described in all brochures and other informational material distributed to the public. Procedures have been established which assure each appellant's grievance will be heard. The procedures insure that: Each appellant has the opportunity for oral presentation, Each appeal will be decided promptly and the appellant informed of the decision in writing, Each appeal decision will include a statement of the reasons upon which it is based, and Each appellant will have a right of final appeal to a higher authority. These grievance procedures only apply to the City's Relocation Assistance Program. Judicial appeal also may be pursued if an appellant is not satisfied with the City's administrative determination. CITIZEN PARTICIPATION As the process for considering the Project to move forward, the City will observe the following protocol: • Provide affected displacees with full and timely access to documents relevant to the relocation program, • Encourage meaningful participation in reviewing the Relocation Plan and monitoring the relocation assistance program, including the project area occupants, • Provide technical assistance necessary to interpret elements of the Relocation Plan and other pertinent materials, and • Issue a general notice concerning the availability of the Plan for public review, as required, 30 days prior to its proposed adoption. Distribution of the Plan, upon request, to all affected and interested parties. Page121 RELOCATION PLAN Bristol Street Phase 4 Project As of the time of this Plan, the following timeline has occurred or is anticipated: June 10, 2013 Public Meeting June 25, 2013 Public Meeting June 26, 2013 Public Meeting October 17, 2014 Public Meeting October 28, 2014 Public Meeting November 12, 2014 Public Meeting November 18, 2014 Public Meeting July 14, 2014 Public Meeting August 21, 2015 Public Meeting September 3, 2015 Public Meeting September 2015 Start Relocation Process Summer 2017 to Summer 2018 Construction PROGRAM ASSURANCES AND STANDARDS The relocation program will be implemented by the City and will conform with the standards and provisions of the Uniform Relocation Act, State of California Relocation Law Government Code Section 7260, et. Seq., Title 25, Chapter 6, Relocation Assistance and Real Property Acquisition, and the Agency's own Rules and Regulations for Relocation Assistance. Guidelines adopted by Federal and State agencies will be as follows: 1. To fully inform eligible project occupants of the nature of and procedures for obtaining relocation assistance and benefits, 2. To determine the needs of each residential displacee eligible for assistance, To provide an adequate number of referrals to compare, decent, safe and sanitary housing units within a reasonable time prior to displacement, and assure that no residential occupant is required to move without a minimum of (90) days written Notice to Vacate, To provide current and continuously updated information concerning replacement housing opportunities, 5. To provide assistance that does not result in different or separate treatment due to race, color, religion, national origin, sex, sexual orientation, marital status or any arbitrary circumstances, To supply information concerning Federal and State housing programs and other governmental programs providing assistance to displaced persons, 7. To assist each eligible person with completing applications for benefits, Page122 RELOCATION PLAN Bristol Street Phase 4 Project 8. To make relocation benefit payments in accordance with Federal and State guidelines, including the provisions of the Last Resort Housing sections where applicable, 9. To inform all persons subject to displacement of the Agency's policies with regard to eviction and property management, and 10. To establish and maintain a formal grievance procedure for use by the displaced person seeking administrative review of the Agencies decisions' with respect to relocation assistance. PROJECTED DATES OF DISPLACEMENT The City has approved the acquisition and relocation activities in September 2015. It is estimated this process will be completed by spring 2017. Construction is scheduled to begin in the summer of 2017 and be completed by summer 2018. ESTIMATED RELOCATION COSTS After all the research that was performed by our staff it has been estimated that it will cost a total of $901,967 for residential relocation benefits, and a total of $3,463,417 for business relocation benefits that will be affected by the project. Total estimates for relocation benefits for this project is $4,365,384, these estimates include a 10% contingency. The estimate does not include any compensation for Fixtures & Equipment or Loss of Business Goodwill or include any provision for professional fees necessary to implement the Relocation Assistance Program. Page123 RELOCATION PLAN Bristol Street Phase 4 Project General Information Notice —Non-Residential Page125 RELOCATION PLAN Bristol Street Phase 4 Project Epic Land Solutions, roc, 0. 2601 Airport Drive, Suite 130 Torrance, CA 90505 Phone: (310)626-4848 Fax: (310)891-3348 Non -Residential Occupant to Be Displaced (Date) (Occupant) Dear (Occupant), The City of Santa Ana (called here the "Displacing Agency") is interested in acquiring the property you currently occupy at (Address), Santa Ana, CA (Zip Code) for the Bristol Street Widening Phase IV between Warner Avenue and St. Andrews Place (called here the `Project'). This notice is to inform you of your rights under Federal and/or State law. If the Displacing Agency acquires the property and you are displaced for the Project, you will be eligible for relocation assistance under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (URA), as amended. However, you do not have to move now. This is not a notice to vacate the premises or a notice of relocation eligibility. The Displacing Agency has retained the professional firm of Epic Land Solutions, Inc. ("Epic") to represent the Agency and assist in the relocation process. In order to assess and better plan for the relocation needs of possible displaced non-residential occupants in the Project, the Displacing Agency is preparing a Relocation Plan. In order to prepare this relocation plan, Epic's staff will need to meet with you at your place of business to assess your relocation needs. If you want to make an appointment that is convenient for you, please call the relocation agent identified below: (Agent) (Agent Phone) If you rent or lease your unit, you should continue to pay your monthly rent to your landlord because failure to pay rent and meet your obligations as a tenant may be cause for eviction and loss of relocation assistance. You are urged not to move or sign any agreement to purchase or lease a unit before receiving formal notice of eligibility for relocation assistance. If you move or are evicted before receiving such notice, you will not be eligible to receive relocation assistance. Please contact us before you make any moving plans. If the Displacing Agency acquires the property and you are eligible for relocation assistance, you will be given advisory services, including referrals to replacement sites, and at least 90 days advance written notice of the date you will be required to move. You would also receive either a payment for actual moving and reestablishment expenses, or, a fixed payment in lieu of a payment for actual moving and reestablishment expenses 55B-36 Pursuant to the Public Law 105-117, in order to be eligible to receive non-residential relocation benefits in federally -funded projects, in the case of an unincorporated business, each owner must be either a citizen or national of the United States, or an alien who is lawfully present in the United States. The owner of a sole proprietorship and all owners of a partnership must provide information regarding their lawful presence in the United States, and a for -profit or a non-profit corporation must certify that it is authorized to conduct business within the United States. Owners of sole proprietorships or partnerships, who are not lawfully present in the United States, or who decline to provide this information, are not eligible for relocation assistance, unless such eligibility would result in exceptional hardship to a qualifying spouse, parent, or child. Relocation benefits will be prorated to reflect the number of owners with certified lawful presence in the United States. Again, this is not a notice to vacate and does not establish eligibility for relocation payments or other relocation assistance. If the Displacing Agency decides not to purchase the property, you will be notified in writing. Any person aggrieved by a determination as to eligibility for, or the amount of, a payment authorized by the Displacing Agency's Relocation Assistance Program may have the appeal application reviewed by the Displacing Agency in accordance with its appeals procedure. Complete details on appeal procedures are available upon request from the Displacing Agency. If you have any questions about this or any other relocation issues, please contact me at the address and the phone number below. Sincerely, Ron Wicks Project Manager Epic Land Solutions, Inc. IF REQUIRED: Carbon Copy To: (Name and Address) Received by Recipient's Signature Date Delivered on/by: Posted on/by: Mailed/receipt received on: / 55B-37 EXHIBIT B General Information Notice — Residential Page126 RELOCATION PLAN Bristol Street Phase 4 Project Epic Land Solutions, roc, 2601 Airport Drive, Suite 130 Torrance, CA 90505 Phone: (310)626-4848 Fax: (310)891-3348 Residential Occupant to Be Displaced (Date) (Occupant) Dear (Occupant), The City of Santa Ana (called here the `Displacing Agency") is interested acquiring the property you currently occupy at (Address), Santa Ana, CA, (Zip Code) for the Bristol Street Widening Phase IV between Warner Avenue and St. Andrews Place (Project). This notice is to inform you of your rights under Federal and or State law. If the Displacing Agency acquires the property and you are displaced for the Project, you will be eligible for relocation assistance under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (URA), as amended. However, you do not have to move now. This is not a notice to vacate the premises or a notice of relocation eligibility. The Displacing Agency has retained the professional firm of Epic Land Solutions, Inc. ("Epic") to represent the Agency and assist in the relocation process. In order to assess and better plan for the relocation needs of possible displaced households in the Project, the Displacing Agency is preparing a Relocation Plan. In order to prepare this relocation plan, Epic's staff will need to meet with you to assess your relocation needs. If you want to make an appointment that is convenient for you, please call the relocation agent identified below. (Agent) (Agent Phone) If you rent your unit, you should continue to pay your monthly rent to your landlord because failure to pay rent and meet your obligations as a tenant may be cause for eviction and loss of relocation assistance. You are urged not to move or sign any agreement to purchase or lease a unit before receiving formal notice of eligibility for relocation assistance. If you move or are evicted before receiving such notice, you will not be eligible to receive relocation assistance. Please contact us before you make any moving plans. 55B-39 If the Displacing Agency acquires the property and you are eligible for relocation assistance, you will be given advisory services, including referrals to replacement housing, and at least 90 days advance written notice of the date you will be required to move. You would also receive a payment for moving expenses and may be eligible for financial assistance to help you rent or buy a replacement dwelling. Any person aggrieved by a determination as to eligibility for, or the amount of, a payment authorized by the Displacing Agency's Relocation Assistance Program may have the appeal application reviewed by the Displacing Agency in accordance with its appeals procedure. Complete details on appeal procedures are available upon request from the Displacing Agency. Note that pursuant to Public Law 105-117, aliens not lawfully present in the United States are not eligible for relocation assistance, unless such ineligibility would result in exceptional hardship to a qualifying spouse, parent, or child. All persons seeking relocation assistance will be required to certify that they are a United States citizen or national, or an alien lawfully present in the United States. Again, this is not a notice to vacate and does not establish eligibility for relocation payments or other relocation assistance. If the Displacing Agency decides not to purchase the property, you will be notified in writing. If you have any questions about this or any other relocation issues, please contact me at the address and the phone number below. Sincerely, Ron Wicks Project Manager Epic Land Solutions, Inc. Received by Recipient's Signature Date Delivered on/by: Posted on/by: / Mailed/receipt received on: / 55B-40 EXHIBIT C Non - Residential Interview Form Page127 RELOCATION PLAN Bristol Street Phase 4 Project Non -Residential Interview Form ❑ Owner ❑ Tenant ❑ Owner/Occupant Interviewer: Street Address: Project Name: Bristol Street Widening Phase IV between Warner Ave. & St. Andrew Place Property Owners: Parcel Number: Displacee: Case Number: Relocation Company: Epic land Solutions, Inc. Unit Number: _ City: Zip: Date of Interview: Business Occupancy Survey 1. 2. Primary Language Spoken in business: English ❑ Spanish ❑ Korean ❑ Other: 2a. In what language, other than English, do you request written material be submitted to you? Spanish ❑ Korean ❑ Other: 3. Position with Business (Check all that apply): Owner ❑ Business Manager ❑ Employee ❑ Other: vcuci ai uiivi uia uvu 4. Legal Business Name I'NIP DVd; ll'. NT' t'Onik naam e a�iilll11 Ilea Rlwad for Caw (11 ln ilill aaon s II s k s (as ` pa� ve" ) a.r., a<h ecllon an 11111 11 nr maaada oR1I io I e naam e allaI I n#sacra I h k 11i aae Q dJ r®' ainaallbe ruare I un IliianIad to as COneallbuan# aacu sauaaat aaand Can IlnrcaarOnrd° 5. Doing Business As (DBA): DBA registered? Yes ❑ No ❑ 6. Mailing Address (if different from street address, above): City: 7. Phone No: Cell: Fax No: Email Zip: 8. Type of Business (Check all that apply): Retail ❑ Manufacturing ❑ Service ❑ Wholesale ❑ Other: 9. What is the business structure of your company? 9a. Sole Proprietorship ❑ Partnership ❑ Corp ❑ Franchise ❑ Non -Profit ❑ LLC ❑ 9b. Do you have any of the following? Federal Tax Identification Number ❑ Business License ❑ Non -Profit Tax Exempt Status ❑ If so, what is the #? 9c. Federal Taxpayer Identification Number[:][:]-[:][:][:][:][:] Social Security Number Initials of Respondent: Initials of Interviewer Page 1 of11, Non -Residential Survey/Interview 55B-42 08114 10. Who are the owners s of the business and how can they be reached? (Write down names of all owners beginning with the primary contact person): Name Phone Number 11. Business Manager 11a. Business Manager Phone No: Fax No: Email: O erations 12. Describe your business and the goods and/or services that you provide: 13. How long have you been operating this business? Years Months 14. How long have you been at this location? Years Months 15. Where were you previously located? How long? 16. Do you have any additional locations for this business? Yes ❑ No ❑ 17. Do you have another or other business(s) located elsewhere? Yes ❑ No ❑ 17a. If so, where? 18. What are your normal business hours and days of operation (Check days, write in hours) Day Open Close Monday Tuesday Wednesday Thursday Friday Saturday Sunda 19. How many employees do you have? Full Time Part Time Initials of Respondent: Initials of Interviewer. Page 2 of 11, Non -Residential Survey/Interview 55 B-43 08114 20. How do most of your customers get to your business (Fill in estimated %) Car Walk % Other (specify) 21. Where do most your customers come from (neighborhood, community, area)? 21a. What percentage of your business, if any, is from the internet? 22. Additional comments: Current Facility (Physical Features 23. Site 23a. Total land area square footage 23b. Parking square footage 24. Buildings/Outside Work Areas 24a. Sales sf 24b. Office sf 24c. Warehouse sf 24d. Manufacturing sf (workshop) 24d. Yard sf 24e. Other (specify) sf for 24f. TOTAL sf sf % Bus % sf or approximate number of parking spaces 25. How many parking spaces does the business have? (write in number) 26. Does your business have special zoning requirements, e.g. a conditional use permit? Yes ❑ No ❑ 26a. Does you business have a valid liquor license? Yes ❑ No ❑ 26b. If yes to either a or b above, please explain: Financial Information 27. Do you Lease or Own the land/building? (Check appropriate column) Own Lease No. Years No. Months Land Building (s) Initials of Respondent: Initials of Interviewer. Page 3 of 11, Non -Residential Survey/Interview 55 B-44 O8114 28. Ownership 28a. Are you the sole owner of the property? Yes ❑ No ❑ 28b. Are there lien holder(s) on this property? Yes ❑ No ❑ 28c. If so, please identify lien holder(s): Name of Lien Holder Address Phone No. 28d. Do you lease a portion of the property? Yes ❑ No ❑ 28e. If so, what are the names of the businesses and owners? (Write names of all businesses and owners): Name of Business and Owners Approx. Sq. Pt. Lease Termination Date 29. Leasing (Tenants) 29a. If you lease the land, what is your current monthly lease payment $ 29b. If you lease the building, what is your current monthly lease payment $ 29c. Total monthly lease? $ 29d. Do you have a Lease Agreement: Yes ❑ No ❑ Can you provide me a copy: Yes ❑ No ❑ 30. What type of lease do you have? Percentage Sales ❑ Other (specify): Triple Net ❑ Gross Lease ❑ 30a. When does you lease end? (write in month/day/year) 30b. Do you have any option to extend the lease? 30c. Are there residents living on the premises? 30d. Do you sublease to others? Yes ❑ No ❑ Yes ❑ No ❑ Yes ❑ No ❑ Initials of Respondent: Initials of Interviewer. Page 4 of 11, Non -Residential Survey/Interview 55 B-45 08114 30e. If you do sublease, what are the names of the businesses and owners? (Write names of all businesses and owners): Name of Business and Owners Approx. Sq. Ft. Lease Termination Date Equipment & Invnnto 31. Do you know the replacement value of your personal property, which includes both inventory and equipment? No ❑ Yes ❑ Value: $ 32. Equipment - What equipment do you own and/or lease; are there liens on any of this equipment; what equipment do you intend to move? Use additionalpaper if necessary.GDaronno�i,DuaIlb.e.Nd...tal.uuii„p,u„p,itpp,;I...isf..P°."....II„pt...�.t:P:.?4.d„14.1':p, ITEM (Movable Fixtures, Equipment, Inventory, Other Personal Property) "d r;Item (?iest line s are "e'....prNi"21L�...a7d 1y, siatt with lter'q additional pages as needed) Sag 1 of. T � Item Verification (Check all that a and are apply applicable)Inoperable Item Status (check one) Move Intention (check one) Operable/ in use Item etevd from offsite storage c 3 O � y m J c d J To be moved Not to be moved i `� l` oo L wear Y doo < < o!r (1) 1 x ;,) x Il ] do( , no, n (rdlon i1W I I i1`, �)I`II I I II I I)`, A I )I /+II'',I X X X X 1 I Pu < < rh aver l Ill(; I,lov( Ilt,'t o ily 0h 'd (Al n n n i`iuin girlld Is a°on iunaucd on unvit I Initials of Respondent: Initials of Interviewer. e. Page 5 of 11, Non -Residential Survey/Interview 55 B-46 08114 ITEM (Movable Fixtures, Equipment, Inventory, Other Personal Property— C(IIIIHIlUed fircini IlsireviiciU a'i'") T a Item Verification (Check all that a and apply are applicable) Item Status (check one) Move Intention (check one) tem Operable/ in use Item noperable - retrieved from offsite storage 3 O ccL � d _j To be moved Not to be moved Initials of Respondent: Initials of Interviewer.. Page 6 of 11, Non -Residential Survey/Interview 55 B-47 08114 33. Do you have documentation showing you own the F & E and/or Trade Fixture? Yes ❑ No ❑ Copies available ❑ Not Available ❑ I will prepare copies ❑ by (date) 34. Did you install any of the fixtures that are attached to the building: Yes ❑ No ❑ 34a. If so, do you have documentation showing you paid for the work: Yes ❑ No ❑ 34b. Can you provide a replacement value (supporting by receipts) of the fixtures that are attached to the building? No ❑ Yes ❑ Value: $ 34c. What fixtures that are attached to the building did you install? Are there liens on any of these fixtures? Which of these fixtures that can be detached and moved do you intend to move? Use additional paper if necessary rthj!p,ra lupb2.(...(.ii..".�.p1.9:.e."i..P:f..Pl.".�...Ilpe...v.(':Plifl�(':d., ITEM Fixtures that are attached to the building (Hest 2 lines are exaru 2jg2 + 221y, ;!+tact with Bern #1 an line .? .... Use additional pages es as needed) z .eke "T tl�' ................... r 7 a Item Verification (Check all that apply and are applicable) Move Intention (if fixtures can be moved) 3 O d J d s m d a O Yes No I JMdk in ('oo r 'vilh ( ool n( lit,nn'u r11rrr(d) u ;u Neill - in 1,100) OV s'Jovr r✓ it(.nn'u 1,110'pd) 2 to ru ;u Initials of Respondent: Initials of Interviewer. Page 7 of 11, Non -Residential Survey/Interview 55 B-48 08114 35. Inventory - What months of the year do you have the least inventory and the most inventory? (Check all that apply) Month Least Inventory Most Inventory Month Least Inventory Most Inventory January July February August March September April October May November June December 36. Hazardous Materials — Are you aware of any hazardous material such as dry cleaning fluids, coolants, motor oil, etc.? Yes ❑ No ❑ 36a. If you have hazardous material, how do you deal with the following? Disposal: _ Emissions: Handling: Storage: Re lacement Site Requirements 37. Do you plan to relocate and continue your business at a new site? Yes ❑ No ❑ 38. Do you plan to enter new market, i.e., expand your product line after the move? Yes ❑ No ❑ Undecided ❑ 39. Are you currently working with a real estate agent or attorney? Yes ❑ No ❑ 39a. If yes, what is the name of the agent/attorney; his/her phone number and the company for whom they work 40. Have you identified and/or obtained a replacement site? Yes ❑ No ❑ 40a. If yes, please provide the owners name and address of site: 40b. If yes, what is the square footage? sf. 41. Do you have a preferred area or site where you would like to relocate to? Yes ❑ No ❑ 41a. If yes, where is the area and/or site? 42. Do you have an alternate choice for a preferred area and/or site if your first is not available? Yes ❑ No ❑ 43. If you have an alternate site, why did you choose that site? Initials of Respondent: Initials of Interviewer. Page 8 of 11, Non -Residential Survey/Interview 55 B-49 08114 44. Which of the following location/access requirements are important? (check all that apply) Near airport ❑ Near public transportation ❑ Near railroad line ❑ Near major truck route ❑ Sidewalk access ❑ High visibility site ❑ Other: 45. At the replacement site, how much square footage do you anticipate will be required for the various components of your business: 45a. Sales sf 45b. Office sf 45c. Warehouse sf 45d. Manufacturing sf (workshop) 45d. Yard sf 45e. Other (specify) 45f. TOTAL sf for sf 46. What type of shipping and receiving accommodation do you need? Docks ❑ RR Spur ❑ Designated Load/Unload ❑ Other (specify) 47. Do you depend on trucks for your business? Yes ❑ No ❑ 47b. What is the size of your largest truck? Length ft width ft 47b. Do your trucks need special turn -around space? Yes ❑ No ❑ 47c. Do you need space for semi-trailer/tracks? Yes ❑ No ❑ 47d. Where do you need access: Front of business ❑ Rear of Business ❑ Both ❑ Other (specify): 48. What are your current/expected future electrical power needs? (please be as specific as possible) 49. What are your current/expected future HVAC needs? (please be specific) 50. How much parking will you need? (please be specific) 51. What additional needs will your business require in the new location (e.g., utility needs, equipment, etc)? Initials of Respondent: Initials of Interviewer. Page 9 of 11, Non -Residential Survey/Interview 55 B-50 08114 Referrals 52. Have you thought about how long it will take you to vacate this location? No ❑ Yes ❑ Time required: 52a. What specialist(s) will be required to execute the move? 52b. Would you care to share some of those ideas or concerns with as? 53. Do you need assistance with permits and/or license? Yes ❑ No ❑ Maybe ❑ 53a. Can you provide the Agency with copies of any licenses or permits: Yes ❑ No ❑ 54. The Agency's relocation program reimburses for certain expenses. What financial sources will you use to pay for relocation expenses, subject to reimbursement? ❑ Cash ❑ Bank ❑ Other: 55. Do you have any special needs and/or disability? Yes ❑ No ❑ 55a. If yes, please explain: 56. What is your most immediate concern at this moment? Initials of Respondent: Initials of Interviewer. Page 10 of 11, Non -Residential Survey/Interview 55 B-51 08114 Permits, Insurance, Advertisin 57. What types of permits do you have? Type of Permit Required for: (type of equipment or nature of material stored, used or sold) Issued by [what agency]: Current? Y N Hazmat Permits 58. What types of insurance do you have (ex: fire, liability, workers compensation, business interruption, etc.)? dates: 59. Advertising: Yellow Page Ad ❑ Cable TV ❑ Other ❑ 60. Obsolete Stationery: Letterhead ❑ approx. number Business cards ❑ approx. number Ads (brochures/fliers) ❑ approx. number —11 Tax Credits/Enterprise Zone (Ilare'viiale ' Inn IpIle 'c elf cachj 61. Describe any tax credits or Business Enterprise Zone benefits you are currently receiving: 62. All of the above information I have given is true and accurate to the best of my knowledge: Name of Respondent (Print) Title of Respondent Signature of Respondent Date Interviewer/Relocation Consulting Agent (please print then sign) Date Epic land Solutions, Inc. Relocation Consulting Firm DDITIONAL PAGES ATTACHED Yes ❑ No❑ Page 11 of11, Non -Residential Survey/Interview 55B-52 08114 EXHIBIT D Residential Interview Form RELOCATION PLAN Bristol Street Phase 4 Project Page128 Residential Interview Form ❑ Tenant ❑ Owner/Occupant dnquilino Propietario-oeupante Interviewer: 1. Name of (occupant) respondent:, 1. Nombre del enn-evistado: 2. Name of Head of Household (if not respi 2. Nombre del jefe de familia (si no es el enn'eviatado): Project Name: Bristol Street Widening Phase IV between Warner Ave. & Andrew Place Property Owners: Parcel Number: Displacee: Case Number: 3. Street Address: 3. Domicilio: City: Zip: Ciudad: Postal: 4. Telephone Number(s) of Residence: 4. Numero(s) de tel�fono de la resideneia: b. Work-4: ( ) b. Tralula 5. Email: 5. Con-eo elect-onico e. Other#:( C. Onro 6. Name of Property owner (if not the same): 6. Nombre del propietario (si no es el miamo que el enn-eviatado) 7. Property owner's telephone: Z Telefono del propietario Household Composition Date of Interview: Unit:_ Unidad: a. Cell#: a. Celular: Names of/U.C. uduh� ruust'bc u1s 0Iicy sIppculr wl I D 0Iiut s110 cs and will be used to cash benefit checks (Submit copies ofI.D. ASAP) 8. Number of family members occupying residence: a. # of adults: b. go f children: 8. Cantidad de miembros de familia que ocupan el hogar: a. Ode adultoa: b. #de menores: 9. Do other families ❑ or individuals❑ occupy this residence: Yes❑ No❑ a. If so, bow many?: 9. Hay on -as familial o individuos que viven en el hogar?: a. Si to hay, euantoa? 10. Number of members of second family: 10. Cantidad de miembros en la segunda familia. 11. Number of members of third family: 11. Cantidad de miembros en la ter sera familia: a. Name of bead of second family: a. Nombre del jefe de la segunda familia: a. Name of third family: a. Nombre del jefe de la ter sere 12. Total number of people living in residence: 12. Cantidad total de personas viviendo en el hogar: Initials of Respondent (iniciales del entrevistado): Page 1 of 8, Residential Survey/lnterview 55B-54 Initials of Interviewer. rev.09115 Household Composition cont'd 13. Primary nationality: Caucasian❑ 13. Nacionalidad Japanese❑ 14. Primary language spoken: 14. ldioma principal: Hispanic❑ African -American❑ Chinese❑ Korean❑ American Indian❑ Other: a. Will an interpreter be needed: Yes❑ No❑ a. Sera necesarto ohtener un inteiprete? 15. Does someone in the household understand and speak English?: Yes❑ No❑ a. Name: 15. Alguna persona en el hogar entiende y hahla ingles? a. Nomhre de la persona gue hahla ingles: 16. Are there individuals with disabilities living in the household(s): Yes No❑ 16 Hay miemhro(s) del hogar gue Henen discapacidadea fiaicas? a. Please describe disability: a. Por favor descriha la discapacidadea fiaicas? b. Is this a work -related disability (did it happen on your job): Yes❑ No❑ h. Eata discapacidad ocur i6 o eat6 relacionada con su trahajo? 17. Types and number of pets in household: 17. Cantiidad y tiipo de maaeotm gue se encuenb,an en el hogar: JLength of Occu ane 18. Is this your primary residence? Yes❑ No❑ 18. Es esta su vivienda principal? 19. How long have you lived at this address? Years _ Months_ a. Date of original occupancy: 19. Cuarto Hempo ha vivido en esta direcci6n9 Anos Meses a. Fecha en gue ocupo la vivienda: 20. How long have you live in the area? Years Months 20. Cuanto fiempo ha vivido en esta area ? Anos Meses JProperty Description 21. What type of dwelling do you occupy: Single family residence❑ Condominium❑ Duplex❑ Mobile home❑ 21. Que Hpo de vivienda ocupa: 3-4 unit apartment❑ 5+ unit apartment❑ Rooming house❑ Hotet/motel❑ Other 22. Dwelling rooms/ facilities (number): 22. Hahitacionea/instalacionea hdsicas (cantiidad): Bedrooms Living Room Hahitaeiones Comedor Bahoano B Kitchen Cocina Dining Room Sala Garage Gmraje Additional Comments: Family Room Cuarto Familiar Den Ante Sala Utility Room Cuarto de utiilidades Storage Almacen Parking Other Estacionamiento otro Total Number of Rooms Cmaidad total de martos 1;111caoavrofi,a,iaaraaaa:arargaa.l.:rIVaalaraartBqa„asarrrsm;i;ads°ett N„ e aasade^ ed �a� �f ark the s^rrom ar ease /far 1paa) aes ��' c alculdaang 22 aaah )Zgrmeaarta. Initials of Respondent (iniciales del entrevistado): Initials of Interviewer:_ Page 2 of8, Residential Survey/Interview 55B-55 rev.09115 jProperty Description cont'd 23. Appliances/ other items in dwelling (list items by ownership): 23. Aparatos electrodomeaficoa u otroa aparatoa en la vivienda (ponerloa en orden de posest6n): Tenant: Inguilino: Owner: _ Propietarto: 24. How many separate structures are on the property that people are living in? 24. Cuantm eab-uctaraa separadm Rene la propiedad y gue eatan siendo hahitadas? Renters Information Waarvlea n iianoruao°Oiiowa : ff du,,llndacee un aalko 0ie Ijjwoll era y manager, Ilalleaw wdk apuaes9u¢iwa 11p..55 on (page 5 25. Do you have a lease? Yes❑ No❑ a. When does the lease end? 25. Tiene un conn-ato de renta? a. Cuanto se final La el conn-ato 9 b. Whose name is on the lease? h. A nomhre de guien esta el eonPwto de yenta? 26. Name of the individual primarily responsible for paying the rent: 26 Nomhre de la persona gue se encarga de pagan la renta? 27. Name of other individuals, family members, or heads of household who contribute to the rent: 27. Nomhre de miemhroa de familia, jefe de familia u otras persona gue eonb-ihuyen al pago de la renta: 28. Monthly Rent: $ 29. What utilities are included in your rent: Gas❑ Electricity❑ Water❑ 28. Menmalidad 29. Que utiilidades est m ineluidads en la yenta? a. Deposit amount:$ a. What do you pay for utilities that are not included in your rent: $ a. Canfidad de dep6sito I a. Cuanto pago por Im utiilidades gue no estan ineluidm en su renta? 30. Does anyone in the household receive a rent subsidy: Yes❑ No❑ 30. Alguna persona en el hogar recihe aaistencia para la vivienda? a. What type of rent subsidy? Section 8 voucher❑ Other: a. Que claw de aaistencia para la vivienda recihe? Secci6n 8 u otra? b. Are you, or anyone in your household related to the owner of the property or property manager? Yes❑ No❑ h. Usted o alguien en su familia esta relacionado con el dueho de la propiedad o el manejador? If so, what is the relationship?: St es asf, cual es su relaei6n? Owner/Occu ant Information 31. Is there a mortgage on the home?: Yes❑ No❑ a. If so, how much is the monthly payment: $ 31. Tiene usted ma hipoteca o prestamo sobre su hogar? a. Cuanto es la mensmlidad de su hipoteca o prestamo? b. Mortgage origination date: c. Current balance: $ d. Interest rate: % h. Fecha en gue se origino su hipoteca o preatamo? c. Balance o cantiidad gue dehe: d. T= de interea: e. Type of loan: Fixed❑ Variable❑ VA/VET❑ FHA❑ Other: f. # of payments left:_ e. Tipo de preatamo: Fijo Paiiahle 017,0 f. Canfidad de pagoa restantes Initials of Respondent (iniciales del entrevistado): Initials of Interviewer:_ Page 3 of 8, Residential Survey/Interview 55B-56 rev.09115 Owner/Occu ant Information cont'd 32. Do you rent a portion of the property to anyone else? Yes❑ No 32. Renta una porci6n de la propiedad a alguna otra persona? a. For a: Business❑ Storage❑ Residence❑ a. Para: Negocto Almacenmuento Hosped4e b. Are any of these tenants related to you or any member of your immediate household? Yes❑ No❑ h. Algunos de estoa inquilinos esta relacionados con usted o algun miemhro inmediatoa de su familia? If so, what is the relationship? St es an; cual es la relaci6n? c. If the answer to 32 is yes, what structure do they share or occupy? Main house or Bldg. ❑ Garage❑ Trailer❑ c. Si ha respondido "si" en la 432, que estmetura ocupan o comparten? La Casa principal o edifice El garaje Casa m6vil Other: otro d. If you live in a single family house or other unit on this property, do you rent any portion of that house or that unit to tenants? Yes❑ No❑ d. St usted vive en una casa o alguna otra unidad en esta propiedad, la renta alguna porci6n de eaa casa o eaa unidad a inquilinos? e. If the answer to 32d is yes, please fill in the table below. e. St la respuesta a la pregunta 32d es si, favor de Ilenar la tahle siguiente. Use this section for tenants occupying the same sin le family house or unit that the owner owns and occupies. Tenant Names (Check box if tenant is related to you) First date of Occupancy Rental Rate (monthly) Utilities paid by Furniture owned b Owner Tenant Owner Tenant 1. ❑ 2. ❑ 3. ❑ Do you have leases with any of the tenants? Yes❑ No❑ (.�fy. f NI`5n.�xplain1Iu3f�t�will Tl��dcopi�(A,11�I as 5} Business Use in Residence 33. Do you run a business out of your home? Yes❑ No❑ 33. Tiene usted un negocio que opera denb-o de la casa? a. Is there a room [or garage] specifically set aside for ONLY this business? Yes❑ No❑ a. Hay una hahitaci6n designada especificamente para este negocio? Interviewer instructions: If the displacee plans to keep the "business" in their residence when they move into their replacement property, the Agency will pay the additional costs associated with moving that equipment. But it will be treated as a residential case with added moving and possible "set-up" costs. In situations where it is a more complicated business [ex. a built -out recording studio] and/or the displacee wishes to move it elsewhere, it can be considered as a separated business relocation. In these situations, the displacee needs to understand the concept of a "carve -out", which might reduce their residential PPD or RAP payment. After this is explained, ask question b. below. b. If so, do you plan to keep this business in your replacement residence? Yes❑ h. St es an; usted planea continuer su negocio en su vivienda de remplazo? Initials of Respondent (iniciales del entrevistado): No ❑ Initials of Interviewer. Page 4 of8, Residential Surveyflnterview 55B-57 rev.09f15 Income Information 34. Primary and secondary sources of household income: Employment (full time) ❑ (part time) ❑ 34. Fuente de ingresos pimaiios y secundarios: Empleo (tiiemo completo) (media tiiempo) Retirement pension❑ Social Security❑ Public assistance (welfare) ❑ Unemployment❑ Food stamps❑ Pension de rettro Segura Social Asigtenciapuhlica Desempleo Egtampillae de comida SSI❑ Workers Comp. ❑ Child support ❑ Other family subsidy (including alimony)❑ Segura Social Suplemental Compeneaci6n del trahajador Sostenimiento al niho Ob-og guhgidio familiar (incluyendo agigtencia de divorcio) Other: Otero: 35. Combined monthly income of household BEFORE taxes: Under $5000 $500-$999❑ $1,000-$1,499❑ 35. Ingresos comhinados menauales ANTES de impuestog: $1,500-$1,999❑ $2,000-$2,499❑ $2,500-$2,999❑ $3,000-$3,499❑ $3,500-$3,999❑ $4,000+0 36. Do you get rental income from this property? Yes❑ No❑ 36. Ohnene usted algun ingreso de renta de su propiedad/viviendcO Trans ortation & Education 37. Distance to household member's place of work: Head of household: (_Miles) C- Minutes) 37. Distaneia de su hogar a su lugar de trah4o: .1efe de familia millag minutos Other member of household: Obvg miemhros de su hogar: (_Miles) ( Minutes) (_Miles) ( Minutes) (_Miles) ( Minutes) 38. The three principal means of transportation used by your household members, indicate order most used (1,2, etc.) 38. Los b-eg medios de b ansporte principal usado por log miemhros de familia, indigue el orden de ago mks fi-ecuente. 1 giendo el mks usado. Bicycle_ Bus_ Car_ Metro_ Ride with others_ Walk_ (# of cars in household)_ Bicicleta Autohug Cantu Pageo con on,og Caminar Cantiidad de autos en la familia 39. K-12 Schools attended: 39. Escuela de kinder a secundarta que anende: 40. Primary transportation to and from school(s): Bicycle❑ Bus❑ Car❑ Metro❑ Ride with others❑ Walk❑ 40. Transporte principal gue usa hacia y de regreso de su escuela(s): 41. College attended:_ 41. Universidad o eolegios gue 42. Primary transportation to and from college: Bicycle❑ Bus❑ Car❑ Metro❑ Ride with others❑ Walk❑ 42. Transporte pincipal gue usa hacia y de regrego de la Universidad o colegio: Initials of Respondent (iniciales del entrevistado): Initials of Interviewer. Page 5 of8, Residential Survey/lnterview 55B-58 rev.09115 Re lacement Housing Preferences 43. If you choose to stay in this neighborhood is it because: 43. Si desea guedarge denb-o de su misma m ea o vecindario indiguenos porgue? ( Indicate preference: 1,2,3, etc. - number 1 being the most important) (Indigue la importancia de la raz6n, 1 stendo el mks importante) My job is nearby: _ Convenient to shopping: _ Close to schools: _ Close to church: Mi 17'ah4o esta cercano: Conventencia de Hendas: Cerca de escuelag: Cerca de la iglesia: My friends and relatives are nearby: Public transportation availability: Other: Cerca de mis fanuliares o amigos: Disponibilidad de bransportacikn publica: 017,0,9: 44. If not this neighborhood, what other areas or cities would you prefer? Please list in order of preference. 44. Si no en esta m ea o vecindario, en gue otrag ciudades preferiria vivir? Por favor indigue en orden de preferencia. 1) 2) 45. Would you prefer to: Rent❑ Bay❑ 45. Prefiere usted: Rentar Comprar 46. Are you aware of the programs available to assist first time buyers with the purchase of a home? Yes ❑ No❑ 46 Egta usted enterado de log programag disponibles para agistir a lag personas gue compran caga por primera vez? 47. What type of property would you like to move into? House Apartment❑ Duplex❑ Mobile borne❑ 47. A gue Hpo de propiedad prefiere moverge? Rooming house❑ Condominium ❑ Other❑ 48. Would the entire household move together as the unit is now comprised? Yes No❑ 48. Se moverian log integrantes de la vivienda en la misma manera en gue estkn compuestog? If no, please explain: Expligue porgue no: Question for Tenants who are Employed as Resident -Mangers on the Dis lacement Pro er 49. My responsibilities as manager include: Collecting rent ❑ Maintenance❑ Security❑ 49. Mis responsabilidades como manejador incluyevc Coleccikn de rental Mantenimiento Seguridad 50. My job managing this property is a full-time job, or my only job? ................................................... Yes❑ No❑ 50. Mi posict6n como manejador de la propiedad es un trabajo completo, o mi unico trah4o? 51. I have a written agreement or lease with the owner/management co. with regard to these duties. Yes No❑ 51. Yo tengo un conn ato por escrito con el dueno manejador relacionado con la compensacikn por mis obligaciones. 52. How are you compensated for your work as the property manager for this property? (check all that apply) 52. Como es compengado por su trabajo de manejador de esta propiedad? ❑ I am paid a salary of $ /month Mi pago es un salarto de $ al roes ❑ I receive a reduction in the monthly rental of my unit; my rent is $ /month Yo recibo una reducci6n en mi renta menmal de mi unidad, mi renta es $ al Ines Initials of Respondent (iniciales del entrevistado): Initials of Interviewer. Page 6 of8, Residential Survey/Interview 55B-59 rev.09115 Household Occupant 53. Occupant Grid: Note: Names for ALL adults MUST be as they appear on I.D. that shows signature and will be used to cash benefit checks. (Submit copies ofLD. as soon as possible) NAME RELATIONSHIP EMPLOYMENT STUDENT Nombre (to head of household) Empleo Estudiante Parentesco Begin with Heads of Household (HOH)- circle groups of numbers to indicate separate families: 4 John Smith 5 Ana Smith = m 6 Alex Smith 3 — o � 7 Bob Gates a 8 Kim Gates oa am - O S 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Initials of Respondent (iniciales del entrevistado): Initials of Interviewer. Page 7 of 8, Residential Survey/Interview 55B-60 rev.09115 [Additional Comm __l,. uuiu�uai Comm 54. Is there anything that you would like to tell us about the property or the occupants? 54. Hay algo mks gue le gustaria deesnos sohre la propiedad o los ocupantes? All of the above information I have given is true and accurate to the best of my knowledge: Toda is information proveido es verdadera y exacta de acuerdo a mi mejor conocimiento: Name of Respondent (print name) Nomhre del Enb-evistado (letra de molde) Name of Respondent (print name) Nomhre del Enb-evistado (letra de molde) Signature of Respondent Firma del Enb-evistado Signature of Respondent Firma del Enb-evistado Interviewee has cooperated in the interview, but refused to sign above ❑ Interviewee refused to be interviewed ❑ Date Fecha Date Fecha Information submitted has been provided by others: Neighbors❑ Other relatives❑ Relocation Agent❑ Interviewer/Relocation Consulting Agent (please print then sign) Epic land Solutions, Inc. Relocation Consulting Firm Date ADDITIONAL PAGES ATTACHED Yes ❑ No❑ Page 8 of8, Residential Survey/Interview 55B-61 rev.09115 EXHIBIT E Non- Residential Brochure RELOCATION PLAN Bristol Street Phase 4 Project Page129 55B-63 Introduction In building a modern transportation system, the displacement of a small percentage of the population is often necessary. However, it is the policy of the City that displaced persons shall not suffer unnecessarily as a result of programs designed to benefit the public as a whole. Displaced individuals, families, businesses, farms, and nonprofit organizations may be eligible for relocation advisory services and payments. This brochure provides information about available relocation services and payments. If you are required to move as the result of the City's project, a Relocation Agent will contact you. The Relocation Agent will be able to answer your specific questions and provide additional information. 1 55B-64 Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 as Amended "The Uniform Act" The purpose of this Act is to provide for uniform and equitable treatment of persons displaced from their business, farm or non- profit organization, by federal and federally assisted programs and to establish uniform and equitable land acquisition policies for federal and federally assisted programs. 49 Code of Federal Regulations Part 24 implements the "Uniform Act" in accordance with the following relocation assistance objective: To ensure that persons displaced as a direct result of federal or federally -assisted projects are treated fairly, consistently and equitably so that such persons will not suffer disproportionate injuries as a result of projects designed for the benefit of the public as a whole. z 55B-65 While every effort has been made to assure the accuracy of this booklet, it should be understood that it does not have the force and effect of law, rule, or regulation governing the payment of benefits. Should any difference or error occur, the law will take precedence. This booklet is provided for informational purposes only and does not constitute a determination of eligibility for relocation benefits. It describes the relocation payments and other relocation assistance provided under the Uniform Act to displaced businesses, nonprofit organizations and farms. This includes any such occupant that moves from real property, or moves personal property from real property, as a direct result of rehabilitation, demolition or acquisition for a public project. If you are notified that you will be displaced, it is important that you do not move before you learn what you must do to receive the relocation payments and other assistance to which you are entitled. This brochure provides information about available relocation services and payments. If you are required to move as the result of the City's project, a Relocation Agent will contact you. The Relocation Agent will be able to answer your specific questions and provide additional information. This booklet may not answer all of your questions. If you have more questions about your relocation, contact the City's representative responsible for the project. Ask your questions before you move. Afterwards, it may be too late. 3 55B-66 Relocation Services The City has two programs to aid businesses, farms and nonprofit organizations which must relocate. These are: 1. The Relocation Advisory Assistance Program, which is to aid you in locating a suitable replacement property, and 2. The Relocation Payments Program, which is to reimburse you for certain costs involved in relocating. These payments are classified as: • Moving and Related Expenses (costs to move personal property not acquired). • Reestablishment Expenses (expenses related to the replacement property). • In -Lieu Payment (a fixed payment in lieu of moving and related expenses, and reestablishment expenses). Note: Payment for loss of goodwill is considered an acquisition cost. California law and the federal regulations mandate that relocation payments cannot duplicate other payments such as •••• You will not be eligible to receive any relocation payments until the City has actually made the first written offer to purchase the 0 55B-67 property. You will also receive at least 90 days' written notice before you must move. Some Important Definitions... Your relocation benefits can be better understood if you become familiar with the following terms: Business: Any lawful activity, with the exception of a farm operation, conducted primarily for the purchase, sale, lease and rental of personal or real property, or for the manufacture, processing, and/or marketing of products, commodities, or any other personal property, or for the sale of services to the public, or solely for the purpose of this Act, and outdoor advertising display or displays, when the display(s) must be moved as a result of the project. Small Business: A business having not more than 500 employees working at the site being acquired or displaced by a program or project. Contributes Materially: A business or farm operation must have had average annual gross receipts of at least $5,000 or average annual net earnings of at least $1,000 during the two taxable years prior to displacement, or the business contributed at least 33 1/3 percent of the owner(s)' gross income in each of the two taxable years prior to displacement. s 55B-68 Displaced Person or Displacee: Any person who moves from real property or moves personal property from real property as a result of the acquisition of the real property, in whole or in part, or as the result of a written notice from the City to vacate the real property needed for the project. In the case of a partial acquisition, the City shall determine if a person is displaced as a direct result of the acquisition. Residents not lawfully present in the United States are not eligible to receive relocation payments and assistance. Farm Operation: Any activity conducted solely or primarily for the production of one or more agricultural products or commodities, including timber, for sale and home use, and customarily producing such products or commodities in sufficient quantity to be capable of contributing materially to the operator's support. Nonprofit Organization: A public or private entity that has established its nonprofit status under applicable law. MOVING EXPENSES WE ARI MOVING 0 55E3-69 If you qualify as a displaced business, farm or nonprofit organization, you are entitled to reimbursement of your moving costs and certain related expenses incurred in moving. To qualify you must legally occupy the property as the owner or lessee/tenant when the City initiates negotiations for the acquisition of the property OR at the time the City acquires title or takes possession of the property. However, to assure your eligibility and prompt payment of moving expenses, you should contact your Relocation Agent before you move. You Can Choose Either: Actual Reasonable Moving Costs - You may be paid for your actual reasonable moving costs and related expenses when a commercial mover performs the move. Reimbursement will be limited to a move of 50 miles or less. Related expenses, with limitations, may include: • Transportation. • Packing and unpacking personal property. • Disconnecting and reconnecting personal property related to the operation. • Temporary storage of personal property. • Insurance while property is in storage ortransit, or the loss and damage of personal property if insurance is not reasonably available. • Expenses in finding a replacement location ($2,500 limit). 55B-70 • Professional services to plan and monitor the move of the personal property to the new location. • Licenses, permits and fees required at the replacement location. •2 Self -Move Agreement - You may be paid to move your own personal property based on the lower of two acceptable bids obtained by the City. Under this option, you will still be eligible for reimbursement of related expenses listed above that were not included in the bids. •W In -Lieu Payment — A small business may be eligible to accept a fixed payment between $1,000 and $40,000, based on your annual earnings IN LIEU OF the moving cost and related expenses. Consult your Relocation Agent for more information about this option. Actual Reasonable Moving Costs You may be paid the actual reasonable and necessary costs of your move when a professional mover performs the move. All of your moving costs must be supported by paid receipts or other evidence of expenses incurred. In addition to the transportation costs of your personal property, certain other expenses may also be reimbursable, such as packing, crating, unpacking and uncrating, and the disconnecting, dismantling, removing, reassembling, and s 55B-71 reinstalling relocated machinery, equipment, and other personal property. Other expenses such as professional services necessary for planning and carrying out the move, temporary storage costs, and the cost of licenses, permits and certifications may also be reimbursable. This is not intended to be an all-inclusive list of moving related expenses. Your Relocation Agent can provide you with a complete explanation of reimbursable expenses. Self -Move Agreement If you agree to take full responsibility for all or part of the move of your business, farm, or nonprofit organization, the City may approve a payment not to exceed the lower of two acceptable bids obtained by the City from qualified moving firms. A low-cost or uncomplicated move may be based on a single bid or estimate at the City's discretion. The advantage of this moving option is the fact that it relieves the displaced business, farm, or nonprofit organization operator from documenting all moving expenses. The City may make the payment without additional documentation as long as the payment is limited to the amount of the lowest acceptable bid or estimate. Other expenses, such as professional services for planning, storage costs, and the cost of licenses, permits, and certifications may also be reimbursable if determined to be necessary. These latter expenses must be pre -approved by the Relocation Agent. 0 55B-72 Requirements: Before you move, you must provide the City with the: • Certified inventory of all personal property to be moved. • Date you intend to vacate the property. • Address of the replacement property. • Opportunity to monitor and inspect the move from the acquired property to the replacement property. Related Expenses 1. Searching Expenses for Replacement Property: Displaced businesses, farms, and nonprofit organizations are entitled to reimbursement for actual reasonable expenses incurred in searching for a replacement property, not to exceed $2,500. Expenses may include transportation, meals, and lodging when away from home; the reasonable value of the time spent during the search; fees paid to the real estate agents, brokers or consultants; and other expenses determined to be reasonable and necessary by the City. 2. Direct Loss of Tangible Personal Property: Displaced businesses, farms, and nonprofit organizations may be eligible for a payment for the actual direct loss of tangible personal property which is incurred as a result of the move or Zo 55B-73 discontinuance of the operation. This payment will be based upon the lesser of: a) The fair market value of the item for continued use at the displacement site minus the proceeds from its sale. OR b) The estimated cost of moving and reinstalling the replaced item, based on the lowest acceptable bid or estimate obtained by the City for eligible moving and related expenses, including dismantling and reassembly, but with no allowance for storage, cost of code requirement betterments or upgrades at the replacement site. I:U-AlkTA I»% You determine that the "document shredder" cannot be moved to the new location because of its condition, and you will not replace it at the new location. Fair Market Value of the Document Shredder based on its use at the current location Proceeds: Price received from selling the Document Shredder Net Value Al:7 Estimated cost to move Based on the "lessor of", the amount of the "Loss of Tangible Personal Property" _ 11 $1,500 500 $1,000 $1,050 $1,000 55B-74 Note: You are also entitled to all reasonable costs incurred in attempting to sell the document shredder (e.g. advertisement). 3. Purchase of Substitute Personal Property: If an item of personal property, which is used as part of the business, farm, or nonprofit organization, is not moved but is promptly replaced with a substitute item that performs a comparable function at the replacement site, the displacee is entitled to payment of the lesser of: a) The cost of the substitute item, including installation costs at the replacement site, minus any proceeds from the sale or trade-in of the replaced item; •O b) The estimated cost of moving and reinstalling the replaced item, based on the lowest acceptable bid or estimate obtained by the City for eligible moving and related expenses, including dismantling and reassembly, but with no allowance for storage, cost of code requirement betterments or upgrades at the replacement site. EXAMPLE A: You determine that the copying machine cannot be moved to the new location because it is now obsolete and you will replace it. 12 55B-75 Cost of a substitute Copying Machine including installation costs at the replacement site. $3,000 Trade-in Allowance - $2,500 Net Value $ 500 Al100 Estimate cost to move $ 550 Based on the "lesser of", the amount of the "Substitute Personal Property" _ $ 500 I:rII_1►TAI»:1111.11 You determine that the chairs will not be used at the new location because they no longer match the decor and you will replace them. Cost of substitute chairs Proceeds: From selling the Chairs Net Value Al100 Estimated cost to move Based on the "lesser of", the amount of the "Substitute Personal Property" _ $1,000 100 $ 900 $ 200 $ 200 Note: You are also entitled to all reasonable costs incurred in attempting to sell the document shredder (e.g. advertisement). 13 55B-76 4. Disconnecting and Reinstallation: You will be reimbursed for your actual and reasonable costs to disconnect, dismantle, remove, reassemble and reinstall any machinery, equipment or other personal property in relation to its move to the new location. This includes connection to utilities available nearby and any modifications to the personalty that is necessary to adapt it to utilities at the replacement site. 5. Physical changes at the new location: You may be reimbursed for certain physical changes to the replacement property if the changes are necessary to permit the reinstallation of machinery or equipment necessary for the continued operation of the business. Note: The changes cannot increase the value of the building for general purposes, nor can they increase the mechanical capability of the buildings beyond its normal requirements. 6. The cost of installing utilities from the right of way line to the structure(s) or improvements on the replacement site. 7. Marketing studies, feasibility surveys and soil testing. 8. One-time assessments or impact fees for anticipated heavy utility usage. 14 55B-77 Reestablishment Expenses A small business, farm or nonprofit organization may be eligible for a payment, not to exceed $25,000, for expenses actually incurred in relocating and reestablishing the enterprise at a replacement site. Reestablishment expenses may include, but are not limited to, the following: 1. Repairs or improvements to the replacement real property required by Federal, State or local laws, codes or ordinances. 2. Modifications to the replacement of real property to make the structure(s) suitable for the business operation. 3. Construction and installation of exterior signing to advertise the business. 4. Redecoration or replacement such as painting, wallpapering, paneling or carpeting when required by the condition of the replacement site or for aesthetic purposes. 5. Advertising the new business location. 6. The estimated increased costs of operation at the replacement site during the first two years, for items such as: a) Lease or rental charges b) Personal or real property taxes c) Insurance premiums, and d) Utility charges (excluding impact fees). 15 55B-78 7. Other items that the City considers essential for the reestablishment of the business or farm. In -Lieu Payment (Fixed) Displaced businesses, farms, and nonprofit organizations may be eligible for a fixed payment in lieu of (in place of) actual moving expenses, personal property losses, searching expense, and reestablishment expenses. The fixed payment may not be less than $1,000 or more than $40,000. For a business to be eligible for a fixed payment, the City must determine the following: 1. The business owns or rents personal property that must be moved due to the displacement. 2. The business cannot be relocated without a substantial loss of existing patronage. 3. The business is not part of a commercial enterprise having more than three other businesses engaged in the same or similar activity, which are under the same ownership and are not being displaced by the City. 4. The business contributed materially to the income of the displaced business operator during the two taxable years prior to displacement. 16 55B-79 Any business operation that is engaged solely in the rental of space to others is not eligible for a fixed payment. This includes the rental of space for residential or business purposes. Eligibility requirements for farms and nonprofit organizations are slightly different than business requirements. If you are being displaced from a farm or you represent a nonprofit organization and are interested in a fixed payment, please consult your relocation counselor for additional information. Note: A nonprofit organization must substantiate that it cannot be relocated without a substantial loss of existing patronage (membership or clientele). The payment is based on the average of two years annual gross revenues less administrative expenses. The Computation of Your In -Lieu Payment: The fixed payment for a displaced business or farm is based upon the average annual net earnings of the operation for the two taxable years immediately preceding the taxable year in which it was displaced. The City can use a different two year period if it is determined that the last two taxable years do not accurately reflect the earnings of the operation. EXAMPLE: The City acquires your property and you move in 2015: 2013 Annual Net Earnings $ 10,500 2014 Annual Net Earnings 12,500 TOTAL $ 23,000 Average over two years $ 11,500 17 55B-80 This would be the amount of your in -lieu payment. Remember - this is in -lieu of all other moving benefits. You must provide the City with proof of net earnings to support your claim. Proof of net earnings can be documented by income tax returns, certified financial statements, or other reasonable evidence of net earnings acceptable to the City. Note: The computation for nonprofit organizations differs in that the payment is computed on the basis of average annual gross revenues less administrative expenses for the two-year period specified above. Before You Move: A. Complete a "Request for Determination of Entitlement" form available from your Relocation Agent, and return it promptly. B. Include a written statement of the reasons the business cannot be relocated without a substantial loss in net earnings. C. Provide certified copies of tax returns for the two tax years immediately preceding the tax year in which you move. (If you move anytime in the year 2015, regardless of when negotiations began or the City took title to the property, the taxable years would be 2013 and 2014). D. You will be notified of the amount you are entitled to after the application is received and approved. m 55B-81 E. You cannot receive the payment until after you vacate the property, AND submit a claim for the payment within 18 months of the date of your move. Relocation Advisory Assistance Any business, farm or non-profit organization, displaced by the City shall be offered relocation advisory assistance for the purpose of locating a replacement property. Relocation services are provided by qualified personnel employed by the City. It is their goal and desire to be of service to you and assist in any way possible to help you successfully relocate. A Relocation Agent from the City will contact you personally. Relocation services and payments will be explained to you in accordance with your eligibility. During the initial interview with you, your needs and desires will be determined as well as your need for assistance. 19 55B-82 You can expect to receive the following services, advice and assistance from your Relocation Agent who will: • Determine your needs and preferences. • Explain the relocation benefits and eligibility. • Provide information on replacement properties for your consideration. • Provide information on counseling you can obtain to help minimize hardships in adjusting to your new location. • Assist you in completing loan documents, rental applications or Relocation Claims Forms. AND provide information on: • Security deposits. • Interest rates and terms. • Typical down payments. • Permits, fees and local planning ordinances. • SBA loan requirements. • Real property taxes. • Consumer education literature. If you desire, your Relocation Agent will give you current listings of other available replacement property. Transportation will be provided to inspect available property, especially if you are elderly or handicapped. Though you may use the services of a real estate broker, the City cannot provide a referral. zo 55B-83 Your Relocation Agent is familiar with the services provided by others in your community and will provide information on other federal, state, and local programs offering assistance to displaced persons. If you have special needs, your Relocation Agent will make every effort to secure the services of those agencies with trained personnel who have the expertise to help you. If the project will require a considerable number of people to be relocated, the City will establish a temporary Relocation Field Office on or near the project. Project relocation offices will be open during convenient hours and evening hours if necessary. In addition to these services, the City is required to coordinate its relocation activities with other agencies causing displacements to ensure that all persons displaced receive fair and consistent relocation benefits. Remember - YOUR RELOCATION AGENT is there to offer advice and assistance. Do not hesitate to ask questions. And be sure you fully understand all of your rights and available benefits. 21 55B-84 YOUR RIGHTS AS A DISPLACEE It is important to remember that your relocation benefits will not have an adverse effect on your: • Social Security Eligibility • Welfare Eligibility • Income Taxes In addition, the Title VIII of the Civil Rights Act of 1968 and later acts and amendments make discriminatory practices in the purchase and rental of most residential units illegal if based on race, color, religion, sex, or national origin. The City's Non -Discrimination Policy ensures that all services and/or benefits will be administered to the general public without regard to race, color, national origin, or sex in compliance with Title VI of the 1964 Civil Rights Act (42 USC 2000d. et seq.). And you always have the Right to Appeal any decision by the City regarding your relocation benefits and eligibility. Your Right of Appeal is guaranteed in the "Uniform Act" which states that any person may file an appeal with the head of the responsible agency if that person believes that the agency has failed to properly determine the person's eligibility or the amount of a payment. zz 55E3-85 If you indicate your dissatisfaction, either verbally or in writing, the City will assist you in filing an appeal and explain the procedures to be followed. You will be given a prompt and full opportunity to be heard. You have the right to be represented by legal counsel or other representative in connection with the appeal (but solely at your own expense). The City will consider all pertinent justifications and materials submitted by you and other available information needed to ensure a fair review. The City will provide you with a written determination resulting from the appeal with an explanation of the basis for the decision. If you are still dissatisfied with the relief granted, the City will advise you that you may seek judicial review. General Questions How Will I Know That I Am Eligible For Relocation Assistance? You should receive a written notice explaining your eligibility for relocation assistance. You should not move before receiving that notice. If you do, you may not be eligible for relocation assistance. How Will The City Know How Much Help I Need? You will be contacted at an early date and personally interviewed by a representative of the City to determine your relocation needs and preferences for a replacement location and other services. The interviewer will ask about such matters as your space requirements. It is to your advantage to provide the information so that the City 23 55B-86 can assist you in moving with a minimum of hardship. The information you give will be kept in confidence. How Soon Will I Have To Move? Every reasonable effort will be made to provide you with sufficient time to find and reestablish your business in a suitable replacement location. If possible, a mutually agreeable date for the move will be worked out. You will be given enough time to make plans for moving. Unless there is a court stipulated vacancy date, health or safety emergency, you will not be required to move without at least 90 days advance written notice. It is important, however, that you keep in close contact with the City's relocation representative so that you are aware of the time schedule for carrying out the project and the approximate date by which you will have to move. How Will I Find A Replacement Location? The City's representative will provide you with current information on available replacement locations that meet your needs. The City's representative may also provide you with the names of real estate agents and brokers who can assist you in finding the type of replacement location you need. While the City's representative will assist you in obtaining information on a suitable replacement location, you should take an active role in finding and relocating to a location of your choice. No one knows your needs better than you. You will want a facility that provides sufficient space for your planned activities. You will also want to assure that there are no zoning or other requirements 24 55B-87 which will unduly restrict your planned operations. The City's representative will explain the kinds of moving and reestablishment costs that are eligible for repayment and which are not eligible. That will enable you to carry out your move in the most advantageous manner. I Have A Replacement Location And Want To Move. What Should I Do? Before you make any arrangements to move, notify the City's representative, in writing, of your intention to move. This should be done at least 30 days before the date you begin your move. The City's representative will discuss the move with you and advise you of the relocation payment(s) for which you may be eligible, the requirements to be met, and how to obtain a payment. I Plan To Discontinue My Business Rather Than Move. What Should I Do? If you have decided to discontinue your business rather than reestablish, you may still be eligible to receive a payment. Contact the City's representative and discuss your decision to discontinue your business. You will be informed of the payment, if any, for which you may be eligible and the requirements that must be met to obtain the payment. I Own This Property. Will I Be Paid For It Before I Have To Move? If you reach a negotiated agreement to sell your property to the City, you will not be required to move before you receive the 25 agreed purchase price. If the property is acquired through an eminent domain proceeding, you cannot be required to move before the estimated fair market value of the property has been deposited with the court. (You should be able to withdraw this amount immediately, less any amounts necessary to pay off any mortgage or other liens on the property and to resolve any special ownership problems. Withdrawal of your share of the money will not affect your right to seek additional compensation for your property.) Do I Have To Pay Federal Income Taxes On My Relocation Payments? No. Section 216 of the URA states that you need not report relocation payments as part of your gross income for Federal tax purposes. For information on State or local income taxes, you should check with the State or local income tax office in your area or with your personal tax advisor. I Have More Questions. Who Will Answer Them? If you have further questions after reading this booklet, contact the City's representative and discuss your concerns with the City's representative. Received By: Date: (signature) 26 55B-89 Epic $.,nand Solluti mmms, Nmmc:,. Non -Residential Relocation Brochure UNIFORM ACT Effective Sept. 04, 2015 55B-90 EXHIBIT F Residential Brochure RELOCATION PLAN Bristol Street Phase 4 Project Page130 55B-92 Introduction In building a modern transportation system, the displacement of a small percentage of the population is often necessary. However, it is the policy of the City that displaced persons shall not suffer unnecessarily as a result of programs designed to benefit the public as a whole. Displaced individuals, families, businesses, farms, and nonprofit organizations may be eligible for relocation advisory services and payments. This brochure provides information about available relocation services and payments. If you are required to move as the result of the City's project, a Relocation Agent will contact you. The Relocation Agent will be able to answer your specific questions and provide additional information. Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 As Amended "The Uniform Act" The purpose of this Act is to provide for uniform and equitable treatment of persons displaced from their homes, businesses, or farms by federal and federally assisted programs and to establish uniform and equitable land acquisition policies for federal and federally assisted programs. 1 55B-93 49 Code of Federal Regulations Part 24 implements the "Uniform Act" in accordance with the following relocation assistance objective: To ensure that persons displaced as a direct result of federal or federally -assisted projects are treated fairly, consistently and equitably so that such persons will not suffer disproportionate injuries as a result of projects designed for the benefit of the public as a whole. While every effort has been made to assure the accuracy of this booklet, it should be understood that it does not have the force and effect of law, rule, or regulation governing the payment of benefits. Should any difference or error occur, the law will take precedence. Some Important Definitions... Your relocation benefits can be better understood if you become familiar with the following terms: Comparable Replacement: means a dwelling which is: 1. Decent, safe, and sanitary. (See definition below) 2. Functionally equivalent to the displaced dwelling. 3. Adequate in size to accommodate the family being relocated. 4. In an area not subject to unreasonable adverse environmental conditions. 5. In a location generally not less desirable than the location of your displacement dwelling with respect to public utilities and F] 55B-94 commercial and public facilities, and reasonably accessible to the place of -employment. 6. On land that is typical in size for residential development with typical improvements. Decent, Safe and Sanitary (DS&S): Replacement housing must be decent, safe, and sanitary— which means it meets all of the minimum requirements established by federal regulations and conforms to applicable housing and occupancy codes. The dwelling shall: 1. Be structurally sound, weather tight, and in good repair. 2. Contain a safe electrical wiring system adequate for lighting and other devices. 3. Contain a heating system capable of sustaining a healthful temperature (of approximately 70 degrees) for a displaced person, except in those areas where local climatic conditions do not require such a system. 4. Be adequate in size with respect to the number of rooms and area of living space needed to accommodate the displaced person. The City's policy is that there will be no more than 2 persons per room unless the room is of adequate size to 55B-95 accommodate the normal bedroom furnishings for the occupants. 5. Have a separate, well -lighted and ventilated bathroom that provides privacy to the user and contains a sink, bathtub or shower stall, and a toilet, all in good working order and properly connected to appropriate sources of water and to a sewage drainage system. Note: In the case of a housekeeping dwelling, there shall be a kitchen area that contains a fully usable sink, properly connected to potable hot and cold water and to a sewage drainage system, and adequate space and utility service connections for a stove and refrigerator. 6. Contains unobstructed egress to safe, open space at ground level. If the replacement dwelling unit is on the second story or above, with access directly from or through a common corridor, the common corridor must have at least two means of egress. 7. For a displaced person who is handicapped, be free of any barriers which would preclude reasonable ingress, egress, or use of the dwelling by such displaced person. Displaced Person or Displacee: Any person who moves from real property or moves personal property from real property as a result of the acquisition of the real property, in whole or in part, or as the result of a written notice from the City to vacate the real property needed for the project. In the case of a partial acquisition, the City 0 55B-96 shall determine if a person is displaced as a direct result of the acquisition. Residents not lawfully present in the United States are not eligible to receive relocation payments and assistance. Relocation benefits will vary, depending upon the type and length of occupancy. As a residential displacee, you will be classified as either a: • An owner occupant of a residential property (includes mobile homes) • A tenant occupant of a residential property (includes mobile homes and sleeping rooms) Dwelling: The place of permanent or customary and usual residence of a person, according to local custom or law, including a single family house; a single family unit in a two-family, multi -family, or multi -purpose property; a unit of a condominium or cooperative housing project; a non -housekeeping unit; a mobile home; or any other residential unit. Owner: A person is considered to have met the requirement to own a dwelling if the person purchases or holds any of the following interests in real property: 1. Fee title, a life estate, a land contract, a 99-year lease, oral lease including any options for extension with at least 50 years to run from the date of acquisition; or 0 55B-97 2. An interest in a cooperative housing project which includes the right to occupy a dwelling; or 3. A contract to purchase any interests or estates; or 4. Any other interests, including a partial interest, which in the judgment of the City warrants consideration as ownership. Tenant: A person who has the temporary use and occupancy of real property owned by another. Moving Expenses If you qualify as a displaced person, you are entitled to reimbursement of your moving costs and certain related expenses incurred in moving. The methods of moving and the various types of moving cost payments are explained below. Displaced individuals and families may choose to be paid on the basis of actual, reasonable moving costs and related expenses, or according to a fixed moving cost schedule. However, to ensure your 3 55B-98 eligibility and prompt payment of moving expenses, you should contact your Relocation Agent before you move. You Can Choose Either: Actual Reasonable Moving Costs - You may be paid for your actual reasonable moving costs and related expenses when a commercial mover performs the move. Reimbursement will be limited to a move of 50 miles or less. Related expenses may include: • Transportation • Packing and unpacking personal property. • Disconnecting and reconnecting household appliances. • Temporary storage of personal property. • Insurance while property is in storage or transit. If you choose to base your moving benefits on Actual Moving Costs, you must obtain bids from at least two professional moving companies before the move. After the City Staff have reviewed and approved these bids, you can then either: perform a "self -move" without further documentation and get reimbursed in an amount not to exceed the lower of these two bids; have a moving company perform the actual move in which case paid, receipted and/or itemized bills from the moving company are required for payment. If you choose the "Actual Move Expense" method, you do not get the Fixed Moving Payment. W 55B-99 Fixed Moving Cost Schedule - You may be paid on the basis of a fixed moving cost schedule. This payment will vary depending on the number of rooms you currently occupy and whether or not you own your furniture. Under this option, you will not be eligible for reimbursement of related expenses listed above. The fixed schedule is designed to cover such expenses. Examples (Year 2014 Rate): 4 Rooms - $ 1,295 7 Rooms - $ 2,090 The Fixed Move Schedule for a furnished unit (e.g. you are a tenant of an apartment that is furnished by your landlord) is based on Schedule B. Example (Year 2014 Rate): 1 Room - $450 $85 each additional room A dormitory style room under the 2014 Schedule B rate would receive $125. Under the Fixed Move Schedule, you will not receive any additional payments for temporary storage, lodging, transportation or utility hook-ups. Replacement Housing Payments The type of Replacement Housing Payment (RHP) depends on whether you are an owner or a tenant, and the length of occupancy in the property being acquired. 0 55B-100 If you are a qualified owner occupant of more than 90 days prior to the initiation of negotiations for the acquisition of your property, you may be entitled to a RHP that consists of: Purchase Price Differential, and. Mortgage Differential, and Incidental Expenses; OR Rental Assistance Payment If you are a qualified tenant occupant of at least 90 days, you may be entitled to a RHP as follows: Rental Assistance Payment OR Down payment Option Length of occupancy simply means counting the number of days that you actually occupied a dwelling before the date of initiation of negotiations by the City for the purchase of the property. The term "initiation of negotiations" means the date The City makes the first personal contact with the owner of real property, or his/ her representative, to give him/her a written offer for the property to be Note: If you have been in occupancy less than 90 days before the initiation of negotiations and the property is subsequently acquired, or if you move onto the property after the initiation of negotiations and you are still in occupancy on the date of acquisition, you may or E 55B-101 may not be eligible for a Replacement Housing Payment. Check with your Relocation Agent before you make any decision to vacate your property. Basic Residency Requirements You meet the basic residency requirement if the City is acquiring the house or apartment you currently own or rent, and if you have been living there for specified number of days (defined below) at the time the City begins purchase negotiations with the owner of the property. Residents not lawfully present in the United States are not eligible to receive relocation payments and assistance. With few exceptions, any displaced person is eligible for relocation advisory assistance and payment for moving costs. For Owner Occupants of 90 Days or More If you qualify as a 90-day owner occupant, you may be eligible - in addition to the fair market value of your property - for a Replacement Housing Payment that consists of a Purchase Price Differential, Mortgage Differential and Incidental Expenses. The Purchase Price Differential payment is the amount by which the cost of a replacement dwelling exceeds the acquisition cost of the Zo 55B-102 displacement dwelling. This payment will assist you in purchasing a comparable decent, safe, and sanitary (DS&S) replacement dwelling. The City will compute the maximum payment you may be eligible to receive. In order to receive the full amount of the calculated price differential, you must spend at least the amount calculated by the City on a replacement property. The Mortgage Differential payment will reimburse you for any increased mortgage interest costs you might incur because the interest rate on your new mortgage exceeds the interest rate on the property acquired by the City. The payment computation is complex as it is based on prevailing rates, your existing loan and your new loan. Also, a part of this payment may be prorated such as reimbursement for a portion of your loan origination fees and mortgage points. To be eligible to receive this payment, the acquired property must have been encumbered by a bona fide mortgage which was a valid lien for at least 180 days prior to the initiation of negotiations. You may also be reimbursed for any actual and necessary Incidental Expenses that you incur in relation to the purchase of your replacement property. These expenses may be those costs for title search, recording fees, credit report, appraisal report, and certain other closing costs associated with the purchase of property. You will not be reimbursed for any recurring costs such as prepaid real estate taxes and property insurance. 11 55B-103 EXAMPLES OF PURCHASE PRICE DIFFERENTIAL PAYMENT COMPUTATION: Assume that the City purchases your property for $98,000. After a thorough study of available, decent, safe and sanitary dwellings on the open market, the City determines that a comparable replacement property will cost you $100,000. If your purchase price is $100,000, you will receive $2,000 (see Example A). If your actual purchase price is more than $100,000, you pay the difference (see Example B). If your purchase price is less than $100,000, the differential payment will be based on actual costs (see Example Q. City's Computation Comparable Replacement Property Acquisition Price of Your Property Maximum Purchase Price Differential Example A Purchase Price of Replacement Comparable Replacement Property Acquisition Price of Your Property Maximum Purchase Price Differential 12 $100,000 98 000 $ 2,000 $100,000 $100,000 98,000 $ 2,000 55B-104 Example B Purchase Price of Replacement Property $105,000 Comparable Replacement Property $100,000 Acquisition Price of Your Property 98,000 Maximum Price Differential $ 2,000 You Must Pay the Additional $5,000 Example C Comparable Replacement Property $100,000 Purchase Price of Replacement $ 99,000 Acquisition Price of Your Property 98,000 Price Differential $ 1,000 In Example C you will only receive $1,000 - not the full amount of the City's "Comparable Replacement Property" because the requirements to spend were not met. IN ORDER FOR A "90 DAY OWNER OCCUPANT" TO RECEIVE THE FULL AMOUNT OF THEIR REPLACEMENT HOUSING PAYMENT (Purchase Price Differential, Mortgage Differential and Incidental Expenses), you must: A. Purchase and occupy a DS&S replacement dwelling within one year after the later of: 1) The date you first receive a notification of an available replacement house, OR 2) The date that the City has paid the acquisition cost of your current dwelling (usually the closing of escrow on acquisition), 13 55B-105 B. Spend at least the amount of the City's "Comparable Replacement Property" for a replacement property, C. File a claim for relocation payments within 18 months of the later: 1) The date you vacate the property acquired by the City, OR 2) The date that The City has paid the acquisition cost of your current dwelling (usually the close of escrow on acquisition) You will not be eligible to receive any relocation payments until the City has actually made the first written offer to purchase the property. Also, you will also receive at least 90 days' written notice before you must move. For Tenants of 90 Days or More If you qualify as a 90-day occupant, you may be eligible for a Replacement Housing Payment in the form of a Rental Assistance Payment (RAP). The Rental Assistance Payment is designed to assist you in renting a comparable decent, safe and sanitary replacement dwelling. The payment is based on the difference between the base monthly Rent for the property acquired by the City (including average monthly cost for utilities) and the lesser of: 14 55B-106 a) The monthly rent and estimated average monthly cost of utilities for a comparable replacement dwelling as determined by the City, OR b) The monthly rent and estimated average monthly cost of utilities for the decent, safe and sanitary dwelling that you actually rent as a replacement dwelling. Utility costs are those expenses you incur for heat, lights, water and sewer - regardless of the source (e.g. electricity, propane, and septic system). It does not include garbage, cable, telephone, or security. The utilities at your property are the average costs over the last 12 months. The utilities at the comparable replacement property are the estimated costs for the last 12 months for the type of dwelling and area used in the calculation. This difference is multiplied by 42 months and may be paid to you in a lump sum payment or in periodic installments in accordance with policy and regulations. In order to receive the full amount of the calculated Rental Assistance Payment, you must spend at least the amount calculated by the City on a replacement property. This payment may - with certain limitations - be converted to a Down payment Option to assist you in purchasing a replacement property. 15 55B-107 Calculating Your Baseline Rent Your baseline rent is one of the numbers we use to calculate your eligibility for Rental Assistance Payment. It is equal to your current rent (plus utilities), or 30% of your before - tax income, whichever is less. Your current rent will be determined by averaging the three-month period prior to the initiation of negotiations by the City to purchase the property you occupy. Your before -tax income will be based on the annual gross income of the household (whether it be an individual or family) that is being relocated (less certain allowed credits for elderly or disabled members of your household) divided by twelve to ascertain the average monthly income. Let's look at two examples (in each case, the baseline rent has been highlighted): Before -tax Current Rent Monthly Income x 30% plus Utilities Family #1 $1,600 $480 $600 Family #2 $1,600 $480 $450 Family #1 has a baseline rent of $480 because 30% of their before - tax income, $480, is less than their current rent, $600. Family #2 has a baseline rent of $450 because their current rent, $450 is less than 30% of their income, $480. 16 55B-108 Remember: Your replacement housing assistance must be enough for your not to spend more than your baseline rent on comparable housing for the next 3 % years. (And although you are free to move into a dwelling that is more expensive than the comparable housing that the City presents to you, your benefits will not increase as a result.) Calculating Your Rental Assistance Payment (RAP) Comparable * Rent Plus Utilities Baseline Rent = Replacement Housing Payment Family #1 $520 - $480 = $40 x 42 = $1,680 Family #2 $550 - $450 = $100 x 42 = $4,200 *Your Relocation Agent will select the specific comparable dwelling to be used in this calculation You will not be eligible to receive any relocation payments until the City has actually made the first written offer to purchase the property. And, you will also receive at least 90 days' written notice before you must move. Down Payment Option The Rental Assistance Payment may - with certain limitations - be converted to a Down Payment Option to assist you in purchasing a replacement property. The down payment option is a direct conversion of the Rent Assistance Payment. If the City calculated Rent Differential is between $0 and $7,200, your down payment option will be $7,200, which can be used towards the purchase of a replacement decent, safe and sanitary dwelling. 17 55B-109 If the Rent Differential is over $7,200, you may be able to convert the entire amount of the Rent Differential to a down payment option. The down payment option must be used for the acquisition of the replacement dwelling, plus any eligible incidental expenses (see "90- day Owner Occupants Incidental Expenses") related to the purchase of the property. You must work closely with your Relocation Agent to ensure you can utilize the full amount of your down payment option towards the purchase. If any portion of the Rental Assistance Payment was used prior to the decision to convert to a down payment option, those advance payments will be deducted from the entire benefit. Last Resort Housing On most projects, an adequate supply of housing will be available for sale and for rent, and the benefits provided will be sufficient to enable you to relocate to comparable housing. However, there may be projects in certain locations where the supply of available housing is insufficient to provide the necessary housing for those persons being displaced. In such cases, the City will utilize a method called Last Resort Housing. Last Resort Housing allows the City to construct, rehabilitate or modify housing in order to meet the needs of the people displaced from a project. The City can also pay above the statutory limits of $7,200, for Rental Assistance Payment and $31,000, for a Purchase Price Differential in order to make available housing affordable. m 55B-110 Relocation Advisory Assistance Any individual, family, business or farm displaced by the City shall be offered relocation advisory assistance for the purpose of locating a replacement property. Relocation services are provided by qualified personnel employed by the City. It is their goal and desire to be of service to you and assist in any way possible to help you successfully relocate. A Relocation Agent from the City will contact you personally. Relocation services and payments will be explained to you in accordance with your eligibility. During the initial interview with you, your housing needs and desires will be determined as well as your need for assistance. You cannot be required to move unless at least one comparable replacement dwelling is made available to you. You can expect to receive the following services, advice and assistance from your Relocation Agent who will: • Explain the relocation benefits and eligibility requirements. 19 55B-111 • Provide the amount of the replacement housing payments in writing. • Assure the availability of a comparable property before you move. • Inspect possible replacement residential units for DS&S compliance. • Provide information on counseling you can obtain to help minimize hardships in adjusting to your new location. • Assist you in completing Relocation Claims Forms. AND provide information on: • Security deposits • Interest rates and terms • Typical down payments • VA and FHA loan requirements • Real property taxes • Consumer education literature on housing If you desire, your Relocation Agent will give you current listings of other available replacement housing. Transportation will be provided to inspect available housing, especially if you are elderly or handicapped. You may obtain the services of a real estate broker to assist in finding a replacement dwelling but, the City cannot provide a referral. Your Relocation Agent is familiar with the services provided by others in your community and will provide information on other federal, state, and local housing programs offering assistance to go 55B-112 displaced persons. If you have special problems, your Relocation Agent will make every effort to secure the services of those agencies with trained personnel who have the expertise to help you. If the project will require a considerable number of people to be relocated, the City may establish a temporary Relocation Field Office on or near the project. Project relocation offices would be open during convenient hours and evening hours if necessary. In addition to these services, the City is required to coordinate its relocation activities with other agencies causing displacements to ensure that all persons displaced receive fair and consistent relocation benefits. Remember - YOUR RELOCATION AGENT is there to offer advice and assistance. Do not hesitate to ask questions and be sure you fully understand all of your rights and available benefits. 21 55B-113 YOUR RIGHTS AS A DISPLACEE All eligible displacees have a freedom of choice in the selection of replacement housing, and the City will not require any displaced person to accept a replacement dwelling provided by the City. If you decide not to accept the replacement housing offered by the City, you may secure a replacement dwelling of your choice, providing it meets DS&S housing standards. The City will not pay more than your calculated benefits on any replacement property. The most important thing to remember is that the replacement dwelling you select must meet the basic "decent, safe, and sanitary" standards. Do not execute a purchase agreement or a rental agreement until a representative from the City has inspected and certified in writing that the dwelling you propose to occupy meets the basic standards. DO NOT jeopardize your right to receive a replacement housing payment by moving into a substandard dwelling. It is important to remember that your relocation benefits will not have an adverse affect on your: • Social Security Eligibility • Welfare Eligibility zz 55B-114 • Income Taxes Relocation Tax Consequences In general, relocation payments are not considered income for tax purposes. Benefit payments are paid under Title 24 of the Code of Federal Regulation and Chapter 16 of the California Government Code. If certain requirement are met, such payments will not be considered as income for the purposes of income tax and public assistance programs. In any case, please check with either your Relocation Agent or a qualified tax consultant if you have specific questions. For property owners who are displacee by government action, the State of California has created provisions to ensure that the lower real estate assessment guaranteed to property owners through Proposition 13 will be maintained for the comparable replacement property. In June 1982, the State electorate approved transfer of the assessment valuation of the former dwelling to the replacement dwelling, with certain restrictions. County of Los Angeles Assessor's Office applications for this purpose are available upon request through your relocation representative. What this means is that if any public agency buys your property under the Eminent Domain process, you can carry your current tax basis with you when you purchase a replacement property, as long as the replacement doesn't exceed 120% of the purchase price the public agency pays you for your property. 23 55B-115 90-Day Notice to Move It is required by law that all persons displaced by government action are given at least 90 days notice before they are required to move. This 90-Day Notice must be given in writing. In this way, you will be informed well in advance of the date by which your move should take place. When the City Becomes Your Landlord Our hopes are that by the time that the City completes the purchase of the property you now occupy, or takes legal possession of the property by the process of Eminent Domain, you will have found a replacement property and will be prepared to move. If, for some reason, this has not happened, the City will become your landlord until you do relocate. Before you move, and if you are currently a tenant, you will make your regularly scheduled rental payments to the City instead of your current landlord. The City will charge you the lessor of: • The rent you were paying to your landlord on the date of the initiation of negotiations to purchase the property, OR • 30% of your gross average monthly income If you are an owner/occupant, the City will charge you the lessor of: • A rent based on a fair market rent for comparable dwelling in your neighborhood, OR • 30% of your gross average monthly income. M1 55B-116 Housing Discrimination In addition, the Title VIII of the Civil Rights Act of 1968 and later acts and amendments make discriminatory practices in the purchase and rental of most residential units illegal if based on race, color, religion, sex, or national origin. Whenever possible, minority persons shall be given reasonable opportunities to relocate to decent, safe, and sanitary replacement dwellings, not located in an area of minority concentration, and that is within their financial means. This policy, however, does not require the City to provide a larger payment than is necessary to enable a person to relocate to a comparable replacement dwelling. The City's Non -Discrimination Policy ensures that all services and/or benefits will be administered to the general public without regard to race, color, national origin, or sex in compliance with Title VI of the 1964 Civil Rights Act (42 USC 2000d. et seq.). By calling 1-800-477-5977 you may quickly be referred to a local agency in your area to file a housing discrimination complaint. If You Have a Disagreement or Complaint You have the Right to Appeal any decision by the City regarding your relocation benefits and eligibility. Your Right of Appeal is guaranteed in the "Uniform Act" which states that any person may file an appeal with the head of the responsible zs 55B-117 agency if that person believes that the agency has failed to properly determine the person's eligibility or the amount of a payment. If you indicate your dissatisfaction, either verbally or in writing, the City will assist you in filing an appeal and explain the procedures to be followed. You will be given a prompt and full opportunity to be heard. You have the right to be represented by legal counsel or other representative in connection with the appeal (but solely at your own expense). The City will consider all pertinent justifications and materials submitted by you and other available information needed to ensure a fair review. The City will provide you with a written determination resulting from the appeal with an explanation of the basis for the decision. If you are still dissatisfied with the relief granted, the City will advise you that you may seek judicial review. M 55B-118 Epic $.,nand Solluti mmms, Nmmc:,. Residential Relocation Brochure UNIFORM ACT Effective Sept. 04, 2015 55B-119 EXHIBIT G HUD Income Limits RELOCATION PLAN Bristol Street Phase 4 Project Page131 The following figures are approved by the U.S. Department of Housing and Community Development for use in the County of Orange to define and determine housing eligibility by income level of 2015. Persons In Family Extremely Low Very Low Low 1 $20,250 $33,750 $53,950 2 $23,150 $38,550 $61,650 3 $26,050 $43,350 $69,350 4 $28,900 $48,150 $77,050 5 $31,250 $52,050 $83,250 6 $33,550 $55,900 $89,400 7 $36,730 $59,750 $95,550 8 $40,890 $63,600 $101,750 55B-121 5/3/16In RESOLUTION NO. 2016- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE RELOCATION PLAN FOR PHASE 4 IMPROVEMENTS OF THE BRISTOL STREET IMPROVEMENTS PROJECT BETWEEN WARNER AVENUE AND SAINT ANDREW PLACE 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 ("Council') hereby finds, determines and declares as follows: A. Bristol Street is a major north -south transportation facility, which is designated as a major arterial highway in the City"s Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane, continues to be a long-term priority project, constructed in several phases. B. On March 6, 2006, the City Council approved a cooperative agreement between the City and the Orange County Transportation Authority for widening of Bristol Street between Warner Avenue and Seventeenth Street. C. The March 6, 2006 agreement committed OCTA to contribute funding for various phases of the Bristol Street widening project. D. The Public Works Agency is acquiring property for development of Phase 4, bounded by Warner Avenue and Saint Andrew Place, and expects to complete the right-of-way acquisition process by June 2017. Construction is anticipated to begin in late 2017, E. Pursuant to California Government Code section 7260, et seq., a public entity is required to adopt a relocation plan, by resolution, whenever it enters into an agreement for acquisition of real property or an agreement for the disposition and development of property which would lead to displacement of people from their homes, F. Section 6002 and 6038 of the California Code of Regulations, Title 25, Chapter 6, et seq., requires the adoption of a Relocation Plan due to the displacement of residential and business occupants. G. The relocation plan has been prepared in conformance with applicable provisions of the California Government Code section 7260, et seq., and the Relocation Guidelines, California Code of Exhibit 3 Resolution No. 2016- 55B-1 23 513116 jxs Regulations, Title 25, Chapter 6 and has been made available for public review since April 01, 2016. Each potential displaced occupant was given written notification regarding the Plan's availability and an opportunity to submit questions or comments. H. The primary purpose of the Relocation Plan is to outline the requirements for moving and re-establishing the displaced residential and business occupants, and to demonstrate the level of advisory and financial assistance that will be provided. I. Based on occupant interviews, needs analyses, and searches for appropriate replacement sites, the Agency estimates relocation costs to be approximately $4,365,384, Section 2: The City Council hereby approves the Relocation Plan for the acquisition activities for Phase 4 of the Bristol Street widening plan Warner Avenue and Saint Andrew Place. Section 3: In accordance with the California Environmental Quality Act, the proposed project has been determined to be adequately evaluated in the previously prepared FEIR (FEIS/EIR No. 89-01) approved by City Council in 1990. Due to several minor design modifications related to Phase 4, an Addendum to the FEIS/EIR was prepared and adopted according to the California Environmental Quality Act by City Council on April 7, 2015. Section 4: This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 31d day of May, 2016, Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, Cif Attorney Jose SaN^val Chief Assistant City Attorney Rosolutio» No. 2016-_ 55B-124 5/3/18Ixs AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2016-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on May 3, 2016. Date: Maria D. Huizar, Clerk of the Council Resolution No. 2016-, 55B-125 55B-126 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: A RESOLUTION ACCEPTING THE DONATION OF FITNESS EQUIPMENT FOR THE SANTA ANA POLICE DEPARTMENT FITNESS CENTER FROM THE SANTA ANA POLICE OFFICERS ASSOCIATION (STRATEGIC PLAN GOAL NO. 1, 11) (WY MANAQRR RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: =••:• _ R El As Recommended El As Amended [] Ordinance on 1 t Reading M Ordinance on 20d Reading ® Implementing Resolution Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution accepting the donation of miscellaneous fitness equipment from the Santa Ana Police Officers Association for use in the Santa Ana Police Department's Bruce R. Carlson Fitness Center. DISCUSSION The Santa Ana Police Officers Association (SAPOA) has a long history of supporting the men and women of the Santa Ana Police Department. The SAPOA has elected to utilize funds from its SAPOA Benefit Trust Wellness Program to replace some of the Police Department fitness equipment that is over 12 years old. As such, the SAPOA would like to donate the fitness equipment to the Police Department's Bruce R. Carlson Fitness Center so that officers can maintain a healthy lifestyle that is critical to their physical and mental wellbeing. The SAPOA has purchased $47,531 worth of equipment in the form of one Jacob's ladder, one Jacob's ladder stairway, two Precor Eliptical machines, five Precor treadmills, one barbell set with rack, three indoor bikes, one squat/calf machine, one leg extension/leg curl machine, and other miscellaneous fitness equipment. The Santa Ana Police Department appreciates the support it receives from the Santa Ana Police Officer's Association and recommends approval of the resolution. 55C-1 Resolution Accepting Fitness Equipment from SAPOA May 3, 2016 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 1 Community Safety, Objective #1 (Modernize the Community Policing philosophy to improve customer service, crime prevention and traffic / pedestrian / bicycle safety), Strategy I (enhance public safety efforts by improving our employee retention efforts and actively seeking a diverse and talented pool of public safety candidates who possess the values and skills consistent with organizational goals). FISCAL IMPACT There is no fiscal impact associated with this action. Carlos Rojas Chief of Police Santa Ana Police Department 55C-2 RESOLUTION NO.2016- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACCEPTING THE DONATION OF GYM EQUIPMENT FROM THE SANTA ANA POLICE OFFICER ASSOCIATION FOR USE IN THE BRUCE R. CARLSON FITNESS CENTER BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. WHEREAS, the Santa Ana Police Officers Association has a long history of supporting the men and women of the Santa Ana Police Department. In an effort to foster this long standing relationship and mutual support, the Santa Ana Police Officers Association has graciously offered to donate gym equipment to the City of Santa Ana for use by its members and other employees in the Bruce R. Carlson Fitness Center located inside the Santa Ana Police Department. B. WHEREAS, the gym equipment consists of one (1) H2O Fitness Pro Rower RX-950, one (1) Jacobs Ladder Stairway, one (1) Body Solid Leverage Squat/Calf Machine, one (1) Leg Extension/Leg Curl Combo, one (1) Rogue Landmine attachment, one (1) Rogue Landmine Handle, one (1) Air Assault Bike, one (1) Power System Trap Bar, one (1) Power System Multigrip Bar, one (1) Jacobs Ladder, two (2) Star Trac Blade Indoor Cycle, two (2) Precor 835 P30 Elliptical, five (5) Precor TRM Treadmill (Remanufactured), one (1) EZ Curl Barbell Set, and one (1) Barbell Rack valued at $47, 531.88. F. WHEREAS, the City Council of the City of Santa Ana believes that accepting such a donation would encourage wellness and physical fitness for Santa Ana Police Department employees that use the gym and foster goodwill between the City of Santa Ana and the Santa Ana Police Officers Association. SECTION 2. The City Council hereby accepts the Santa Ana Police Officers Association donation of gym equipment as outlined above. Section 3. If any surcharge or fee, section, subsection, sentence, clause, phrase or word of this Resolution is for any reason held to be invalid by a court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Resolution. The City Council hereby declares that it would have passed 55C-3 and adopted this Resolution, and each and all provisions hereof, irrespective of the fact that one or more provisions may be declared invalid. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this _ day of May, 2016. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Laura A. Rossini Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2016- to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana 55C-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: REGULATORY FEE RELATED TO THE SALE OF SAFE AND SANE FIREWORKS {STRATEGIC PLAN GOAL NO. 1, 2D) J o CITY MANAGEM RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED El As Recommended ❑ As Amended [] Ordinance on I" Reading ® Ordinance on 2'd Reading [] Implementing Resolution Set Public Hearing For CONTINUED TO FILE NUMBER Review and select an option regarding the implementation of a regulatory fee for the sale safe and sane fireworks from the options listed below: 1. No Policy Change — do not pursue regulatory fee related to the sale of safe and sane fireworks 2. Conduct the staff work required to implement a regulatory fee related to the sale of safe and sane fireworks and present for City Council consideration DISCUSSION The Public Safety and Neighborhood Improvement Council Committee requested a presentation outlining the options for regulating fireworks within the City. On February 22, 2016, the Police Department made a presentation to the Committee, and at the conclusion of the presentation the Committee recommended that the options be presented to the full City Council. At the April 5, 2015 City Council meeting, staff presented three options for City Council consideration: 1. No Policy Change — Safe and Sane Fireworks Remain Legal; or 2. Ban on Fireworks to take effect in 2016; or 3. Ban on Fireworks to take effect in 2017 At the April 5, 2016 meeting, the City Council heard many public comments both in favor of a ban on safe and sane fireworks and opposed to it. Council expressed an interest in ensuring that the Police Department had the necessary funds to conduct fireworks enforcement and education, and requested that staff research the process for implementing a regulatory fee related to fireworks and to determine the amount of the fee. The revenue generated by this fee will be used to offset the costs associated with the City's fireworks education and enforcement efforts. 65A-1 Fireworks Regulatory Fee May 3, 2016 Page 2 Staff researched the costs associated with fireworks enforcement and education and estimated the 2016 July 4th holiday education and enforcement costs to be $115,110, Santa Ana Municipal Code Section 14-57 allows a maximum of eighty-five safe and sane fireworks booths, By dividing the City's estimated fireworks enforcement and education costs of $116,110 by the maximum 85 fireworks booths, a fee of $1,354,24 could be implemented. The estimated 2016 fireworks enforcement and education costs are included in Table A below. Table A Estimated 2016 Fireworksk-- — Enforcement and Education Costs Fireworks Enforcement 62 795� Pre -Holiday Preparation $33,268 Management Costs 8 549 Public Service Announcement - $3,788 FI era 4 of Jul Laws and aafet $4,190 Other Casts Total Estimated Costs fffiiQ STRATEGIC PLAN ALIGUNgNI Approval of this Item assists the City In meeting Coal #1 - Community Safety, (Objective #2 (Broaden communications, information sharing and community awareness of public safety activities), Strategy 0 (Expand Community awareness of Public Safety activities, programs and services that focus on risk reduction [smoke alarms, water safety, pedestrian safety, fire safety/prevention]). FIS-QAL IMPA9T There Is no fiscal impact associated with this action. Carlos Rojas Chlef of Police Santa Ana Police Department 65A-2 [1111119111111 CITY COUNCIL MEETING DATE: MARCH 16,, 2016 TITLE: PUBLIC HEARING — RESOLUTION AUTHORIZING CONDEMNATION OF REAL PROPERTY AT 1607 NORTH BRISTOL STREET FOR BRISTOL STREET IMPROVEMENTS (PROJECT NO. 116740) (NONGENERAL FUND) {STRATEGI PLA N . 6, 1G; 3, 2C} CITY MANAGER CLERK OF COUNCIL USE ONLY: ❑ As Recommended C1 As Amended 171 Ordinance on 1" Reading Ordinance on 2"a Reading ❑ Implementing Resolutlon ❑ Set Public Hearing For CONTINUED TO 11w/9 14, J_J_/G FILE NUMBER Adopt a resolution authorizing the condemnation of the entire real property located at 1607 North Bristol Street (APN 405-252-22) declaring the public necessity and interest therefore, and approve the transfer of funds in the amount of $631,435 to the State Treasurer's Office Condemnation Deposits Fund. DISCUSSION Bristol Street is a major north -south transportation facility which is designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane has been a long-term priority project that will be constructed in several phases. Improvements include widening the street from two to three lanes in each direction, and installing raised landscape medians and bike lanes. Public Works Agency staff is acquiring properties for the development of Phase 11113, bounded by Washington Avenue and Seventeenth Street, and expects to complete the acquisition process by spring 2017. Construction is anticipated to begin in summer 2017. To accommodate these improvements, acquisition of the entire parcel at 1607 North Bristol Street is required (Exhibit 1). The Public Works Agency has made a diligent effort to negotiate with the property owners and their representatives for the past 27 months. A good faith offer was made on November 16, 2015, in the amount of $631,435 (Exhibit 2). Furthermore, Public Works staff has been working closely with the representatives of the property owners and the City's Planning Division to facilitate potential relocation within the project segment. The Public Works Agency will continue to make every effort to reach a settlement with the property owners. However, to maintain the Bristol Street Improvements project schedule and meet the funding requirement to commence construction in summer 2017, staff is requesting adoption of a Resolution of Necessity (Exhibit 3) and initiation of condemnation proceedings while negotiations continue. 75A-1 Public Hearing & Resolution Authorizing Condemnation of Real Property for 1607 North Bristol Street March 15, 2016 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications in Phase IIIB, which encompasses the area between Washington Avenue and Seventeenth Street, an Addendum to the FEIS/EIR was prepared and adopted by City Council on June 3, 2014, pursuant to the California Environmental Quality Act. FISCAL IMPACT Funds are appropriated in the Bristol Street Improvements Project (No. 116740); $157,858.75 in the Select Street Construction Fund (Account No. 05917661-66220), and $473,576.25 in the Measure M2 Street Construction Fund (Account No. 03217662-66220) for transfer to the State Treasurer's Office Condemnation Deposits Fund in FY 2015-2016. r-I w b u-. . ov Fred Mousavipour Executive Director Public Works Agency FM/EW G/KN Exhibits: 1. Location Map 2. Offer Letter 3. Resolution of Necessity APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 75A-2 4 (NTS) 18TH STREET 17TH STREET -m 405-252-21 MATCHLINE SEE TOP RIGHT At�UlFEG E.m,,, > EXHIBIT 1 MATCHLINE SEE BOTTOM LEFT WASHINGTON AVENUE SANTA ANA I 1111PE ,� PUBLIC HEARING -RESOLUTION AUTHORIZING - P W A -AEG NcA �A�'r�E CONDEMNATION STREIET OR BRAL PROPERTY AT 1607 NORTH T TO STRE T IMPROVEMENTS PIcu MARCH 15, zots (PROJECT NO. 116740) (NONGENERAL FUND) (STRATEGIC PLAN NO. 6AG AND 3,2,01 75A-3 75A-4 City of Santa Ana RECEIPT OF OFFER PACKAGE Bristol Street Widening -Washington Avenue to Seventeenth Street Parcel File No. 405-252-22 Owner(s) of Record: Additional Owner (s) of Record: Property Address: JERONIMO CHAVEZ AND GUADALUPE CHAVEZ, HUSBAND AND WIFE AS JOINT TENANTS 1607 N. Bristol Street Santa Ana, CA This is to acknowledge receipt of the offer package containing the following items: Updated Offer letter dated November 16, 2015 which includes: • Property Legal Description (Attachment 1) • Statement of Just Compensation (Attachment 2) • Summary Explanation Statement (Attachment 3) City of Santa Ana Handbook on Acquisition Jeronimo Chavez Guadalupe Chavez Exhibit 2 Date Date 75A-5 MAYOR Miguel A. Pulido MAYOR PRO TEM Vincent F. Sarmiento COUNCILMEMBERS Angelica Amezcua P. David Benavides Michele Martinez Roman Rayne Sal Tineero November 16, 2015 CITY OF SANTA ANA PUBLIC WORKS AGENCY 20 Civic Center Plaza M-36 • P.O. Box 1988 M-36 Santa Ana, California 92702 v✓<vw.santa-ana.ora Jeronimo Chavez & Guadalupe Chavez 1607 N. Bristol Santa Ana, CA 92706 SUBJECT: UPDATED OFFER TO ACQUIRE PROPERTY AT: 1429 N. BRISTOL STREET, SANTA ANA, CA APN: 405-252-22 Dear Mr. and Mrs. Chavez: CITY MANAGER David Cavazos CITY ATTORNEY Sonia R. Carvaiho CLERK OF THE COUNCIL Maria D. Huizar 1T1W4MI=I1aF1MI The City of Santa Ana ("City") is proceeding with its plans to construct Phase IIIB of the Bristol Street Improvements and Widening Project between Washington Avenue and Seventeenth Street. The City obtained a preliminary title report that lists Jeronimo Chavez and Guadalupe Chavez, husband and wife as joint tenants. The City seeks to acquire the property located at the above -mentioned address, which consists of the underlying real property as described in Attachment 1. The area to be acquired is referred to herein as the 'Property". No final determination has been made as to the ownership of the Property. This offer is contingent upon presentation of conclusive evidence of title. If more than one person has an interest in the Property that the City is seeking to acquire, all parties with such interest must accept this offer. As you know, the City had your Property appraised by certified appraisers for the real estate as well as improvements pertaining to the realty to determine its fair market value. The appraisals were conducted in accordance with commonly accepted appraisal standards and included consideration of the highest and best use of the land. Based on the appraisals, the City offers you $620,000 for the real estate and $11,435 for Improvements Pertaining to Realty IPR) for a total compensation of $631,435. The basis for this offer is explained more thoroughly in the attachments to this letter that are made a part of this offer by reference. This offer is conditional upon the City Council ratifying this offer by a formal action taken at a regular public meeting authorizing the execution of a Purchase and Sale Agreement or adopting a Resolution of Necessity, or both. 75A-6 1607 N. Bristol Street November 16, 2015 Page 2 If you are not satisfied with the City's offer, you are encouraged to present to us any material you believe to be relevant to the value of the Property, which material will be carefully considered by the City. If, in the City's opinion, the additional information warrants a change in the offer, the City's offer will be adjusted accordingly. If a voluntary agreement cannot be reached, the City may consider formal condemnation proceedings against the Property through its power of eminent domain or abandon its intention to acquire the Property, giving proper notice to you in either event. The City has made no decision to exercise its power of eminent domain to acquire the Property and can only do so after it holds a hearing, at which all affected Property owners have had an opportunity to appear and be heard. The Purchase Price is the full amount established by the appraisal as the fair market value of the Property and the just compensation for such acquisition. A written statement and a summary of the basis for the amount established as the Purchase Price is set forth in the attached Statement of Just Compensation, identified as Attachment 2. The California Relocation Assistance and Real Property Acquisition Guidelines provide that each Owner from whom the City purchases real property or an interest therein, or each tenant owning improvements on said Property, be provided with information relating to the acquisition procedures pursuant to the Government Code, Paragraph 7267.2(a). This information is provided in Attachment 3. Please also be advised that under Code of Civil Procedure Section 1263.025, the City of Santa Ana will reimburse an owner of property, up to the amount of $5,000 for the owner to secure an independent appraisal of property subject to a potential acquisition. Per our records you have requested and received the $5,000 for preparation of the appraisal report for your property. Please let us know prior to November 30, 2015 if the City's offer is acceptable. A written agreement concerning the acquisition of the Property will be provided to you for your review and approval. If for any reason you should see fit not to accept the City's offer, please be advised that this letter, the offer made herein, the enclosed summary statements, and all matters stated herein are made under the provisions of California Evidence Code §§1152 and 1154 and shall not be admissible in evidence in any eminent domain proceeding which may subsequently be instituted for acquisition of the Property, or in any other action. If you need additional information, please call me at (714) 647-5664. Sincerely, Jason Gabriel Principal Civil Engineer 75A-7 ATTACHMENT LEGAL DESCRIPTION THE LAND REFERRED TO HEREIN IS SITUATED IN THE STATE OF CALIFORNIA, COUNTY OF ORANGE, CITY OF SANTA ANA, AND IS DESCRIBED AS FOLLOWS: THAT PORTION OF THE LAND ALLOTTED TO JACOB ROSS IN DECREE OF PARTITION OF THE RANCHO SANTIAGO DE SANTA ANA, RECORDED IN BOOK "B" OF JUDGEMENTS OF THE 17TH JUDICIAL DISTRICT COURT OF CORPORATION, IN THE CITY OF SANTA ANA, AS DESCRIBED AS FOLLOWS: BEGINNING AT THE NORTHWEST CORNER OF THE SOUTH 6 ACRES OF A TRACT OF LAND DESCRIBED AS COMMENCING AT THE CORNER COMMON TO SECTIONS 1, 2, 11 AND 12, TOWNSHIP 5 SOUTH, RANGE 10 WEST, SAN BERNARDINO BASE AND MERIDIAN, CITY OF SANTA ANA; RUNNING THENCE SOUTH ALONG THE WEST LINE OF SAID SECTION 12, 10 CHAINS; THENCE EAST 10.59 CHAINS; THENCE NORTH 10 CHAINS; THENCE WEST 10.59 CHAINS TO THE POINT OF COMMENCEMENT; SAID POINT OF BEGINNING BEING A DISTANT 285.74 FEET, MORE OR LESS, SOUTHERLY FROM SAID CORNER COMMON TO SECTIONS 1, 2, 11 AND 12; RUNNING THENCE FROM SAID POINT OF BEGINNING EASTERLY ALONG THE NORTHERLY LINE OF SAID 6 ACRE TRACT 174.62 FEET; THENCE SOUTHERLY, PARALLEL WITH THE WESTERLY LINE OF SAID SECTION 12, 100 FEET; THENCE WESTERLY, PARALLEL WITH THE NORTHERLY LINE OF SAID 6-ACRE TRACT, 174.62 FEET TO THE WESTERLY LINE OF SAID SECTION 12; THENCE NORTHERLY ALONG SAID WESTERLY LINE 100 FEET TO THE POINT OF BEGINNING. EXCEPT THEREFROM THE NORTHERLY 50.00 FEET THEREOF. ALSO EXCEPT THEREFROM A STRIP OF LAND 30 FEET WIDE OFF THE WEST OF SAID LAND, NOW INCLUDED IN BRISTOL STREET. SAID LAND IS ALSO SHOWN AS PARCEL 3 ON LICENSED SURVEYOR'S MAP RECORDED IN BOOK 3, PAGE 12 OF RECORDS OF SURVEY. APN:405-252-22 75A-8 ATTACHMENT 2 STATEMENT OF VALUE AND SUMMARY OF THE BASIS FOR APPRAISAL Code of Civil Procedures § 1255.010(b) THE AMOUNT ESTABLISHED AS JUST COMPENSATION Government Code § 7267.2(a) OWNERSHIP Jeronimo Chavez and Guadalupe Chavez, husband and wife as joint tenants The following is a Statement of Value and Summary of the Basis for Appraisal and the Amount that the client established as Just Compensation ("Summary") required by the California Eminent Domain Law. The appraisal on which this summary is based was made in connection with establishing the amount of compensation as required by Code of Civil Procedure section 1255.010(b). The appraisal on which this summary is based was made in accordance with accepted appraisal principles, consistent with California Valuation Law. A statement and summary described the basis for the appraisal from which the client established compensation. There follows the Statement of Value and Summary of the Basis for Appraisal and the Amount Established as Just Compensation ("Summary"): BASIS OF VALUATION The fair market value is based upon an appraisal prepared in accordance with accepted appraisal principles and methodologies. Code of Civil Procedure Section 1263.320 defines Fair Market Value as follows: (a) The fair market value of the property taken is the highest price on the date of valuation that would be agreed to by a seller, being willing to sell, but under no particular or urgent necessity for so doing, nor obliged to sell; and a buyer, being ready, willing and able to buy but under no particular necessity for so doing, each dealing with the other with full knowledge of all the uses and purposes for which the property is reasonably adaptable and available. (b) The fair market value of property taken for which there is no relevant comparable market is its value on the date of valuation as determined by any method of valuation that is just and equitable. Section 1263.330 provides that the fair market value shall not include an increase or decrease in the value attributable to the project for which the property is to be acquired. The property is being appraised for the possible full acquisition by the City of Santa Ana to assist in negotiations with the property owner for the possible full acquisition of the subject property as a part of the Bristol Street Widening Improvement Project. 75A-9 DESCRIPTION OF THE SUBJECT PROPERTY Ownership: Jeronimo Chavez and Guadalupe Chavez, husband and wife as joint tenants Location: 1607 North Bristol Street, Santa Ana, California 92706 Assessor's Parcel No.: 405-252-22 Date of Value: October 30, 2015 Property Rights Appraised:Fee simple Site Area: Approximately 6,731 square feet, or 0.15 acre, according to the Assessor's Map Zoning: The parcel is zoned C-5 (arterial commercial), within the Bristol Street Corridor Specific Plan designated by the City of Santa Ana. Present Use: Highest and Best Use (As Vacant): Highest and Best Use (As Improved): Commercial Retail development Continue the existing use Improvements: According to information obtained from public records and verified by physical measurements of the building, the building has a gross building area of 1,491 square feet. It was originally constructed in 1926. Description of Acquisition: A full acquisition is proposed 75A-10 SALES COMPARISON APPROACH The estimated fair market value of the subject property is based on improved sales data for other properties with essentially the same utility and amenities. The subject property is located on a primary arterial street and the property benefits from good access and visibility. To analyze the value of the subject property, a search was conducted of the market area for similar improved office building sales. Very few transactions were found in Santa Ana. The search was expanded to surrounding areas and included small office buildings that sold throughout Orange County since January 2014, built before 1990 and between 1,000 and 10,000 square feet in size. Of the comparables discovered, the six most similar properties were chosen for comparison. The comparables reflect selling prices ranging from $370,000 to $600,000, which is approximately $293 to $417 per square foot of building area, or approximately $34 to $106 per square foot of land area. Office buildings of this size are primarily purchased for owner -occupancy whereby the fee simple interest is conveyed. The primary approach used in this market by owner -users is the sales comparison approach. As such, the sales comparison approach is developed to provide an indication of the fee simple market value. The comparable sales are analyzed using the price per square method, which is the typical basis used by buyers in this market. This unit of measure provides a reliable basis of comparison for the assignment. As a check to the reasonableness of the conclusion price per square foot of land area is also reviewed. Adjustments are considered for transactional differences as well as for physical differences between the subject property and comparables. Included on the following page is a Comparable Improved Sales Summary. 75A-11 �O❑ � a � wppp� o � e m P Ayy ECG ego �r� a e N p U o O N w q pp pp D t� N Yi9 �h u e3 �ryS w a v p a d C v a c`d5 Conclusion 75A-12 After adjustments for market conditions, the comparables establish a fair market value range for the subject property between $316 and $423 per square foot as shown in the following table. Comparable No. 4 is superior at $423 per square foot, whereas Comparable No. 1 is inferior at $411. Based on the subject property's size, location and condition, a value between these two comparables appears reasonable for the subject property. Indicated Values Comparable Overall Indicated $/SF No. Comparability 4 Superior $423 Subject ----- $415 1 Inferior $411 5 Inferior $374 6 Inferior $340 2 Inferior $326 3 Inferior $316 A fair market value of $415 per square foot is concluded. Based on the preceding investigation and analysis, the fair market value of the subject property, as of October 30, 2015, is calculated as follows: INDICATED VALUE - SALES COMPARISON APPROACH 11491 SF X $415 PSF = $618,765 ROUNDED $620,000 75A-13 INCOME APPROACH The subject property is an owner -occupied, single-family residence which has been converted and utilized as aN office building. As such, the fee simple value is analyzed using market rent and expenses. Market Rent Analysis A survey of Santa Ana and the surrounding cities for recently executed leases and asking rents for office space ranging from 500 to 10,000 square feet in size is used in the analysis. The important factors considered during selection of the comparables include location, building area, visibility and access. The search focused on properties with arterial street visibility, but data for such properties was found to be somewhat limited; however, sufficient data was available to estimate a market rental rate for the subject property. The survey properties indicate that rents are written on a triple -net, modified gross, and full service gross basis. For valuation purposes, a triple -net basis will be utilized. For triple -net leases, the tenants pay operating expenses such as property taxes, insurance, tenant utilities and janitorial, common area maintenance and utilities, building repairs and maintenance, security, parking and sometimes management (or a portion of management). These expenses are normally recouped by the landlord in the form of an expense reimbursement charge. The landlord is still responsible for non -reimbursed management (collecting the check and watching over the property) miscellaneous expenses such as those incurred between tenancy, accounting, legal, miscellaneous and replacement of short-lived items such as the roof, air-conditioning units and exterior walls, if applicable. Based on the review of the rental data and after consideration for differing property characteristics, it is concluded that a rental rate of $1.80 per square foot per month, triple -net, for the subject property is reasonable for the analysis and is used in the direct capitalization analysis. The estimated market income for the subject property is calculated in the following table: CONCLUDED MARKET RENT Building Market Rent/SF Market Annual Market Size Mo. Rent/Mo. Rent 1,214 SF $1.80 $2,185 $26,222 Vacancy and Collection Loss Small office buildings are most frequently purchased for owner -occupancy and are analyzed using the sales comparison approach, with values calculated assuming no vacancy or collection loss. However, from the perspective of an investor, a 75A-14 stabilized vacancy and collection loss within the historical range is usually applied, assuming a five- to 10-year holding period. An estimated stabilized vacancy and collection loss of 3% is considered appropriate for the direct capitalization analysis. Expense Analysis The subject property is an owner -user office building. Typically, leases for similar buildings in this market are written on a triple -net lease basis, where the tenant is responsible for operating expenses for the property including: taxes, insurance, utilities, common area maintenance, building repairs and maintenance. The owner is responsible for management, miscellaneous expenses, and administrative costs. The capital value analysis has been analyzed on a typical triple -net basis. Overall Capitalization Rate A review of sales and listings of office properties found that reported OARS reflect rates from 4.00% to 5.87%. These sales are considered the best evidence of an appropriate capitalization rate for the subject property. 75A-15 DIRECT CAPITALIZATION ANALYSIS Office Building 1607 N. Bristol Street Santa Ana, California INCOME: Rental Income Annual Market Rental Income Monthly F2ntal Income $1.80 FEF x 12 Months $32,206 Total Leaseable Area 1,491 SF Total Potential Grosslncome $32,206 Vacancy 3% 966 Effective Gross Income $31,239 REIMBURSABLE EXPENSES: $/SF Management 2.0% ($0.42) ($625) Fbserves (R0�101 4 491 Total FeimbursableExpenses ($0.52) ($774) 774 Net Operating Income $30,466 Capitalization Rate 5.000 Indicated Value at Market Fent $609,311 ROUNDED $610000 'Difference may be due to rounding. Income Approach Conclusion The direct capitalization analysis and resulting indication of market value via the income approach is shown on the following page. The indicated fair market value, as of October 30, 2015, is as follows: INDICATED VALUE - INCOME APPROACH $610,000 CONCLUSION OF VALUE The approaches most often relied on by buyers of this type of property have been developed. Thus, the sales comparison approach is developed as the primary value indicator. The cost and income approaches are rarely considered by buyers in 75A-16 this market and are less reliable than the sales comparison approach as the typical buyer of the subject property would be an owner -occupant. There are limited investor sales with reported overall capitalization rate data in this building market segment and data for signed leases is of limited quantity and quality. The income approach has been developed, but is given less weight in the final conclusion of value. The cost approach is rarely used by buyers in this market and does not tend to produce reliable valuation results; the cost approach has not been developed. APPRAISAL CONCLUSION Considering the data and analyses presented, the opinion has been formed that as of October 30, 2015, the fair market value of the subject property is: INDICATED VALUE Sales Comparison Approach $620,000 Income Approach $610,000 Reconciled Value (Rounded) $620,000 75A-17 ATTACHMENT APN: 405-252-22 SUMMARY STATEMENT ACCOMPANYING OFFER RELATING TO ACQUISITION PROCEDURES FOR PURCHASE OF REAL PROPERTY OR AN INTEREST THEREIN You are entitled to receive full payment prior to vacating the real property being purchased unless you have heretofore waived such entitlement. You are not required to pay recording fees, transfer taxes, or the pro rata portion of real property taxes which are allocable to any period subsequent to the passage of title or possession. 1. The holders of liens, deeds of trust or other security interests in your property and/or any leases or tenants of your property may be entitled to all or a portion of the consideration to be paid by the City of Santa Ana ("City") for your property in accordance with the particular contract(s) existing between you and the lien holder or lessee/tenant. 2. All buildings, structures, and other improvements affixed to the land described in the reference documents covering this transaction and owned by the grantor herein or, if applicable, owned by you as a tenant are not being conveyed unless other disposition of these improvements has been made. The interest acquired is fee title. 3. The amount determined to be just compensation was determined after consideration of an appraisal of the fair market value of the Parcel. The basis for the amount determined to be just compensation is summarized on the attached Appraisal Summary Statement (Statement of Just Compensation) and the amount of the Purchase Price: a. Is the full amount believed by the City to be just compensation for the property taken; b. Is not less than the approved appraisal of the fair market value of the property as improved; c. Disregards any decrease or increase in the fair market value of the public improvement for which the property is to be acquired for such public improvement, other than that due to physical deterioration within the reasonable control of the owner or occupant; and d. Reflects the definition of "fair market value" as defined in Eminent Domain Law (California Code of Civil Procedure Section 1263.320) which is "the highest price on the date of valuation that would be agreed to by a seller being willing to sell but under no particular or urgent necessity for doing so, nor obliged to sell, and a buyer, being ready, willing and able to buy but under no particular necessity for so doing, each dealing with the other will full knowledge of all the uses and purposes for which the property is reasonably adaptable and available." 75A-18 Page 2 APN: 405-252-22 e. Does not reflect any consideration of or allowance for any relocation assistance and payments or other benefits which the owner is entitled to receive under an agreement with the public entity. 4. If you ultimately elect to reject the offer made by the City of Santa Ana for your property, you are entitled to have the amount of compensation determined by a court of law in accordance with the laws of the State of California. 75A-19 75A-20 JXS/4/19/16 RESOLUTION NO. 2016- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FINDING AND DETERMINING THAT THE PUBLIC INTEREST, CONVENIENCE AND NECESSITY REQUIRE THE ACQUISITION OF CERTAIN REAL PROPERTY LOCATED WITHIN THE CITY OF SANTA ANA LOCATED AT 1607 N. BRISTOL STREET (APN 405-252-22) 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 on April 19, 2016, after written notice duly provided to all those claiming ownership, including the owners of the properties described hereafter, as they appeared on the last equalized County assessment roll, held a hearing pursuant to Code of Civil Procedure section 1246.235 for the purpose of allowing the owners thereof a reasonable opportunity to be heard on the following matters: A. Whether the public interest or necessity requires the project; B, Whether the project is planned or located in a manner which is most compatible with the greatest public good and the least private injury; C. Whether the property proposed to be acquired is necessary for the project; D. Whether the offer required by Government Code section 7267.2(a), together with the accompanying statement and summary of the basis for the amount established as just compensation, was actually made and whether said offer and statement/summary contained all of the factual information required by Government Code section 7267.2(a); E. Whether the City has complied with all conditions and statutory requirements necessary to exercise the power of eminent domain to acquire the property described herein, as well as any other matter regarding the right to take said property by eminent domain; and F. Whether the City has statutory authority to acquire the property by eminent domain. Section 2. The City Council has, as a result of its consideration and the evidence presented at the hearings on this matter, and in accordance with the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines, determined that the proposed project has been adequately evaluated in the previously prepared Environmental Impact Repo rt(Environmental Impact Statement EIR No. 89-01 and all Exhibit 3 Resolution No. 2016- Page 1 of 5 75A-21 subsequent addenda. In accordance with National Environmental Policy Act, an Environmental Assessment document with a Finding of No Significant Impact was prepared for the proposed project and approved by the California Department of Transportation and Federal Highway Administration in 2011. On the basis of this review, the City Council finds that there is no evidence from which it can be fairly argued that the Project will have a significant adverse effect on the environment. Section 3. Pursuant to Title XIV, California Code of Regulations ("CCR") § 735.5(c)(1), the City Council has determined that, after considering the record as a whole, there is no evidence that the proposed project will have the potential for any adverse effect on wildlife resources or the ecological habitat upon which wildlife resources depend, The proposed project exists in an urban environment characterized by paved concrete, roadways, surrounding buildings and human activity. Therefore, pursuant to Fish and Game Code § 711.2 and Title XIV, CCR § 735.5(a)(3), the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 4. The City of Santa Ana ("the City"), as a result of said hearing, has determined that the public interest and necessity require the proposed project and that the proposed project is planned or located in a manner that will be the most compatible with the greatest public good and least private injury and that the public interest, necessity, health, safety and welfare require the acquisition by the City of Santa Ana of the certain real property located at 1607 N. BRISTOL STREET (APN 405-252-22) in the City of Santa Ana, California ("the "Property"). The City's construction of the Project will leave a portion of APN 405-252-22 as a remnant parcel, and the City is acquiring that portion of APN 405-252-22 as a remnant parcel, pursuant to Code of Civil Procedure section 1240.410. The Property is situated in the City of Santa Ana, County of Orange, State of California, and more particularly described in Exhibit "A" which is attached hereto and incorporated herein by reference and made a part hereof as though fully set forth herein, for the public purposes hereafter set forth. Section 5. The City hereby finds, determines and declares that the public interest, convenience and necessity require the acquisition by said City of the Property described in Section 4 above, including any and all leaseholds and related improvements for the purposes of the Phase 11113 of the Bristol Street Widening Project ("the Project"). The location of the Project is between Washington Avenue and Seventeenth Street for the widening of Bristol Street. Included in the project will be street pave -out, and the installation of concrete curbs, gutters, and sidewalks in a manner which will be most compatible to the greatest public good and the least private injury. Section 6. The taking of the interest in said Property as described in Section 4 above is necessary for the public right of way and is authorized by Section 19 of Article 1 of the California Constitution, Section 200 of the Santa Ana Charter, Santa Ana Municipal Code § 41-781; California Code of Civil Procedure section 1240.010, 1240.110; California Resolution No. 2016- Page 2 of 5 75A-22 JXS/4/19/16 Government Code sections 37350.5 and 40404; California Streets and Highways Code sections 5101, 5101.5, 5102, and other applicable law. Section 7. The offer required by Government Code section 7267.2 was made to the appropriate party or parties with respect to the Property on or about October 1, 2013, an updated offer on June 16, 2014 and an additional updated offer on November 16, 2015. Section 8. The City hereby declares that it is the intention of the City of Santa Ana to acquire in its name, in accordance with the provisions of the laws of the State of California with reference to condemnation procedures, all interests in and to said Property described in Section 4 above and a portion of the property will be acquired pursuant to Code of Civil Procedure section 1240.410. Section 9. That if any of the Property described in Section 4 above has been appropriated for some public use, the public use to which it is to be applied and taken under this proceeding is a more necessary and paramount public use. Section % Said Property described in Section 4 above is located within the City of Santa Ana, County of Orange, State of California, and is more particularly described in Section 4 hereof. Section 11. The City of Santa Ana is authorized to acquire by eminent domain as provided in the California Code of Civil Procedure. Section 12. The City Attorney is hereby authorized and directed to prepare, institute and prosecute in the name of the City such proceedings, in the proper court having jurisdiction thereof, as may be necessary for the acquisition of the interests in said Property described in Section 4 above. The City Attorney is also authorized and directed to obtain a necessary order of immediate possession and occupancy of said Property, at the discretion of the City Attorney. Section 13. 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 2016, Miguel A. Pulido Mayor Resolution No. 2016- Page 3 of 5 75A-23 APPROVED AS TO FORM: Sonia A. Carvalho, City Attorney By: se andoval of Assistant City ttorney 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 Date: Resolution No. 2016- Page 4 of 5 Clerk of the Council City of Santa Ana 75A-24 JXS/4119/16 Exhibit A LEGAL DESCRIPTION TFIE_ LAND REFERRED TO HEREIN IS SITUATED IN THE STATE"- OF CALIFORNIA, COUNTY OF ORANGE, CITY OF SANTA ANA, AND IS DESCRIBED AS FOLLOWS: THAT PORTION OF THE LAND ALLOTTED TO JACOB ROSS INDECREEOF PARTITION OF THE RANCHO SANTIAGO DE SANTA ANA, RECORDED IN BOOK "B" OF JUDGEMENTS OF THE 171'H JUDICIAL DisrRiL rCOURT OF CORPORATION, IN THE CITY OF SANTA ANA, AS DESCRIBED AS FOLLOWS: BEGINNING A71 HE NORTHWEST CORNER OF THE SOUTH 6 ACRES OF A TRACT OF LAND DESCRIBED AS COMMENCING AT THE CORNER COMMON TO SECTIONS 1, 2, 11 AND 12, TOWNSHIP S SOUTH, RANGE .LO WEST, SAN BERNARD'INO BASE AND MERIDIAN, CITY OF SAN"TA ANA; RUNNING THENCE SOUTH ALONG THE WEST LINE OP SAID SECTION 12, 10 CHAINS; THENCE EAST 1,0.59 CHAINS; THENCE NORTH 10 CHAINS; THENCE WEST 1D.SS CHAINS TO THE POINT OF COMMENCEMENT, SAID POINT OF BEGINNING BEING A DISTANT 256.74 FEET, MORE OR LESS, SOUTHERLY FROM SAID CORNER COMMON I'D SECTIONS 1, 2, 11 AND 12; RUNNING THENCE FROM SAID POINT OF BEGINNING PASTERLY ALONG THE NORTHERLY LINE OF SAID 6 ACRE TRACI' 174.G2 FEET; THENCE SOUTHERLY, PARALLEL WITH THE WESTERLY LINT: OF SAID SECTION 12, 100 PEkT'I THENCE WESTERLY, PARALLEL WITH THE. NORTHERLY LINE OF SAID G-ACRE TRACT, 174.62 FEETTO THE WESTERLY LINE OF SAID SECTION 12) THENCE NORTHERLY ALONG SAID WESTERLY LINE 100 FEETTO THE POINT OF - BEGINNING. EXCEPT THEREFROM THE NORTHERLY $0.00 FEET THEREOF. ALSO EXCEPT THEREFROM A STRIP OP LAND 30 FP..ET WIDE OFF THE WEST OF SAID LAND, NOW INCLUDED IN BRISTOI. STREET. SAID LAND IS ALSO SHOWN AS PARCEL 3 ON ISCF.NSED SURVEYOR'S MAP RECORDED IN BOOK 3, PAGE 12 OF RECORDS OF SURVEY. APN: 405.2S2.22 Resolution No. 2016- Page 5 of 5 75A-25 75A-26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 19, 2016 TITLE: PUBLIC HEARING - ADOPTION OF THE PROACTIVE RENTAL ENFORCEMENT PROGRAM (PREP) ORDINANCE IN CHAPTER (STRATEGIC PLAN NO. 5, 4E CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: T•-:• % ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO (,,3, PA// FILE NUMBER Adopt an ordinance for the Proactive Rental Enforcement Program (PREP) and the Gold Seal Incentive Program with provision for adjustment of the annual rental housing inspection per unit fee based on the Consumers Price Index. DISCUSSION The Proactive Rental Enforcement Program (PREP) was initially approved by the City Council in 1992 in response to a study prepared by community leaders. The study, entitled the "Mayor's Task Force on Neighborhood Standards and Preservation", proposed establishing a systematic proactive rental inspection program to address poorly maintained rental properties that were negatively impacting the quality of life of tenants and surrounding residents. When the PREP program was initially approved, the rental housing industry requested a provision be included that would reward rental owners who have displayed exemplary maintenance and management practices, and who have not created service demands from Community Preservation or the Police Department. This provision was labeled the "Gold Seal Incentive Program". An updated Gold Seal Incentive Program outline is attached hereto as Exhibit 1. The primary benefit for rental owners who can successfully complete a three stage qualification process and receive Gold Seal recognition is an exemption from the annual fee which initially was $17.50 per unit fee for a period of four years. The annual PREP per unit fee of $17.50 was increased in 2013 to $21 due to increasing costs to administer the program. The increase in revenue also reduced the amount of expenditures not funded by the PREP fee and were accounted for in the Planning and Building Agency's operating budget. It is recommended that the annual PREP per unit regulatory inspection fee be set at $25 which includes a $4 administrative processing and information technology fee. 75B-1 Adoption of Proactive Rental Enforcement Program (PREP) April 19, 2016 Page 2 The present funding allocation for the Gold Seal program is $110,000 which will provide for 4,400 units to receive exemptions from the $25 per unit annual fee. The primary concentration of the PREP inspections is on the exterior maintenance of rental properties, such as poor landscaping, unsightly paint, damaged fencing, illegal storage or inoperable vehicles. Should a condition be observed that leads to suspicion of a more serious issue being present on the property, or within the structure, a thorough inspection is conducted. Code enforcement staff also responds to complaints received pertaining to rental properties. Due to the proactive nature of the program, code enforcement staff addresses conditions of the rental properties before adjacent impacted neighbors are compelled to file a complaint. The on- going challenge for code enforcement staff is to maintain improvements made in the completed areas, while moving on to conduct inspections in the next quadrant. Properties that rapidly deteriorate generate most of the complaints received by code enforcement staff. The PREP program has proven beneficial to Santa Ana by maintaining the City's rental housing at an acceptable standard. The program receives positive reviews from residents for the improved appearance of their neighborhoods and from the rental housing industry for abiding by the approved guidelines and not generating complaints to their respective associations. In calendar year 2015, based on PREP enforcement efforts, staff generated 210 permits with a total valuation of $1,541,084.02 in improvements to rental properties. With proven success in reducing complaints received for rental properties, noticeably improving the appearance of many rental properties and maintaining support of the rental housing industry, the Planning and Building Agency is requesting the approval of the PREP program to allow inspection of all rental housing in the City. In addition it is requesting the authorization of the required funding for the Gold Seal Incentive Program. For the purposes of cost administration it is also requesting approval to annually adjust the per unit fee based on a percentage reflected by the change in the Consumers Price Index -Urban, All Services Component for the Los Angeles - Riverside -Orange County area. ENVIRONMENTAL IMPACT The PREP program is exempt from CEQA pursuant to Section 15061(b)(3) of CEQA Guidelines in that it can be seen with certainty that the rental inspection program will have no possible significant effect on the environment. Additionally, the PREP program is further exempted pursuant to the Class 21 Categorical Exemption, Section 15321 of the CEQA Guidelines, which exempts enforcement actions of regulatory agencies. Categorical Exemption No. ER-2015-96 has been adopted for this program. 75B-2 Adoption of Proactive Rental Enforcement Program (PREP) April 19, 2016 Page 3 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (Support Neighborhood Vitality and Livability), Strategy E (Implement innovative code enforcement practices and strategies including the use of volunteers, enhanced technologies and increased collaboration with other City departments and outside agencies to address critical livability issues citywide [e.g., overcrowding, absentee landlords, landlord/tenant rights and responsibilities, etc.]). FISCAL IMPACT Annual revenue approximating $583,065 is expected to be received in FY 2016-17 in the Proactive Rental Enforcement Program (Residential Inspection Surcharge Account 01116550- 53615) Hassan Hag ni, A4P Executive Director Planning & Building Agency ER: rb Wreports\PREP Cont 04.19.16 RFCA Exhibits: 1. Gold Seal Incentive Program 2. FY PREP Budget APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 75B-3 75B-4 EXHIBIT 1 GOLD SEAL INCENTIVE PROGRAM C• ►B The incentive program is a mechanism that positively affects the quality of rental housing in the City of Santa Ana. The program provides a monetary and marketing incentive for rental property owners to abide by a set of minimum criteria - criteria that is, in some cases, over and above that which is required by law. Monetary Incentive - Owners of rental property who apply and qualify for the program are exempt from the regulation inspection fee. Marketing Incentive - Owners of rental property who apply and qualify for the program are presented with materials to utilize when marketing their units. ELIGIBILITY All rental properties in the City of Santa Ana that pay a current regulation inspection fee are eligible for the incentive program. A property with any one of the following conditions is ineligible for the incentive program: 1. Unpaid regulation inspection fee 2. Outstanding code violations Application Fees — Application fees will not be charged for the first 100 applications. After the first 10C applications are processed, staff will evaluate whether or not an application fee should be charged as a disincentive for frivolous filings. QUALIFYING FOR THE INCENTIVE PROGRAM In order to qualify for the incentive program, a rental property owner must pass all parts of a three - stage process. Stage One - The rental property owner will notify the City that he/she wishes to apply for the incentive program and fill out the appropriate application. This will initiate a review and evaluation of the property's management practices. Owners will be asked to provide the necessary information and documentation to verify that they currently adhere to the following five good management practices: Good Management Practices: a) Owner abides by all fair housing laws b) Owner uses a formal method to screen all potential residents c) Owner utilizes a written rental agreement that contains specific criteria d) Owner utilizes written "House Rules" e) Owner performs "walk-throughs" at the be innin d end of each tenancy 79B an Specific criteria necessary for verification of the "good management practices" shall be outlined in the program implementation policy. Each management practice must be passed in order to advance to Stage Two and is subject to on -site verification during the Stage Two inspection. Stage Two - Only owners who have passed Stage One of this program will be eligible to initiate Stage Two. This stage consists of an exterior inspection of the property and verification of the current use of the good management practice materials submitted by the owner during Stage One. The criteria for this exterior inspection is listed under "Violation Checklist' and the inspector evaluating the exterior conditions will do so with the goal that such conditions should be in an "above average" to "superior" condition and collectively the property should be in exceptional condition. The criteria and/or specific materials necessary for the on -site verification of the good management practices shall be outlined in the program implementation policy and the property owner shall be made aware of the materials necessary prior to the Stage Two inspection. A property must have a 100% pass rating of the criteria listed under "Violation Checklist, Exterior/Common Area, Must Pass Items" and have an overall 85% pass rating of rest of the criteria in order to clear approval of Stage Two and advance to Stage Three of the incentive program. Stage Three - Only owners who have passed Stage Two of this program will be eligible to initiate Stage Three. This stage consists of an interior inspection of rental units. The criteria for this inspection is listed under "Violation Checklist, Interior Areas" and the inspector evaluating the interior conditions will do so with the goal that such conditions should be in an "above average" to "superior" condition and collectively the property should be in exceptional condition. A maximum of 10% of the dwelling units in a complex (rounded up on any fraction) will be inspected (but no less than one unit). The units to be inspected will be selected by the inspector from a list of at least 20% of the units on the property (vacant and/or occupied) selected by the owner. A property must achieve a score of 85% or higher to achieve passage of this stage of the incentive program. Prioritization of Applications - Applications will be reviewed in the order they are received. Incentive benefits will be awarded on a first come basis by qualification date. Twenty percent of the properties qualifying for the benefits must contain 15 units or less and 20% must contain 16 units or more. The remaining sixty percent may be from either category. Applicants whose properties qualify for the Gold Seal benefit but who cannot receive exemption due to a lack of available funding will be placed on a priority list by certification date. Should funding become available, these priority applicants will only be required to pass a Stage 1 inspection to qualify for the available funds. The certification period will begin on the date they pass all the required program incentive criteria. 75B-6 2 AWARDING THE "GOLD SEAL" Only owners who have achieved passage of all three stages will qualify for the monetary and marketing incentives granted to exceptional properties under the Gold Seal incentive program. Once granted, the Gold Seal will be valid for four (4) years and will run with the property, not with the ownership, during that time. However, it is the responsibility of the new owner to notify the City of the transfer of ownership and to continue to meet the obligations of the program. After 4 years, in order for a property to continue to receive the benefits of the Gold Seal incentive program, the owner must reapply for the program and completely requalify through the process outlined in this document. DELAYED EXEMPTIONS Applicants who fail to meet the established qualification deadline to be certified for the Gold Seal benefit may be qualified for the award when the applicant can provide proof that a processing delay on the part of the City was the cause for them missing the deadline. QUALIFICATION EXEMPTION On occasion a property may be documented to have exemplary management practices, but such efforts are negated by special circumstances beyond the owner's/manager's control (such as property location, gang activity or external vandalism) which prevent the property from qualifying. In some rare cases and only at the discretion of the Code Enforcement Manager, certain properties may be qualified for the benefits of the incentive program because of special circumstances. LOSS OF INCENTIVE PROGRAM PRIVILEGES If a qualified property has deteriorated to the point that it is no longer exceptional, the Code Enforcement Manager may choose to re-evaluate the property and, if necessary, revoke the property's incentive program privileges. Program privileges would cease on the date the revocation occurs. Such properties would not be eligible for the incentive program benefits for a period of twelve (12) months beginning with the date of revocation. Property owners whose property privileges have been revoked may not reapply during the twelve (12) months they are on suspension. The privileges of requalifying properties will not be effective until the beginning of the next fiscal year following the twelve (12) month suspension. APPEALS Those owners who have applied for the incentive program but do not qualify or have failed may appeal such decisions to the Executive Director or his/her designee. The decision of the Executive Director, or his/her designee, shall be final. 75B-7 GOLD SEAL INCENTIVE PROGRAM VIOLATIONS CHECKLIST EXTERIOR / COMMON AREAS Must Pass Items (100% on applicable items): 1. Poor landscaping - no ground cover, dirt areas, unsightly, dead trees, overgrown yard. 2. Excessive chipped/peeling paint. 3. Graffiti. 4. Damaged/unsightly fences. 5. Unauthorized enclosed balconies/patios. 6. Unpermitted/illegal lock(s) on required exit(s). EXTERIOR / COMMON AREAS Must Pass Items (85% or higher on applicable items): 7. Deteriorated/substandard roofing. 8. Unsafe pools — pools with algae, unsafe pool fences and pool gates. 9. Loose or unsafe stairs, handrails or guardrails. 10. Unsafe or severely damaged decking/subfloor on balconies above ground level 11. Unapproved building, electrical, plumbing or mechanical alterations. 12. Excessive broken sprinklers. 13. Torn window/door screens. 14. Uneven sidewalks and/or walkways. 15. Dirty hallways, sidewalks or walkways. 16. Illegal fences. 17. Unsightly window coverings. 18. Deteriorated driveways, blocked driveways, excessive oil on driveways. 19. Excessive or unsightly storage on balconies or patios. 20. Drying clothes on fences or bushes. 21. Loitering on property. 22. House furniture in common/public areas. 23. Remaining evidence of sewage spill. 24. Dirty building exterior. 25. Illegal storage under carports. 26. Inoperable vehicles. 27. Vehicles for sale. 28. Street or unit numbers missing. 29. Banners without permits. 75B-8 4 GOLD SEAL INCENTIVE PROGRAM VIOLATIONS CHECKLIST EXTERIOR / COMMON AREAS Must Pass Items (85% or higher on applicable items): 30. Storage on roof 31. Broken/missing mailboxes. 32. Cracks or holes in siding. 33. No manager office sign. 34. Inoperative exit signs. 35. Business on property without proper permits. 36. Dirty common areas/play areas. 37. Dirty awnings. 38. Excessive trash/debris throughout common areas. 39. Dirty trash bins, excessive trash lying outside trash enclosure. 40. Trash containers in unapproved locations. 41. Unapproved security screen doors. 42. Broken or missing fire extinguishers. 43. Leaking plumbing. 44. Hazardous electrical condition(s). 45. Damaged exterior doors. 46. Damaged shutters. 47. Stairs, handrails, guardrails in need of paint. INTERIOR AREAS Must Pass Items (100% on applicable items): 1. Missing smoke detector in bedroom(s). 2. Missing smoke detector in hallway(s) adjacent to bedroom(s) 3. Missing carbon monoxide detector. 4. Uncapped gas line(s). 5. Lack of hot/cold running water. 6. Sleeping in closet or kitchen. 7. Unapproved/unsafe light fixture(s). 8. Unlicensed commercial activity in unit. 9. Unapproved security bars on windows. 10. Loose or unsafe stairs, handrails or guardrails. 11. Unpermitted water heater change -out. 12. Interior hoarding conditions. 13. Unapproved building, electrical, plumbing or mechanical alterations. 75B-9 5 GOLD SEAL INCENTIVE PROGRAM VIOLATIONS CHECKLIST INTERIOR AREAS Must Pass Items (85% or higher on applicable items): 14. Illegal lock or latch on exterior doors(s). 15. Lock and/or hasps on bedroom door(s). 16. Clogged/leaking plumbing. 17. Inoperative electrical outlet(s)/improper wiring. 18. Severely deteriorated floor covering/sub-flooring. 19. Lack of/inoperable heating. 20. Smoke detector(s) inoperative/not provided. 21. Unapproved structural alterations. 22. Cockroach/rodent infestation. 23. Missing/severely damaged switch/plug cover(s). 24. Broken tub/shower glass. 25. Electrical appliances(s) used in unapproved exterior location. 26. Unsightly balcony storage. 27. Laundry drying on patio or balcony. 28. Trash chute and/or surrounding are not in sanitary condition. 29. Deteriorated/water damaged interior walls(s). 30. Deteriorated/water damaged ceiling(s). 31. Dire need of paint on interior walls. 32. Severely deteriorated cabinets or drawers 33. Blocked bedroom emergency exits(s). 34. Cover plates missing on wall heater. 35. Unvented fuel burning heater. 36. Damaged interior door(s). 37. Peeling paint on walls or ceilings. 38. Grossly deteriorated/insanitary countertops. 39. Inoperative bathroom ventilation. 40. Interior of unit filthy/insanitary. 41. Occupants in unit exceed number on rental agreement. 42. Items hanging from sprinkler head and/or lines. 43. Deteriorated window covering(s). 44. Inoperable kitchen exhaust vent. Gold Seal Program 2016 Ordinance Exhibit 2 / ER 75B-10 6 Proactive Rental Enforcement Program Fiscal Year Budget Commencing July 1, 2016 Projected Expenditures and Revenue Program Account 01116550 March 15, 2016 EXPEDITURES PREP Inspector Salaries & Wages - Regular $ 659,000.00 PREP Operating Overhead Expenditures $ 259,622.00 Total PREP Operating Expenditures $ 918,622.00 Total Rental Units Licensed For Inspection 27,765 Average Cost Per Unit $ 33.08 REVENUE Total Rental Units Licensed For Inspection 32,165 Gold Seal Exempt Units 4,400 Gold Seal Exemption Funding $ 110,000.00 Total Rental Units Licensed For Inspection 27,765 Annual Fee Per Unit: Planning & Building Agency: $ 21 $ 583,065.00 Finance and Management Services: $ 4 $ 111,060.00 $ 25.00 Total Revenue $ 694,125.00 PROJECTION TOTALS Expenditures $ 918,622.00 Revenue Planning & Building Agency: $ 21 $ 583,065.00 Finance and Management Services: $ 4 $ 111,060.00 $ 694,125.00 Variance $ (335,557.00) EXHIBIT 2 75B-11 75B-12 LS 3.31.16 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE PROACTIVE RENTAL ENFORCEMENT PROGRAM (PREP) IN CHAPTER EIGHT OF THE SANTA ANA MUNICIPAL CODE THE CITY COUNCIL OF THE CITY OF SANTA ANA HEREBY ORDAINS AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City Council of the City of Santa Ana previously adopted the Proactive Rental Enforcement Program (PREP), to provide periodic and systematic inspections of all residential rental properties in the City of Santa Ana. B. The PREP is intended to uncover unsanitary conditions and life safety hazards for occupants of residential rental properties, to ensure that rental properties have operable and safe water, sewage disposal, heating and electric systems, and to encourage owners or managers of residential rental properties to make repairs and conduct preventative building maintenance before deteriorated conditions upon rental property become life safety issues. C. The previous PREP program terminated by its own sunset clause on December 31, 2015, and the City Council hereby finds that the establishment of a periodic housing inspection program is necessary to protect the public health, safety and welfare of its residents. D. All fees assessed for the PREP bear a direct correlation between the amount of the fee and the actual cost of the services provided, including administration, enforcement and implementation services specifically related to the PREP. E. In order to correlate the amount of the fee with the actual cost of the services provided, the fee shall be adjusted annually in accordance with the consumer price index as published by the United States Department of Labor for the Los Angeles -Riverside -Orange County (formerly Los Angeles -Long Beach -Anaheim) metropolitan area. F. Total projected expenditures for the PREP would amount to an estimated $918,622.00, which includes an estimated $659,000.00 for required staff and an estimated $259,622.00 in operational costs. Exhibit 3 Ordinance No. NS-XXXX Page 1 of 16 75B-13 IS 3.31.16 G. On June 20, 1994, the City Council adopted Resolution No. 94-026 (Resolution) which approved and adopted the "Gold Sea! Incentive Program" whereby particular residential properties or residential apartments may be certified as having met standards of excellence in property maintenance and as certified, would be exempted from payment of the residential rental surcharge fee for a three-year period. H. Such Resolution is hereby rescinded and the Gold Seal Incentive Program is included in the terms of this ordinance. The funding for the Gold Seal Incentive Program is $110,000.00, which currently provides for 4,400 units to receive exemptions from the existing annual fee. The number of units that can be approved to participate in the Gold Seal Incentive Program will fluctuate with the adjustment of the annual fee in line with the consumer price index. J. According to 2015 records an inventory of 32,165 rental units are licensed for inspection. Subtracting out the 4,400 units qualified for the Gold Seal Incentive Program, 27,765 units are accountable for the $25.00 per unit annual fee, thus generating a combined annual revenue of $694,125.00. K. It is anticipated that the deficit for the PREP will be $335,557.00 for the PREP based on the estimated $918,622.00 in expenditures and $583,065.00 in revenues. City Council finds that continuation of the Proactive Rental Enforcement Program is essential to the neighborhoods in Santa Ana to provide assurance that the rental housing will not be allowed to revert to the condition which led to the initial concerns for the original implementation of the inspection program. Section 2. In accordance with the California Environmental Quality Act, the recommended action is categorically exempt from further review per section 15321, Class 21, as the project involves an enforcement action by a regulatory agency for an inspection program. A Categorical Exemption for Environmental Review No. ER-2015- 96 will be filed for this project. Section 3. Santa Ana Municipal Code Section 8-47 is hereby amended to read as follows: Sec. 8-47. Proactive rental enforcement program fee. All funds received pursuant to the provisions of section 2'-140rl ref-chapter-21 of Article X. Division 2 of Chapter 8 of this Code shall be deposited in a separate account and identified with a separate unique expenditure activity number. All such Ordinance No. NS-XXXX Page 2 of 16 75B-14 LS 3.31.16 funds shall be expended solely for the proactive rental enforcement program and shall not be used for any other purpose. All interest income earned by the moneys in the proactive rental enforcement program account shall also be expended only for the proactive rental enforcement program. Should such monies be invested in combination with other funds and accounts, then the pro rata share of the interest earned by all such monies that is attributable to the program account shall be expended for the proactive rental enforcement program. Section 4. In Chapter 8 of the Santa Ana Municipal Code, the words "Division 1" shall be inserted after the title "Article X." as follows: "ARTICLE X. PROPERTY MAINTENANCE" "DIVISION 1. GENERALLY." Section 5. Division 2. Is hereby added to Article X of Chapter 8 ("Property Maintenance") of the Santa Ana Municipal Code to read as follows: f ef� This Division of Chapter 8 is known as the "Proactive Rental Enforcement Program" may be cited as such, and will be referred to herein as "this Division". Sec. 8-1961. Purpose and Intent. ►_w The purpose of the Proactive Rental Enforcement Program (PREP) is to promote public, health, safety, and welfare through a system of proactive code enforcement involving residential rental property within the City of Santa Ana. This code enforcement effort is designed to ensure continued compliance with Section 17920.3 of the California Health and Safety Code, Chapter 8 and 41 of the Santa Ana Municipal Code (SAMC or Code), the Housing Code, the California Building, Electrical, Plumbing and Mechanical Codes which, as adopted by the City of Santa Ana, govern substandard building conditions. The implementation of this program also promotes environments in which unhealthy conditions and life safety hazards are reduced for occupants of residential rental property by identifying and correcting code violations which result in: a threat to occupants' safety, a threat to a building's structural integrity including plumbing, heating and electrical systems, and a negative impact on the surrounding neighborhood. Ordinance No. NS-XXXX Page 3 of 16 75B-15 LS 3,31.16 The intent of this Division is to proactively identify substandard conditions on residential housing property and in residential housing units located thereon; to ensure the preservation, rehabilitation or abatement of rental housing that does not comply with State and local building and housing laws and with maintenance standards established by this Division or is unsafe to occupy; to ensure the health and safety of residents of the City of Santa Ana living in rental housing units. It is the intent of this program to address conditions that are immediate hazards or clearly present a threat to human life, health or safety, Such conditions will receive full and rapid enforcement. Significant code violations that are not immediate hazards to human life, health or safety will be subject to full enforcement proceedings however, reasonable time periods shall be established for compliance. In accordance with the provision of Section 17920.3 of the Health and Safety Code, Chapter 41 of the Santa Ana Municipal Code, the Housing Code, the California Building, Electrical, Plumbing and Mechanical Codes, it is not the intent of this program to require mandatory retrofits of exiting conditions which were built or installed according to code requirements in effect at the time of building or installation and have been maintained in a good and safe manner, unless the retrofitting is required by ordinance as adopted by the City of Santa Ana. RTINW*.� For the purpose of this Division, the following terms, phrases and words shall have the meanings set forth below. "City" means the City of Santa Ana, a charter city and municipal corporation. "Executive Director' means the Executive Director of the Planning and Building Agency of the City, who is hereby authorized to carry out responsibilities under this Division, including making rules and regulations and adopting guidelines as may be necessary to aid in the clarification and enforcement of the provisions of this Division, or his/her designee. "Leasehold" or "leasehold interest" as applied to any real property shall mean any person who possesses or shares an estate in realty held under lease. As applied to any dwelling, building, structure, premises or portion thereof located on such real property, the term "leaseholder" and/or "leasehold interest" shall mean any person who possesses or shares in a contract for exclusive possession or control of any such dwelling, building, structure, premises or portion thereof for a limited time. "Leaseholder -lessor" shall mean any person, including the duly authorized agent of such person, who, while in possession of a leasehold or leasehold interest in any residential real estate, acts as a lessor by engaging in the subleasing, subletting, Ordinance No, NS-XXXX Page 4 of 16 75B-16 L5 3.31,16 providing, exchanging or trading of any such real property, dwelling, building, structure, premises or portion thereof without loss of leasehold. "Person" shall mean, without limitation, corporations of every kind, all firms and companies, partnerships of every kind, private trusts, real estate investment trusts, estates, associations, joint ventures, limited liability companies of every kind, cooperatives, all other types of business entities defined or authorized under federal and state laws, receivers, trustees, guardians or other representatives appointed by order of any court, and any natural individuals transacting and carrying on any business in the city as the duly authorized agent of any of the foregoing. "Property Owner' means that person or entity, including such person's duly authorized agent, holding a vested ownership interest in a given property, whether recorded or unrecorded, including any person appearing as the owner of record of the real property on the most current deed recorded in the Orange County Recorder's Office on the day of inspection and acting as an Owner -lessor. Property Owner shall include any person holding a leasehold interest acting as a Leaseholder -lessor on the day of inspection, including such person's duly authorized agent. In addition, Property Owner shall also mean any person holding equitable title in a given property pursuant to a land sale contract, including such person's duly authorized agent. "Owner -lessor" shall mean any person, including the duly authorized agent of such person, who, while an owner or while having an ownership interest in any residential real estate, acts as a lessor by engaging in the leasing, renting, providing, exchanging or trading of any such real property, dwelling, building, structure, premises or portion thereof without loss of ownership. "Owner's representative" means the property owner's duly authorized agent, including but not limited to, property manager or other person who has charge or control over a rental housing property or a rental housing unit on behalf of the property owner. "Occupant" means any person who occupies a unit, whether as an owner, tenant, co- tenant, lessee, or permittee of the owner, regardless of any lease agreement. "Premises" shall include all lands, buildings, accessory buildings or structures erected or modified, equipment and appurtenances connected or used therewith, and any personal property affixed to or otherwise used for the purpose of transacting and carrying on any business on such premises. "Rental housing property" means a parcel of real property, as shown on the latest equalized tax assessment roll as maintained by the assessor of the County of Orange, upon which at least one rental housing unit is maintained. "Rental housing property" includes the premises upon which a rental housing unit is located, including parking areas, driveways, landscaping, accessory structures, fences, walls, swimming pools, hot tubs, and spas. Ordinance No. NS-XXXX Page 5 of 16 75B-17 Ls 3.31.16 "Rental housing unit" means a dwelling unit, building, structure, premises or portion thereof that is being, or is intended to be, rented, leased, subleased, sublet, provided, exchanged or traded, without loss of ownership for the immediate or planned purpose of dwelling, sleeping, lodging, boarding or other such occupancy, accommodation or general residency. Examples of rental housing units covered by this Division include dwelling units in apartment complex buildings and apartment houses, dwelling units in duplexes, triplexes, fourplexes, and fiveplexes, dwelling units in condominiums, dwelling units in townhomes, dwelling units in planned unit developments, and dwelling units comprised of single family residences. "Rental housing unit' does not include units used for transient lodging such as dormitories, group homes, rooming or boarding houses, hotels, motels, and bed and breakfast facilities. "Reportable Violations" means those housing code violations which under this program shall give the City cause to issue an Administrative Citation, a Notice of Violation or Notice and Order. "Substandard condition" means the presence of any one or more of the following conditions on rental housing property: (i) any condition that constitutes a public nuisance as defined in California Civil Code Sections 3479-3480; (ii) any condition of deterioration or disrepair that creates a substantial adverse impact on neighboring properties; (iii) any violation of the City of Santa Ana Municipal Code that creates a substantial adverse impact on neighboring properties, such as graffiti or abandoned, wrecked, dismantled or inoperative vehicles (or parts thereof); or (iv) any condition not in compliance with the Building Standards Codes, as adopted in Chapter 8 of this Code, including the building, electrical, plumbing, and mechanical codes, the California Fire Code, or the State Housing Law (Health and Safety Code Sections 17910 et seq.). A substandard condition includes, but is not limited to, the following enumerated conditions; A. Property, whether improved or not, which is not kept substantially clean and free from accumulations including, but not limited to, overgrown, dead trees, weeds or other vegetation, rank growth, rubbish, junk, garbage, litter, debris, flyers or circulars. B. Buildings or structures which are unpainted or the exterior paint is substantially worn off; provided, however, that nothing in this section shall be construed to require an owner to paint a building where the architectural style indicates it was intended to be unpainted, such as a brown shingle building. C. Buildings or structures or significant sections thereof including, but not limited to, awnings, canopies, exterior stairs, roof, foundation, walls, fences, signs, retaining walls, driveways, or walkways which are substantially deteriorated or defaced, or windows which are missing or broken. For the purposes of this section, "defaced" includes, but is not limited to, writings, inscriptions, figures, scratches, or other markings commonly referred to as "graffiti." Ordinance No. NS-XXXX Page 6 of 16 75B-18 LS 3.31.16 D. Property which contains, in the outdoor area, any refrigerator, washing machine, sink, stove, heater, boiler, tank or any other household equipment, machinery, furniture, or item, appliance or appliances, boxes, lumber, dirt or debris, trash, garbage or refuse cans, or any items other than those commonly stored outdoors, or any parts of such items. This subsection does not prohibit machinery installed in the rear setback areas for household or recreational use, furniture designed and used for outdoor activities, trash cans in the front yard during the twenty-four hour period allowed for garbage pick-up, and garbage bins or debris boxes. Notwithstanding the above definition, public nuisances pertaining to unsafe buildings, structures, or property conditions, as defined by the Building Standards Codes, the California Fire Code, and/or the State Housing Law, shall not constitute a substandard condition for purposes of this Division and shall remain within the exclusive enforcement authority of the Building Official to the extent required by state and local law, Sec. 8-1963, Application/Scope. A. The provisions of this Division shall apply to all owners of one (1) or more residential rental dwelling units or rental housing property located within the city of Santa Ana, unless exempt as provided in this Division. B. The provisions of this Division are supplementary and complementary to other provisions of this Code and applicable statutes. Nothing in this Division may be construed to limit any existing right of the City to abate nuisances or to enforce any provisions of applicable law, statute, or this Code, including provisions of uniform codes adopted by reference in this Code. These provisions include, but are not limited to, the California Building Standards Codes, as adopted in Chapter 8 of this Code, including the building, electrical, plumbing, and mechanical codes, the California Fire Code, and the State Housing Law (Health and Safety Code Sections 17910 at seq.); and zoning requirements listed in Chapter 41 of this Code. C. The provisions of this Division shall not apply to legal accessory dwelling units, rooms rented to single individuals in an owner -occupied single-family residence, hotel or motel units subject to the hotel visitors' tax and mobile home parks. Sec. 8.1964, Regulations Non -Exclusive. The provisions of this Division regulating residential rental dwelling units are not intended to be exclusive, and compliance with this Division shall not excuse non- compliance with any other applicable provision, requirement, or regulation of this Code or any applicable state and federal law. Nothing in this Division shall limit or preclude inspection conducted by the fire department inspectors for compliance with fire codes. Ordinance No. NS-XXXX Page 7 of 16 75B-19 LS 3.31.16 Every owner of a rental housing unit or rental housing property in the City shall: A. Maintain the rental housing unit and the rental housing property so that no substandard condition exists at the rental housing unit or on the rental housing property; B. Correct all substandard conditions before a re -inspection occurs; and C. Be liable for violations of this Division regardless of any contract or agreement with any third party concerning the rental housing unit and/or its rental housing property. Sec.8-1966. Exemptions. A. The following rental housing units shall be exempt from the requirements of this Division: 1. Legal accessory dwelling units and/or rooms rented to single individuals in an owner -occupied single family residence. 2. Rental housing units comprised of a single-family residence or other undivided single residential rental premises as between an owner or leaseholder and any individual immediately related by blood, adoption or marriage to said owner or leaseholder, as approved by law, where the remuneration rendered to said owner or leaseholder does not exceed the cost of maintaining said premises, as set forth in this Code. 3. Eligibility for the fee exemptions herein provided is restricted to property owners who are natural persons and whose ownership of or leasehold interest in said residential rental property is undivided. 4. A property owner or leaseholder claiming a fee exemption under this section shall have the burden of furnishing to the Executive Director such information as the Executive Director may require to support the claim of eligibility for exemption. B. Gold Seal Incentive Program. If a Property Owner's rental housing property or rental housing unit qualifies for the Gold Seal Incentive Program (as further described in Exhibit A (the "Gold Seal Incentive Program Outline") incorporated herein by this reference as though fully set forth, the Property can be exempt from the periodic regulatory inspection fee for four (4) years. In order to qualify for the incentive program, a rental property owner must pass all parts of a three -stage process, as described more fully in Exhibit A. Sec.8-1967. Fees. A. The following fees are established and shall be imposed upon the owners of rental housing properties: Ordinance No. NS-XXXX Page 8 of 16 75B-20 LS 3,31.16 1. Rental Housing Inspection Fee. A non-proratable regulatory inspection fee in the amount established by resolution of the City Council shall be assessed annually on a July 1 s'to June 30111 fiscal year basis to each owner of residential rental property within the City of Santa Ana to cover the cost of administering and enforcing the provisions of the Proactive Rental Enforcement Program. Except where otherwise provided under the terms of this Division, the Rental Housing Inspection Fee shall be payable 30 days in advance of each fiscal year period. The Property Owner shall have the responsibility for payment of this fee. 2. Re -inspection Fee. The City may, at the discretion of the Executive Director, charge a property owner a re -inspection fee only on the third and subsequent visit to a property for a specific violation. In the event a Rental Housing Property Re -inspection Fee is assessed during the aforementioned fiscal year period it shall be billed and the fee shall be due and payable within thirty (30) days. 3. Permit Fees. Regular permit fees shall be charged upon issuance of permits required for any alteration or repairs to a structure or its utilities as required by the Santa Ana Municipal Code, the Housing Code, Health and Safety Codes and the California Code of Regulations. The Executive Director is authorized to establish procedures for the collection of Permit Fees and any delinquent fees plus interest. B. The City Council shall establish the amounts of the foregoing fees by resolution. C. The Rental Housing Inspection Fee shall first be billed and become due and payable July 1, 2016 for all known `Rental Housing Units" which exist within the City of Santa Ana upon the effective date of this ordinance and such fees shall be deemed past due and delinquent after July 31, 2016, For each subsequent year such fees shall be billed before the last business day in the month of May and shall be due by the last day in the month of June following and deemed delinquent thereafter. Where a newly established, or previously unknown, or previously exempt rental housing property or rental property unit is made known to, or is discovered by the City, or otherwise becomes eligible for payment of the Rental Housing Inspection Fee during the aforementioned fiscal year period it shall be billed and the fee shall be due and payable within thirty (30) days. D. When the last day of the month in which any fee penalty or late interest charge required to be paid pursuant to this Division is due falls on a Saturday, Sunday, or state or national holiday, or City Hall closure day, the payment of such fee may be made without penalty on the first working day of the succeeding month. For the purpose of this Division, postmarks shall be accepted as the date of payment made, provided the transmitting envelope contains a post office cancellation indicating not later than the date due, or in the case of a weekend or holiday, or City Hall closure day, not later than the first following working day. Ordinance No, NS-XXXX Page 9 of 16 75B-21 LS 3.31.16 E. Whenever any other payment of any fee required to be paid is received after the time prescribed and such payment was deposited in the United States mail prior to the time prescribed for the receipt thereof, the Executive Director shall regard such payment as having been timely received. Where said due date falls on a weekend, holiday, or City Hall closure day then payment of said fee may be deemed timely if received on the next City business day following in accordance with the criteria established in subsection (D) above. To effectively and equitably implement the purpose and intent of the general provisions of this Division the Executive Director, in his or her discretion, may vary the strict procedural, enforcement, collection, or other administrative requirements of this Division. In addition to all other authority conferred upon him or her, the Executive Director shall have the power, for good cause shown, to waive or reduce any penalty or late interest imposed, or fee demanded. Sec. 8-1968. Fees - Adjustment for Annual Change in Consumer Price Index. The fees adopted in accordance with this Division shall be adjusted annually in accordance with the consumer price index as published by the United States Department of Labor for the Los Angeles -Riverside -orange County (formerly Los Angeles -Long Beach -Anaheim) metropolitan area. For purposes of calculating the annual adjustment factor under this section the base year shall be the calendar year ending December 31, 2015. Fees shall first be adjusted on April 1, 2017, to reflect the change between the 2015 base year and the 2016 calendar year ending December 31, 2016, and shall be adjusted on April 1 st of each successive year thereafter, based on the annually adjusted change from the base year. Said adjustment shall be rounded off to the nearest whole percent per hundred as follows: If the remaining fraction of a percent is forty-nine one -hundredths of a percent or less such fraction shall be omitted. If the remaining fraction of a percent is fifty one -hundredths of a percent or more, the next highest percent shall be applied to each fee specified pursuant to this Division as adopted, or as from time -to -time amended. Sec. 8.1969. Penalties for Delinquent Payment of Fees. For failure to fully pay any required fee(s) when due, the Executive Director shall add the following penalties: A. Ten dollars ($10.00) or ten (10) percent of the unpaid balance of said fee(s), whichever is greater, on the past due date thereof; B. Fifteen dollars ($15.00) or fifteen (15) percent of the unpaid balance of said fee(s), whichever is greater, on the first day of the second month after the due date thereof; Ordinance No. NS-XXXX Page 10 of 16 75B-22 LS 131.16 C. Twenty-five dollars ($25.00) or twenty-five (25) percent of the unpaid balance of said fee(s), whichever is greater, on the first day of the third month after the due date thereof; and D. Fifty dollars ($50.00) or fifty (50) percent of the unpaid balance of said fee(s), whichever is greater, on the first day of the fourth month after the due date thereof. The maximum amount of delinquent penalty, exclusive of late interest, shall not exceed an amount equal to one hundred (100) percent of the amount of the fee(s) past due. Notification of delinquent past due fee(s) will be given by first class mail no later than the fifteenth day of each month after the month in which said fee(s) first became delinquent, until the maximum penalty is imposed. Sec. 8-1970. Penalties - Added to Fee. Any penalties hereinabove assessed for delinquent past due fees, exclusive of interest, upon attaining a combined amount equal to one hundred (100) percent of the amount of such fee shall become merged with the fee payable hereunder and shall be considered as a part thereof for all collection purposes. Sec. 8-1971. — Late Interest. In addition to the past due delinquency penalties imposed in Section 8-1959, any Rental Property Owner that fails to pay the Rental Housing Unit Fee due shall pay interest at the rate of one (1) percent per month, or portion thereof, exclusive of penalties, on the amount of the unpaid fee, from the date on which payment first became past due and delinquent until paid -in -full or otherwise satisfied. Provided however, that pursuant to Section 8-1970 penalties upon attaining a combined amount equal to one hundred (100) percent of the fee due are merged with the fee payable hereunder and any additional interest charged from such date on shall be charged on the combined amount past due and delinquent until paid in full or otherwise satisfied. Sec. 8-1972. Notice of Inspection. A. The City shall serve written notice of pending inspection on the property owner at least fifteen (15) days prior to the inspection. Such notice will be mailed via first- class mail to the owner and to the owner's representative (if any) at the owner's and owner's representative's addresses, as they appear on the owner's current business license. Such notice will request that the owner call and schedule an inspection within fifteen (15) days, If an owner fails to call to schedule an inspection appointment, the City will send the owner a fifteen (15) day notice of the scheduled date and time of the inspection. This notification requirement is waived however, if the property owner and the City mutually agree upon the date and time of an inspection or re -inspection. Ordinance No. NS-XXXX Page 11 of 16 75B-23 LS 3.31.16 B. The owner or the owner's representative must notify the occupants or lessees of the date and time of the interior inspection or otherwise obtain legal access to the unit/s pursuant to the terms of the applicable lease or rental agreement. C. If the occupant or lessee of a rental housing unit does not consent to entry for inspection, the Executive Director is authorized to seek approval of an inspection warrant from a court of competent jurisdiction to cause the inspection to take place. The owner shall not be penalized or fined for the failure of a lessee to afford access to a rental housing unit which is the subject of such an inspection, provided that the owner and/or the owner's representative cooperates with the Executive Director. Sec. 8-1973. Inspections. The frequency with which a property is inspected over a four-year period shall be determined by the Executive Director, however inspections shall be performed at least once every four years (unless exempt as set forth in this Division). A. Level One Inspection Under the Level One Inspection, only the exterior and/or common areas of the property will be inspected with all violations being cited. This inspection will be done in accordance with a uniform procedure and will involve a standardized checklist of those items which will be evaluated on each property. The checklist will include violations involving any visible substandard and health and safety conditions; general property maintenance violations; and any other violations of the Santa Ana Municipal Code. These violations may include: a. Poorly maintained landscaping b. Lack of address on structure G. Trash and debris d. Inoperative vehicles e. Trash containers in public view f. Lack of paint on wood surfaces g. Balcony storage h. Deteriorated driveways, porches, landings and balconies I. Deteriorated stairs, guardrails, railings and handrails j. Illegal storage k. Unapproved structural/plumbing/electrical/mechanical exterior alterations I. Other unsightly conditions B. Level Two Inspection The Level Two Inspection may be used on multi -family properties and will consist of an exterior inspection of all structures and common areas, and an interior inspection of twenty percent (20%) of selected units. This exterior and interior inspection will be done in accordance with a uniform procedure of those items which will be evaluated in each Ordinance No. NS-XXXX Page 12 of 16 75B-24 LS 3.31.16 unit. The exterior inspection will include the checklist of violations listed under the Level One Inspection and the interior inspection will include a checklist of: a. Unapproved structural/plumbing/electrical/mechanical interior alterations b. Deteriorated plumbing, electrical, mechanical or structural systems c. Deteriorated walls and floors d. Other substandard conditions as noted in Health and Safety Code Section 17920.3. C. Level Three Inspection The Level Three Inspection will consist of an interior inspection of all units on multi- family properties or an interior inspection of the home on single family properties. This is the most complete level of inspection and will be done in accordance with a uniform procedure and will involve a standardized checklist of those items which will be evaluated in each unit. This checklist will be consistent with the Level One Inspection and the Level Two Inspection. Sec. 8-1974. Notification of Inspection Results. Within thirty (30) days following an inspection performed under this Division in which any violations are found, the City will send to the Property Owner, by first class mail, a formal notice listing all violations found. Sec.8-1975. Compliance. A Property Owner who has been issued a Notice of Violation, Administrative Citation or Notice and Order must correct all reportable violations within the specified timeframes listed on the Administrative Citation, Notice of Violation or Notice and Order. Before initiating any correction of the substandard condition or conditions identified in the formal notice/s by the City to comply, the Owner or the Owner's representative of the rental housing unit shall obtain all necessary permits and pay all required fees for the permits, including, without limitation, any penalty imposed by this Code by reason of any repair, improvement or maintenance which had been done in the past without a required permit, inspection or final City approval. Sec. 8-1976. Failure to Comply. When a Property Owner receives an Administrative Citation, a Notice of Violation or a Notice and Order, s/he is required to make all necessary repairs outlined in such notice in the prescribed compliance period. If a Property Owner fails to comply within the specified timeframe, s/he may be subject to civil citation fines or any other legal remedy established by law which may be pursued to address violations of the Municipal Code. The use of the administrative citation fines in place of other remedies shall be at the sole discretion of the City (SAMC section 1-21). Issuance of administrative citation fines shall not be deemed a waiver of any other enforcement remedies found within this Code Ordinance No, NS-XXXX Page 13 of 16 75B-25 LS 3.31.16 including the referral of a Notice of Violation and/or Notice and Order being referred to the City Attorney's Office for legal action. Sec.8.1977. Appeals. A. Any recipient of an administrative citation may contest that there was a violation of the Santa Aria Municipal Code or that he or she is the responsible person by completing a "request for hearing" form and returning it to the City within fifteen (15) days from the date the administrative citation is served or deemed to have been served as indicated in Section 1-21 of this Code. Such "request for hearing" forms shall be made available at no charge by the planning and building agency. A failure to file a timely "request for hearing" shall be deemed a waiver of the right to appeal the citation and to seek judicial review (SAMC section 1-21.8). B. A Property Owner may initiate an administrative appeal to the Executive Director regarding the notices, violations, citations and/or fees that the Property Owner has received in conjunction with a property inspection as performed under the provisions of this program at set forth in Chapter 3 (Uniform Hearing and Appeal Procedure). Sec. 8.1978. Penalty for violation. Every violation of the provisions of this Division shall be deemed to be a misdemeanor and, upon conviction thereof, shall be punishable as provided for in section 1-8 of this Code. Each day any violation of any said provision of this article shall continue shall constitute a separate offense. In addition, the City may seek injunctive relief and civil penalties in court for violations of this Division. The remedies provided for in this Division shall be cumulative and not exclusive of any other remedies available under any other federal, state or local laws. Sec. 8-1979, Relocation Costs. If any lessee is displaced from a rental housing unit after an order to vacate issued by the Executive Director because a violation is of such a nature that the immediate health and safety of the lessee is endangered, the costs and expenses of relocating the lessee from the unit are and shall be the responsibility of the owner to the extent required by State law (Health & Safety 17975-17975.10) and in accordance with the terms of the lessee's rental agreement, if any. Sec. 8-1980, Removal of Tax Benefit. If, after a notice and order to repair has been issued, and the property owner fails to correct the violation, the City may utilize any administrative or legal remedy available. Further, the City intends to utilize the provisions of Section 24436.5 of the Revenue and Taxation Code to encourage the elimination of substandard conditions in rental housing. Said section provides for the disallowance for State income tax purposes of interest, Ordinance No. NS-XXXX Page 14 of 16 75B-26 LS 3.31.16 depreciation, taxes, or amortization deductions, which are derived from the ownership of rental housing which is not in compliance. The City is also authorized to use the remedies set forth in State Housing law. Sec. 8-1981. Nonpayment of Fee; Assessment of Fee Debt by Public Lien; Recording and Enforcement of Liens; Recording Service Fee. A. Recording of a Certificate of Lien. If any fee amount, including penalties, late interest, and any administrative fees or fines required to be paid under this Division is not paid when due, the Executive Director, or any duly authorized employee of the City acting as his or her designated agent, may record or cause to be recorded, in the office of the Orange County Recorder, a certificate which specifies the amount due, the name and address of the person liable for the same, a statement that the Executive Director has complied with all provisions of this Division in the determination of the amount required to be paid, and a legal description of the real property owned by such person. From the time of the recording of the certificate, the amount required to be paid together with penalties, interest, and administrative fees owing constitutes a lien upon all real property in the county owned by such person or thereafter acquired before the lien expires. The lien shall have the force, effect and priority of a public lien and shall continue for ten (10) years from the filing of a certificate unless sooner released or otherwise discharged. E3. Recording service fee. Whenever the Executive Director in his or her discretion determines that the recording of a certificate of lien is desirable to secure and effectuate the collection of any amount required to be paid under the terms of this Division, then a recording service fee shall be applicable in the amount as specified by resolution of the city council. Section 6. If any section, subsection, sentence, clause or 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 or phrase or portion thereof irrespective of the fact that any one or more section, subsection, sentence, clause or phrase or portions be declared invalid or unconstitutional. Ordinance No. NS-XXXX Page 16 of 16 75B-27 ADOPTED this day of April 2016, Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia Carvalho, City Attorney Lisa 916rck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers R NOT PRESENT Councilmembers Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY LS 3,31.'16 I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NSXXX to be the original ordinance adopted by the City Council of the City of Santa Ana on 2016, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Clerk of the Council City of Santa Ana Ordinance No. NS-XXXX Page 16 of 16 75B-28 GOLD SEAL INCENTIVE PROGRAM iin1iWi iIkjkg The incentive program is a mechanism that positively affects the quality of rental housing in the City of Santa Ana. The program provides a monetary and marketing incentive for rental property owners to abide by a set of minimum criteria - criteria that is, in some cases, over and above that which is required by law, Monetary Incentive - Owners of rental property who apply and qualify for the program are exempt from the regulation inspection fee. Marketing Incentive - Owners of rental property who apply and qualify for the program are presented with materials to utilize when marketing their units. 2. ELIGIBILITY All rental properties in the City of Santa Ana that pay a current regulation inspection fee are eligible for the incentive program. A property with any one of the following conditions is ineligible for the incentive program: A. Unpaid regulatory inspection fee B. Outstanding code violations Application Fees — Application fees will not be charged for the first 100 applications. After the first 100 applications are processed, staff will evaluate whether or not an application fee should be charged as a disincentive for frivolous filings. 3. QUALIFYING FOR THE INCENTIVE PROGRAM In order to qualify for the incentive program, a rental property owner must pass all parts of a three - stage process, Level One - The rental property owner will notify the City that he/she wishes to apply for the incentive program and fill out the appropriate application. This will initiate a review and evaluation of the property's management practices. Owners will be asked to provide the necessary information and documentation to verify that they currently adhere to the following five good management practices: Good Management Practices: a) Owner abides by all fair housing laws b) Owner uses a formal method to screen all potential residents c) Owner utilizes a written rental agreement that contains specific criteria d) Owner utilizes written "House Rules" e) Owner performs "walk-throughs" at the beginning and end of each tenancy 7513-29 Specific criteria necessary for verification of the "good management practices" shall be outlined in the program implementation policy. Each management practice must be passed in order to advance to Level Two and is subject to on -site verification during the Level Two inspection. Level Two - Only owners who have passed Level One of this program will be eligible to initiate Level Two. This stage consists of an exterior inspection of the property and verification of the current use of the good management practice materials submitted by the owner during Level One. The criteria for this exterior inspection is listed under "Violation Checklist" and the inspector evaluating the exterior conditions will do so with the goal that such conditions should be in an "above average" to "superior" condition and collectively the property should be in exceptional condition. The criteria and/or specific materials necessary for the on -site verification of the good management practices shall be outlined in the program implementation policy and the property owner shall be made aware of the materials necessary prior to the Level Two inspection. A property must have a 100% pass rating of the criteria listed under "Violation Checklist, Exterior/Common Area, Must Pass Items" and have an overall 85% pass rating of rest of the criteria in order to clear approval of Level Two and advance to Level Three of the incentive program. Level Three - Only owners who have passed Level Two of this program will be eligible to initiate Level Three. This stage consists of an interior inspection of rental units. The criteria for this inspection is listed under "Violation Checklist, Interior Areas" and the inspector evaluating the interior conditions will do so with the goal that such conditions should be in an "above average" to "superior" condition and collectively the property should be in exceptional condition. A maximum of 10% of the dwelling units in a complex (rounded up on any fraction) will be inspected (but no less than one unit). The units to be inspected will be selected by the inspector from a list of at least 20% of the units on the property (vacant and/or occupied) selected by the owner. A property must achieve a score of 85% or higher to achieve passage of this stage of the incentive program. Prioritization of Applications - Applications will be reviewed in the order they are received. Incentive benefits will be awarded on a first come basis by qualification date. Twenty percent of the properties qualifying for the benefits must contain 15 units or less and 20% must contain 16 units or more. The remaining sixty percent may be from either category. Applicants whose properties qualify for the Gold Seal benefit but who cannot receive exemption due to a lack of available funding will be placed on a priority list by certification date. Should funding become available, these priority applicants will only be required to pass a Level 1 inspection to qualify for the available funds. The certification period will begin on the date they pass all the required program incentive criteria. 75B-30 4. AWARDING THE "GOLD SEAL" Only owners who have achieved passage of all three levels will qualify for the monetary and marketing incentives granted to exceptional properties under the Gold Seal incentive program. Once granted, the Gold Seal will be valid for four (4) years and will run with the property, not with the ownership, during that time. However, it is the responsibility of the new owner to notify the City of the transfer of ownership and to continue to meet the obligations of the program. After 4 years, in order for a property to continue to receive the benefits of the Gold Seal incentive program, the owner must reapply for the program and completely requalify through the process outlined in this document, 5. DELAYED EXEMPTIONS Applicants who fail to meet the established qualification deadline to be certified for the Gold Seal benefit may be qualified for the award when the applicant can provide proof that a processing delay on the part of the City was the cause for them missing the deadline. 6. QUALIFICATION EXEMPTION On occasion a property may be documented to have exemplary management practices, but such efforts are negated by special circumstances beyond the owner's/manager's control (such as property location, gang activity or external vandalism) which prevent the property from qualifying. In some rare cases and only at the discretion of the Code Enforcement Manager, certain properties may be qualified for the benefits of the incentive program because of special circumstances. 7. LOSS OF INCENTIVE PROGRAM PRIVILEGES If a qualified property has deteriorated to the point that it is no longer exceptional, the Code Enforcement Manager may choose to re-evaluate the property and, if necessary, revoke the property's incentive program privileges. Program privileges would cease on the date the revocation occurs. Such properties would not be eligible for the incentive program benefits for a period of twelve (12) months beginning with the date of revocation. Property owners whose property privileges have been revoked may not reapply during the twelve (12) months they are on suspension. The privileges of requalifying properties will not be effective until the beginning of the next fiscal year following the twelve (12) month suspension. Those owners who have applied for the incentive program but do not qualify or have failed may appeal such decisions to the Executive Director or his/her designee. The decision of the Executive Director, or his/her designee, shall be final. 75B-31 GOLD SEAL INCENTIVE PROGRAM VIOLATIONS CHECKLIST Must Pass Items (100% on applicable items): 1. Poor landscaping - no ground cover, dirt areas, unsightly, dead trees, overgrown yard. 2. Excessive chipped/peeling paint. 3. Graffiti. 4. Damaged/unsightly fences. 5. Unauthorized enclosed balconies/patios. 6. Unpermitted/illegal lock(s) on required exit(s). Must Pass Items (85% or higher on applicable items): 7. Deteriorated/substandard roofing. 8. Unsafe pools — pools with algae, unsafe pool fences and pool gates. 9. Loose or unsafe stairs, handrails or guardrails. 10. Unsafe or severely damaged decking/subfioor on balconies above ground level 11. Unapproved building, electrical, plumbing or mechanical alterations. 12. Excessive broken sprinklers. 13. Torn window/door screens. 14. Uneven sidewalks and/or walkways. 15. Dirty hallways, sidewalks or walkways. 16. Illegal fences. 17. Unsightly window coverings. 18. Deteriorated driveways, blocked driveways, excessive oil on driveways. 19. Excessive or unsightly storage on balconies or patios. 20. Drying clothes on fences or bushes. 21. Loitering on property. 22. House furniture in common/public areas. 23. Remaining evidence of sewage spill. 24. Dirty building exterior. 25. Illegal storage under carports. 26. Inoperable vehicles. 27. Vehicles for sale. 28. Street or unit numbers missing. 29. Banners without permits. 75B-32 VIOLATIONS CHECKLIST :il d01alei TE0107&[Lool 1=17�sF� Must Pass Items (85% or higher on applicable items): 30. Storage on roof 31, Broken/missing mailboxes. 32. Cracks or holes in siding. 33. No manager office sign. 34. Inoperative exit signs. 35. Business on property without proper permits. 36. Dirty common areas/play areas. 37. Dirty awnings. 38. Excessive trash/debris throughout common areas. 39. Dirty trash bins, excessive trash lying outside trash enclosure. 40. Trash containers in unapproved locations. 41. Unapproved security screen doors. 42. Broken or missing fire extinguishers. 43, Leaking plumbing. 44. Hazardous electrical condition(s). 45, Damaged exterior doors. 46, Damaged shutters. 47. Stairs, handrails, guardrails in need of paint. Must Pass Items (100% on applicable items): 1. Missing smoke detector in bedroom(s). 2. Missing smoke detector in hallway(s) adjacent to bedroom(s) 3. Missing carbon monoxide detector. 4, Uncapped gas line(s). 5. Lack of hot/cold running water. 6. Sleeping in closet or kitchen. 7. Unapproved/unsafe light fixture(s). 8. Unlicensed commercial activity in unit. 9. Unapproved security bars on windows. 10, Loose or unsafe stairs, handrails or guardrails. 11. Unpermitted water heater change -out. 12. Interior hoarding conditions. 13. Unapproved building, electrical, plumbing or mechanical alterations. 75B-33 GOLD SEAL INCENTIVE PROGRAM VIOLATIONS CHECKLIST Must Pass Items (85% or higher on applicable items): 14. Illegal lock or latch on exterior doors(s). 15. Lock and/or hasps on bedroom door(s). 16. Clogged/leaking plumbing. 17. Inoperative electrical outiet(s)/improper wiring. 18. Severely deteriorated floor covering/sub-flooring. 19. Lack of/inoperable heating. 20. Smoke detector(s) inoperative/not provided. 21. Unapproved structural alterations. 22. Cockroach/rodent infestation. 23. Missing/severely damaged switch/plug cover(s). 24. Broken tub/shower glass. 25. Electrical appliances(s) used in unapproved exterior location. 26. Unsightly balcony storage. 27. Laundry drying on patio or, balcony. 28. Trash chute and/or surrounding are not in sanitary condition. 29. Deteriorated/water damaged interior walls(s). 30. Deteriorated/water damaged ceiling(s). 31. Dire need of paint on interior walls. 32. Severely deteriorated cabinets or drawers 33, Blocked bedroom emergency exits(s). 34, Cover plates missing on wall heater. 35. Unvented fuel burning heater. 36. Damaged interior door(s). 37. Peeling paint on walls or ceilings. 38. Grossly deteriorated/insanitary countertops. 39. Inoperative bathroom ventilation. 40. Interior of unit filthy/insanitary. 41. Occupants in unit exceed number on rental agreement. 42. Items hanging from sprinkler head and/or lines. 43. Deteriorated window covering(s). 44. Inoperable kitchen exhaust vent. Gold Seal Program 2016 Ordinance Exhibit A 75B-34 CCM 05/03/2016 75B (Exhibit 3 updated) LS 2 315_2.16 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE PROACTIVE RENTAL ENFORCEMENT PROGRAM (PREP) IN CHAPTER EIGHT OF THE SANTA ANA MUNICIPAL CODE THE CITY COUNCIL OF THE CITY OF SANTA ANA HEREBY ORDAINS AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City Council of the City of Santa Ana previously adopted the Proactive Rental Enforcement Program (PREP), to provide periodic and systematic inspections of all residential rental properties in the City of Santa Ana. B. The PREP is intended to uncover unsanitary conditions and life safety hazards for occupants of residential rental properties, to ensure that rental properties have operable and safe water, sewage disposal, heating and electric systems, and to encourage owners or managers of residential rental properties to make repairs and conduct preventative building maintenance before deteriorated conditions upon rental property become life safety issues. C. The previous PREP program ermfnated lay-li s o�et clause on December 31, 2015, and the City Council hereby finds that the establishment of a periodic housing inspection program is necessary to protect the public health, safety and welfare of its residents. D. All fees assessed for the PREP bear a direct correlation between the amount of the fee and the actual cost of the services provided, including administration, enforcement and implementation services specifically related to the PREP. F-.E. Total projected expenditures for the PREP would amount to an estimated $918,622.00, which includes an estimated $659,000.00 for required staff and an estimated $259,622.00 in operational costs. Ordinance No. NS-XXXX Page 1 of 16 75B-35 LS 3435_2.16 G FOn June 20, 1994, the City Council adopted Resolution No. 94-026 (Resolution) which approved and adopted the "Gold Seal Incentive Program" whereby particular residential properties or residential apartments may be certified as having met standards of excellence in property maintenance and as certified, would be exempted from payment of the residential rental surcharge fee for a three-year period. H-.G_Such Resolution is hereby rescinded and the Gold Seal Incentive Program is included in the terms of this ordinance. 4 H. The funding for the Gold Seal Incentive Program is $110,000.00, which currently provides for 4,400-4, 882 units to receive exemptions from the existing annual fee. The number of units that can be approved to participate in the Gold Seal Incentive Program will fluctuate with the adjustment of the annual fee in line it..h. the GORSUrner price iRd8X. 4-,I. According to 2015 records an inventory of 32,165 rental units are licensed for inspection. Subtracting out the 4,400 4,782 units qualified for the Gold Seal Incentive Program, 2-7,765-27,383 units are accountable for the $2-&.08 23.00 per unit annual fee, thus generating a sembined-annual revenue of Q694,1 o=oo $629,809.00. K--J It is anticipated that the deficit for the PREP will be $335,657.00 $288,813.00 far 'o �P based on the estimated $918,622.00 in expenditures and $583,065.-0& $629,809.00 in revenues. K_City Council finds that continuation of the Proactive Rental Enforcement Program is essential to the neighborhoods in Santa Ana to provide assurance that the rental housing will not be allowed to revert to the condition which led to the initial concerns for the original implementation of the inspection program. Section 2. In accordance with the California Environmental Quality Act, the recommended action is categorically exempt from further review per section 15321, Class 21, as the project involves an enforcement action by a regulatory agency for an inspection program. A Categorical Exemption for Environmental Review No. ER-2015- 96 will be filed for this project. Section 3. Santa Ana Municipal Code Section 8-47 is hereby amended to read as follows: Sec. 8-47. Proactive rental enforcement program fee. All funds received pursuant to the provisions of section 21 "^. , (a) of chapter 21 of Article X. Division 2 of Chapter 8 of this Code shall be deposited in a separate account and identified with a separate unique expenditure activity number. All such Ordinance No. NS-XXXX Page 2 of 16 75B-36 LS 37315.2.16 funds shall be expended solely for the proactive rental enforcement program and shall not be used for any other purpose. All interest income earned by the moneys in the proactive rental enforcement program account shall also be expended only for the proactive rental enforcement program. Should such monies be invested in combination with other funds and accounts, then the pro rata share of the interest earned by all such monies that is attributable to the program account shall be expended for the proactive rental enforcement program. Section 4. In Chapter 8 of the Santa Ana Municipal Code, the words "Division 1" shall be inserted after the title "Article X." as follows: "ARTICLE X. PROPERTY MAINTENANCE". "DIVISION 1. GENERALLY." Section 5. Division 2. Is hereby added to Article X of Chapter 8 ("Property Maintenance") of the Santa Ana Municipal Code to read as follows: Sec. 8-1960. Titla, This Division of Chapter 8 is known as the "Proactive Rental Enforcement Program" may be cited as such, and will be referred to herein as "this Division". The purpose of the Proactive Rental Enforcement, Program (PREP) is to promote public health, safety, and welfare through a system of proactive code enforcement involving residential rental property within the City of Santa Ana. This code enforcement effort is designed to ensure continued compliance with Section 17920.3 of the California Health and Safety Code, Chapter 8 and 41 of the Santa Ana Municipal Code (SAMC or Code), the Housing Code, the California Building, Electrical, Plumbing and Mechanical Codes which, as adopted by the City of Santa Ana, govern substandard building conditions. The implementation of this program also promotes environments in which unhealthy conditions and life safety hazards are reduced for occupants of residential rental property by identifying and correcting code violations which result in: a threat to occupants' safety, a threat to a building's structural integrity including plumbing, heating and electrical systems, and a negative impact on the surrounding neighborhood. Ordinance No. NS-XXXX Page 3 of 16 75B-37 LS 3245 2.16 B. Intent The intent of this Division is to proactively identify substandard conditions on residential housing property and in residential housing units located thereon; to ensure the preservation, rehabilitation or abatement of rental housing that does not comply with State and local building and housing laws and with maintenance standards established by this Division or is unsafe to occupy; to ensure the health and safety of residents of the City of Santa Ana living in rental housing units. It is the intent of this program to address conditions that are immediate hazards or clearly present a threat to human life, health or safety. Such conditions will receive full and rapid enforcement. Significant code violations that are not immediate hazards to human life, health or safety will be subject to full enforcement proceedings however, reasonable time periods shall be established for compliance. In accordance with the provision of Section 17920.3 of the Health and Safety Code, Chapter 41 of the Santa Ana Municipal Code, the Housing Code, the California Building, Electrical, Plumbing and Mechanical Codes, it is not the intent of this program to require mandatory retrofits of exiting conditions which were built or installed according to code requirements in effect at the time of building or installation and have been maintained in a good and safe manner, unless the retrofitting is required by ordinance as adopted by the City of Santa Ana. Sec.8-1962. Definitions. For the purpose of this Division, the following terms, phrases and words shall have the meanings set forth below. "City" means the City of Santa Ana, a charter city and municipal corporation. "Executive Director" means the Executive Director of the Planning and Building Agency of the City, who is hereby authorized to carry out responsibilities under this Division, including making rules and regulations and adopting guidelines as may be necessary to aid in the clarification and enforcement of the provisions of this Division, or his/her designee. "Leasehold" or "leasehold interest' as applied to any real property shall mean any person who possesses or shares an estate in realty held under lease. As applied to any dwelling, building, structure, premises or portion thereof located on such real property, the term 'leaseholder' and/or "leasehold interest' shall mean any person who possesses or shares in a contract for exclusive possession or control of any such dwelling, building, structure, premises or portion thereof for a limited time. 'Leaseholder -lessor shall mean any person, including the duly authorized agent of such person, who, while in possession of a leasehold or leasehold interest in any residential real estate, acts as a lessor by engaging in the subleasing, subletting, Ordinance No. NS-XXXX Page 4 of 16 75B-38 LS 331.5.2.16 providing, exchanging or trading of any such real property, dwelling, building, structure, premises or portion thereof without loss of leasehold. "Person" shall mean, without limitation, corporations of every kind, all firms and companies, partnerships of every kind, private trusts, real estate investment trusts, estates, associations, joint ventures, limited liability companies of every kind, cooperatives, all other types of business entities defined or authorized under federal and state laws, receivers, trustees, guardians or other representatives appointed by order of any court, and any natural individuals transacting and carrying on any business in the city as the duly authorized agent of any of the foregoing. "Property Owner" means that person or entity, including such person's duly authorized agent, holding a vested ownership interest in a given property, whether recorded or unrecorded, including any person appearing as the owner of record of the real property on the most current deed recorded in the Orange County Recorder's Office on the day of inspection and acting as an Owner -lessor. Property Owner shall include any person holding a leasehold interest acting as a Leaseholder -lessor on the day of inspection, including such person's duly authorized agent. In addition, Property Owner shall also mean any person holding equitable title in a given property pursuant to a land sale contract, including such person's duly authorized agent. "Owner -lessor" shall mean any person, including the duly authorized agent of such person, who, while an owner or while having an ownership interest in any residential real estate, acts as a lessor by engaging in the leasing, renting, providing, exchanging or trading of any such real property, dwelling, building, structure, premises or portion thereof without loss of ownership. "Owner's representative" means the property owner's duly authorized agent, including but not limited to, property manager or other person who has charge or control over a rental housing property or a rental housing unit on behalf of the property owner. "Occupant" means any person who occupies a unit, whether as an owner, tenant, co- tenant, lessee, or permittee of the owner, regardless of any lease agreement. "Premises" shall include all lands, buildings, accessory buildings or structures erected or modified, equipment and appurtenances connected or used therewith, and any personal property affixed to or otherwise used for the purpose of transacting and carrying on any business on such premises. "Rental housing property" means a parcel of real property, as shown on the latest equalized tax assessment roll as maintained by the assessor of the County of Orange, upon which at least one rental housing unit is maintained. "Rental housing property" includes the premises upon which a rental housing unit is located, including parking areas, driveways, landscaping, accessory structures, fences, walls, swimming pools, hot tubs, and spas. Ordinance No. NS-XXXX Page 5 of 16 75B-39 LS 3375_2.16 "Rental housing unit" means a dwelling unit, building, structure, premises or portion thereof that is being, or is intended to be, rented, leased, subleased, sublet, provided, exchanged or traded, without loss of ownership for the immediate or planned purpose of dwelling, sleeping, lodging, boarding or other such occupancy, accommodation or general residency. Examples of rental housing units covered by this Division include dwelling units in apartment complex buildings and apartment houses, dwelling units in duplexes, triplexes, fourplexes, and fiveplexes, dwelling units in condominiums, dwelling units in townhomes, dwelling units in planned unit developments, and dwelling units comprised of single family residences. 'Rental housing unit' does not include units used for transient lodging such as dormitories, group homes, rooming or boarding houses, hotels, motels, and bed and breakfast facilities. "Reportable Violations" means those housing code violations which under this program shall give the City cause to issue an Administrative Citation, a Notice of Violation or Notice and Order. "Substandard condition" means the presence of any one or more of the following conditions on rental housing property: (i) any condition that constitutes a public nuisance as defined in California Civil Code Sections 3479-3480: (ii) any condition of deterioration or disrepair that creates a substantial adverse impact on neighboring properties; (iii) any violation of the City of Santa Ana Municipal Code that creates a substantial adverse impact on neighboring properties, such as graffiti or abandoned, wrecked, dismantled or inoperative vehicles (or parts thereof); or (iv) any condition not in compliance with the Building Standards Codes, as adopted in Chapter 8 of this Code, including the building, electrical, plumbing, and mechanical codes, the California Fire Code, or the State Housing Law (Health and Safety Code Sections 17910 et seq.). A substandard condition includes, but is not limited to, the following enumerated conditions: A. Property, whether improved or not, which is not kept substantially clean and free from accumulations including, but not limited to, overgrown, dead trees, weeds or other vegetation, rank growth, rubbish, junk, garbage, litter, debris, flyers or circulars. B. Buildings or structures which are unpainted or the exterior paint is substantially worn off; provided, however, that nothing in this section shall be construed to require an owner to paint a building where the architectural style indicates it was intended to be unpainted, such as a brown shingle building. C. Buildings or structures or significant sections thereof including, but not limited to, awnings, canopies, exterior stairs, roof, foundation, walls, fences, signs, retaining walls, driveways, or walkways which are substantially deteriorated or defaced, or windows which are missing or broken. For the purposes of this section, "defaced" includes, but is not limited to, writings, inscriptions, figures, scratches, or other markings commonly referred to as "graffiti." Ordinance No. NS-XXXX Page 6 of 16 75B-40 LS 3,315.2.16 D. Property which contains, in the outdoor area, any refrigerator, washing machine, sink, stove, heater, boiler, tank or any other household equipment, machinery, furniture, or item, appliance or appliances, boxes, lumber, dirt or debris, trash, garbage or refuse cans, or any items other than those commonly stored outdoors, or any parts of such items. This subsection does not prohibit machinery installed in the rear setback areas for household or recreational use, furniture designed and used for outdoor activities, trash cans in the front yard during the twenty-four hour period allowed for garbage pick-up, and garbage bins or debris boxes. Notwithstanding the above definition, public nuisances pertaining to unsafe buildings, structures, or property conditions, as defined by the Building Standards Codes, the California Fire Code, and/or the State Housing Law, —shall not constitute a substandard condition for purposes of this Division and shall remain within the exclusive enforcement authority of the Building Official to the extent required by state and local law. Sec.8-1963. Application/Scope. A. The provisions of this Division shall apply to all owners of one (1) or more residential rental dwelling units or rental housing property located within the city of Santa Ana, unless exempt as provided in this Division. B. The provisions of this Division are supplementary and complementary to other provisions of this Code and applicable statutes. Nothing in this Division may be construed to limit any existing right of the City to abate nuisances or to enforce any provisions of applicable law, statute, or this Code, includinq provisions of uniform codes acaupreo uy rererence in mis �,oae. i nese provisions incivae, out are not iimitea to, the California Building Standards Codes, as adopted in Chapter 8 of this Code, including the building, electrical, plumbing, and mechanical codes, the California Fire Code, and the State Housing Law (Health and Safety Code Sections 17910 et sec.); and zoning requirements listed in Chapter 41 of this Code. C. The provisions of this Division shall not apply to legal accessory dwelling units, rooms rented to single individuals in an owner -occupied single-family residence, hotel or motel units subject to the hotel visitors' tax and mobile home parks. Sec, 8-1964. Regulations lion -Exclusive. The provisions of this Division regulating residential rental dwelling units are not intended to be exclusive, and compliance with this Division shall not excuse non- compliance with any other applicable provision, requirement, or regulation of this Code or any applicable state and federal law. Nothing in this Division shall limit or preclude inspection conducted by the fire department inspectors for compliance with fire codes. Ordinance No. NS-XXXX Page 7 of 16 75B-41 LS 3_345.2.16 Every owner of a rental housing unit or rental housing property in the City shall: A. Maintain the rental housing unit and the rental housing property so that no substandard condition exists at the rental housing unit or on the rental housing property; B. Correct all substandard conditions before a re -inspection occurs; and C. Be liable for violations of this Division regardless of any contract or agreement with any third party concerning the rental housing unit and/or its rental housing property. Sec.8-1966. Exemptions. A. The following rental housing units shall be exempt from the requirements of this Division: 1. Legal accessory dwelling units and/or rooms rented to single individuals in an owner -occupied single family residence. 2. Rental housing units comprised of a single-family residence or other undivided single residential rental premises as between an owner or leaseholder and any individual immediately related by blood, adoption or marriage to said owner or leaseholder, as approved by law, where the remuneration rendered to said owner or leaseholder does not exceed the cost of maintaining said premises, as set forth in this Code. 3. Eligibility for the fee exemptions herein provided is restricted to property owners who are natural persons and whose ownership of or leasehold interest in said residential rental property is undivided. 4. A property owner or leaseholder claiming a fee exemption under this section shall have the burden of furnishing to the Executive Director such information as the Executive Director may require to support the claim of eligibility for exemption. B. Gold Seal Incentive Program. If a Property Owner's rental housing property or rental housing unit qualifies for the Gold Seal Incentive Program (as further described in Exhibit A (the "Gold Seal Incentive Program Outline") incorporated herein by this reference as though fully set forth, the Property can be exempt from the periodic regulatory inspection fee for four (4) years. In order to qualify for the incentive program, a rental property owner must pass all parts of a three -stage process, as described more fully in Exhibit A. Sec.8-1967. Fees. A. The following fees are established and shall be imposed upon the owners of rental housing properties: Ordinance No, NS-XXXX Page 8 of 16 75B-42 LS 3-.315.2,16 1. Rental Housing Inspection Fee. A non-proratable regulatory inspection fee in the amount established by resolution of the City Council shall be assessed annually on a July 18t to June Vh fiscal year basis to each owner of residential rental property within the City of Santa Ana to cover the cost of administering and enforcing the provisions of the Proactive Rental Enforcement Program. Except where otherwise provided under the terms of this Division, the Rental Housing Inspection Fee shall be payable 30 days in advance of each fiscal year period. The Property Owner shall have the responsibility for payment of this fee. 2. Re -inspection Fee. The City may, at the discretion of the Executive Director, charge a property owner a re -inspection fee only on the third and subsequent visit to a property for a specific violation. In the event a Rental Housing Property Re -inspection Fee is assessed during the aforementioned fiscal year period it shall be billed and the fee shall be due and payable within thirty (30) days. 3. Permit Fees. Regular permit fees shall be charged upon issuance of permits required for any alteration or repairs to a structure or its utilities as required by the Santa Ana Municipal Code, the Housing Code, Health and Safety Codes and the California Code of Regulations. The Executive Director is authorized to establish procedures for the collection of Permit Fees and any delinquent fees plus interest. B. The City Council shall establish the amounts of the foregoing fees by resolution, C. The Rental Housing Inspection Fee shall first be billed and become due and payable JAIy-1; 2016-for all -known "Rental -Housing Units"which-exist within the City of Santa Ana upon the effective date of this ordinance and such fees shall be deemed past due and delinquent after July 31, 2016. For each subsequent year such fees shall be billed before the last business day in the month of May and shall be due by the last day In the month of June following and deemed delinquent thereafter. Where a newly established, or previously unknown, or previously exempt rental housing property or rental property unit is made known to, or is discovered by the City, or otherwise becomes eligible for payment of the Rental Housing Inspection Fee during the aforementioned fiscal year period it shall be billed and the fee shall be due and payable within thirty (30) days. D. When the last day of the month in which any fee penalty or late interest charge required to be paid pursuant to this Division is due falls on a Saturday, Sunday, or state or national holiday, or City Hall closure day, the payment of such fee may be made without penalty on the first working day of the succeeding month. For the purpose of this Division, postmarks shall be accepted as the date of payment made, provided the transmitting envelope contains a post office cancellation indicating not later than the date due, or in the case of a weekend or holiday, or City Hall closure day, not later than the first following working day. Ordinance No. NS-XXXX Page 9 of 16 75B-43 LS 2.3152.16 E. Whenever any other payment of any fee required to be paid is received after the time prescribed and such payment was deposited in the United States mail prior to the time prescribed for the receipt thereof, the Executive Director shall regard such payment as having been timely received. Where said due date falls on a weekend, holiday, or City Hall closure day then payment of said fee may be deemed timely if received on the next City business day following in accordance with the criteria established in subsection (D) above. F. To effectively and equitably implement the purpose and intent of the general provisions of this Division the Executive Director, in his or her discretion, may vary the strict procedural, enforcement, collection, or other administrative requirements of this Division. In addition to all other authority conferred upon him or her, the Executive Director shall have the power, for good cause shown, to waive or reduce any penalty or late interest imposed, or fee demanded. Sec. 8-1969. Penalties for Delinquent Payment of Fees. For failure to fully pay any required fee(s) when due, the Executive Director shall add the following penalties: A. Ten dollars ($10.00) or ten (10) percent of the unpaid balance of said fee(s), whichever is greater, on the past due date thereof; B. Fifteen dollars ($15.00) or fifteen (15) percent of the unpaid balance of said fee(s), whichever is greater, on the first day of the second month after the due date thereof; Ordinance No. NS-XXXX Page 10 of 16 75B-44 LS 3.3152.16 C. Twenty-five dollars ($25.00) or twenty-five (25) percent of the unpaid balance of said fee(s), whichever is greater, on the first day of the third month after the due date thereof; and D. Fifty dollars ($50.00) or fifty (50) percent of the unpaid balance of said fee(s), whichever is greater, on the first day of the fourth month after the due date thereof. The maximum amount of delinquent penalty, exclusive of late interest, shall not exceed an amount equal to one hundred (100) percent of the amount of the fee(s) past due. Notification of delinquent past due fee(s) will be given by first class mail no later than the fifteenth day of each month after the month in which said fee(s) first became delinquent, until the maximum penalty is imposed. Sec. 8-1970. Penalties - Added to Fee. Any penalties hereinabove assessed for delinquent past due fees, exclusive of interest, upon attaining a combined amount equal to one hundred (100) percent of the amount of such fee shall become merged with the fee payable hereunder and shall be considered as a part thereof for all collection purposes. Sec. 8-1971. — Late Interest. In addition to the past due delinquency penalties imposed in Section 8-1969, any Rental Property Owner that fails to pay the Rental Housing Unit Fee due shall pay interest at the rate of one (1) percent per month, or portion thereof, exclusive of penalties, on the amount of the unpaid fee, from the date on which payment first became past due and delinquent until paid -in -full or otherwise satisfied. Provided however, that pursuant to Section 8-1970 penalties upon attaining a combined amount equal to one hundred (100) percent of the fee due are merged with the fee payable hereunder and any additional interest charged from such date on shall be charged on the combined amount past due and delinquent until paid in full or otherwise satisfied. Sec. 8-1972. Notice of Inspection. A. The City shall serve written notice of pending inspection on the property owner at least fifteen (15) days prior to the inspection. Such notice will be mailed via first- class mail to the owner and to the owner's representative (if any) at the owner's and owner's representative's addresses, as they appear on the owner's current business license. Such notice will request that the owner call and schedule an inspection within fifteen (15) days. If an owner fails to call to schedule an inspection appointment, the City will send the owner a fifteen (15) day notice of the scheduled date and time of the inspection. This notification requirement is waived however, if the property owner and the City mutually agree upon the date and time of an inspection or re -inspection. Ordinance No. NS-XXXX Page 11 of 16 75B-45 LS 373.15.2.16 B. The owner or the owner's representative must notify the occupants or lessees of the date and time of the interior inspection or otherwise obtain legal access to the unit/s pursuant to the terms of the applicable lease or rental agreement. C. If the occupant or lessee of a rental housing unit does not consent to entry for inspection, the Executive Director is authorized to seek approval of an inspection warrant from a court of competent jurisdiction to cause the inspection to take place. The owner shall not be penalized or fined for the failure of a lessee to afford access to a rental housing unit which is the subject of such an inspection, provided that the owner and/or the owner's representative cooperates with the Executive Director. Sec. 8-1973. Inspections. The frequency with which a property is inspected over a four-year period shall be determined by the Executive Director, however inspections shall be performed at least once every four years (unless exempt as set forth in this Division). A. Level One Inspection Under the Level One Inspection, only the exterior and/or common areas of the property will be inspected with all violations being cited. This inspection will be done in accordance with a uniform procedure and will involve a standardized checklist of those items which will be evaluated on each property. The checklist will include violations involving any visible substandard and health and safety conditions; general property maintenance violations; and any other violations of the Santa Ana Municipal Code. These violations may include: a. Poorly maintained landscaping b. Lack of address on structure C. Trash and debris d. Inoperative vehicles e, Trash containers in public view f. Lack of paint on wood surfaces g. Balcony storage h. Deteriorated driveways, porches, landings and balconies I. Deteriorated stairs, guardrails, railings and handrails j. Illegal storage k. Unapproved structural/plumbing/electrical/mechanical exterior alterations I. Other unsightly conditions B. Level Two Inspection The Level Two Inspection may be used on multi -family properties and will consist of an exterior inspection of all structures and common areas, and an interior inspection of twenty percent (20%) of selected units. This exterior and interior inspection will be done in accordance with a uniform procedure of those items which will be evaluated in each Ordinance No. NS-XXXX Page 12 of 16 75B-46 L5 1315.2.16 unit. The exterior inspection will include the checklist of violations listed under the Level One Inspection and the interior inspection will include a checklist of: a. Unapproved structural/plumbing/electrical/mechanical interior alterations b. Deteriorated plumbing, electrical, mechanical or structural systems c. Deteriorated walls and floors d. Other substandard conditions as noted in Health and Safety Code Section 179203. C. Level Three Inspection The Level Three Inspection will consist of an interior inspection of all units on multi- family properties or an interior inspection of the home on single family properties. This is the most complete level of inspection and will be done in accordance with a uniform procedure and will involve a standardized checklist of those items which will be evaluated in each unit. This checklist will be consistent with the Level One Inspection and the Level Two Inspection, Sec. 8-1974. Notification of Inspection Results. Within thirty (30) days following an inspection performed under this Division in which any violations are found, the City will send to the Property Owner, by first class mail, a formal notice listing all violations found. Sec.8-1975. Compliance. 1CProperty Owner who has been issued a Notice--oTViolation�ldmrni�tve Citation or. Notice and Order must correct all reportable violations within the specified timeframes listed on the Administrative Citation, Notice of Violation or Notice and Order. Before initiating any correction of the substandard condition or conditions identified in the formal notice/s by the City to comply, the Owner or the Owner's representative of the rental housing unit shall obtain all necessary permits and pay all required fees for the permits, including, without limitation, any penalty imposed by this Code by reason of any repair, improvement or maintenance which had been done in the past without a required permit, inspection or final City approval. Sec. 8-1976. Failure to Comply. When a Property Owner receives an Administrative Citation, a Notice of Violation or a Notice and Order, s/he is required to make all necessary repairs outlined in such notice in the prescribed compliance period. If a Property Owner fails to comply within the specified timeframe, s/he may be subject to civil citation fines or any other legal remedy established by law which may be pursued to address violations of the Municipal Code. The use of the administrative citation fines in place of other remedies shall be at the sole discretion of the City (SAMC section 1-21). Issuance of administrative citation fines shall not be deemed a waiver of any other enforcement remedies found within this Code Ordinance No. NS-XXXX Page 13 of 16 75B-47 LS 3395 2.16 including the referral of a Notice of Violation and/or Notice and Order being referred to the City Attorney's Office for legal action. Sec.8.1977. Appeals. A. Any recipient of an administrative citation may contest that there was a violation of the Santa Ana Municipal Code or that he or she is the responsible person by completing a "request for hearing" form and returning it to the City within fifteen (15) days from the date the administrative citation is served or deemed to have been served as indicated in Section 1-21 of this Code. Such "request for hearing" forms shall be made available at no charge by the planning and building agency. A failure to file a timely "request for hearing" shall be deemed a waiver of the right to appeal the citation and to seek judicial review (SAMC section 1-21.8). B. A Property Owner may initiate an administrative appeal to the Executive Director regarding the notices, violations, citations and/or fees that the Property Owner has received in conjunction with a property inspection as performed under the provisions of this program at set forth in Chapter 3 (Uniform Hearing and Appeal Procedure). Sec. 8-1978. Penalty for violation. Every violation of the provisions of this Division shall be deemed to be a misdemeanor and, upon conviction thereof, shall be punishable as provided for in section 1-8 of this Code. Each day any violation of any said provision of this article shall continue shall constitute a separate offense. In addition, the City may seek injunctive relief and civil penalties in court for violations of this Division. The remedies provided for in this Division shall be cumulative and not exclusive of any other remedies available under any other federal, state or local laws. Sec. 8-1979. Relocation Costs. If any lessee is displaced from a rental housing unit after an order to vacate issued by the Executive Director because a violation is of such a nature that the immediate health and safety of the lessee is endangered, the costs and expenses of relocating the lessee from the unit are and shall be the responsibility of the owner to the extent required by State law (Health & Safety 17975-17975.10) and in accordance with the terms of the lessee's rental agreement, if any. Sec. 8.1980. Removal of Tax Benefit. If, after a notice and order to repair has been issued, and the property owner fails to correct the violation, the City may utilize any administrative or legal remedy available. Further, the City intends to utilize the provisions of Section 24436.5 of the Revenue and Taxation Code to encourage the elimination of substandard conditions in rental housing. Said section provides for the disallowance for State income tax purposes of interest, Ordinance No. NS-XXXX Page 14 of 16 75B-48 LS 3.3152,16 depreciation, taxes, or amortization deductions, which are derived from the ownership of rental housing which is not in compliance. The City is also authorized to use the remedies set forth in State Housing law, Sec. 8-1981. Nonpayment of Fee; Assessment of Fee Debt by Public Lien; Recording and Enforcement of Liens; Recording Service Fee. A. Recording of a Certificate of Lien. If any fee amount, including penalties, late interest, and any administrative fees or fines required to be paid under this Division is not paid when due, the Executive Director, or any duly authorized employee of the City acting as his or her designated agent, may record or cause to be recorded, in the office of the Orange County Recorder, a certificate which specifies the amount due, the name and address of the person liable for the same, a statement that the Executive Director has complied with all provisions of this Division in the determination of the amount required to be paid, and a legal description of the real property owned by such person. From the time of the recording of the certificate, the amount required to be paid together with penalties, interest, and administrative fees owing constitutes a lien upon all real property in the county owned by such person or thereafter acquired before the lien expires. The lien shall have the force, effect and priority of a public lien and shall continue for ten (10) years from the filing of a certificate unless sooner released or otherwise discharged. B. Recording service fee. Whenever the Executive Director in his or her discretion determines that the recording of a certificate of lien is desirable to secure and effectuate the collection of any amount required to be paid under the terms of this as specified by resolution of the city council. Section 6. If any section, subsection, sentence, clause or 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 or phrase or portion thereof irrespective of the fact that any one or more section, subsection, sentence, clause or phrase or portions be declared invalid or unconstitutional. Ordinance No. NS-XXXX Page 15 of 16 75B-49 LS 3-..315_2.16 ADOPTED this day of April 2016. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia Carvalho, City Attorney By: c- Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS-XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on 2016, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana Ordinance No. NS-XXXX Page 16 of 16 75B-50 1*:4:1r--.1r 1. BACKGROUND The incentive program is a mechanism that positively affects the quality of rental housing in the City of Santa Ana. The program provides a monetary and marketing incentive for rental property owners to abide by a set of minimum criteria - criteria that is, in some cases, over and above that which is required by law. Monetary Incentive - Owners of rental property who apply and qualify for the program are exempt from the regulation inspection fee. Marketing Incentive - Owners of rental property who apply and qualify for the program are presented with materials to utilize when marketing their units. 2. ELIGIBILITY All rental properties in the City of Santa Ana that pay a current regulation inspection fee are eligible for the incentive program. A property with any one of the following conditions is ineligible for the incentive program: A. Unpaid regulatory inspection fee B. Outstanding code violations Application Fees — Application fees will not be charged for the first 100 applications. After the first 100 applications are processed, staff will evaluate whether or not an application fee should be charged as a disincentive for frivolous filings. 3. QUALIFYING FOR THE INCENTIVE PROGRAM In order to qualify for the incentive program, a rental property owner must pass all parts of a three - stage process. Level One - The rental property owner will notify the City that he/she wishes to apply for the incentive program and fill out the appropriate application. This will initiate a review and evaluation of the property's management practices. Owners will be asked to provide the necessary information and documentation to verify that they currently adhere to the following five good management practices: Good Management Practices: a) Owner abides by all fair housing laws b) Owner uses a formal method to screen all potential residents c) Owner utilizes a written rental agreement that contains specific criteria d) Owner utilizes written "House Rules" e} Owner performs "walk-throughs" at the beginning and end of each tenancy 75B-51 Specific criteria necessary for verification of the "good management practices" shall be outlined in the program implementation policy. Each management practice must be passed in order to advance to Level Two and is subject to on -site verification during the Level Two inspection. Level Two - Only owners who have passed Level One of this program will be eligible to initiate Level Two. This stage consists of an exterior inspection of the property and verification of the current use of the good management practice materials submitted by the owner during Level One. The criteria for this exterior inspection is listed under "Violation Checklist' and the inspector evaluating the exterior conditions will do so with the goal that such conditions should be in an "above average" to "superior" condition and collectively the property should be in exceptional condition, The criteria and/or specific materials necessary for the on -site verification of the good management practices shall be outlined in the program implementation policy and the property owner shall be made aware of the materials necessary prior to the Level Two inspection. A property must have a 100% pass rating of the criteria listed under "Violation Checklist, Exterior/Common Area, Must Pass Items" and have an overall 85% pass rating of rest of the criteria in order to clear approval of Level Two and advance to Level Three of the incentive program. Level Three - Only owners who have passed Level Two of this program will be eligible to initiate Level Three. This stage consists of an interior inspection of rental units. The criteria for this inspection is listed under "Violation Checklist, Interior Areas" and the inspector evaluating the interior conditions will do so with the goal that such conditions should be in an "above average" to "superior" condition and collectively the property should be in exceptional condition. A maximum of 10% of the dwelling units in a complex (rounded up on any fraction) will be inspected (but no less than one unit). The units to be inspected will be selected by the inspector from a list of at least 20% of the units on the property (vacant and/or occupied) selected by the owner. A property must achieve a score of 85% or higher to achieve passage of this stage of the incentive program. Prioritization of Applications - Applications will be reviewed in the order they are received. Incentive benefits will be awarded on a first come basis by qualification date. Twenty percent of the properties qualifying for the benefits must contain 15 units or less and 20% must contain 16 units or more. The remaining sixty percent may be from either category. Applicants whose properties qualify for the Gold Seal benefit but who cannot receive exemption due to a lack of available funding will be placed on a priority list by certification date. Should funding become available, these priority applicants will only be required to pass a Level 1 inspection to qualify for the available funds. The certification period will begin on the date they pass all the required program incentive criteria. 75B-52 4. AWARDING THE "GOLD SEAL" Only owners who have achieved passage of all three levels will qualify for the monetary and marketing incentives granted to exceptional properties under the Gold Seal incentive program. Once granted, the Gold Seal will be valid for four (4) years and will run with the property, not with the ownership, during that time. However, it is the responsibility of the new owner to notify the City of the transfer of ownership and to continue to meet the obligations of the program. After 4 years, in order for a property to continue to receive the benefits of the Gold Seal incentive program, the owner must reapply for the program and completely requalify through the process outlined in this document. 5. DELAYED EXEMPTIONS Applicants who fail to meet the established qualification deadline to be certified for the Gold Seal benefit may be qualified for the award when the applicant can provide proof that a processing delay on the part of the City was the cause for them missing the deadline. 6. QUALIFICATION EXEMPTION On occasion a property may be documented to have exemplary management practices, but such efforts are negated by special circumstances beyond the owner's/manager's control (such as property location, gang activity or external vandalism) which prevent the property from qualifying. In some rare cases and only at the discretion of the Code Enforcement Manager, certain properties may be qualified for the benefits of the incentive program because of special circumstances. 7. LOSS OF INCENTIVE PROGRAM PRIVILEGES If a qualified property has deteriorated to the point that it is no longer exceptional, the Code Enforcement Manager may choose to re-evaluate the property and, if necessary, revoke the property's incentive program privileges. Program privileges would cease on the date the revocation occurs. Such properties would not be eligible for the incentive program benefits for a period of twelve (12) months beginning with the date of revocation. Property owners whose property privileges have been revoked may not reapply during the twelve (12) months they are on suspension. The privileges of requalifying properties will not be effective until the beginning of the next fiscal year following the twelve (12) month suspension. :�t17 A-11161 Those owners who have applied for the incentive program but do not qualify or have failed may appeal such decisions to the Executive Director or his/her designee. The decision of the Executive Director, or his/her designee, shall be final. 75B-53 GOLD SEAL INCENTIVE PROGRAM VIOLATIONS CHECKLIST Must Pass Items (100% on applicable items): 1. Poor landscaping - no ground cover, dirt areas, unsightly, dead trees, overgrown yard. 2. Excessive chipped/peeling paint. 3. Graffiti. 4. Damaged/unsightly fences. 5. Unauthorized enclosed balconies/patios. 6. Unpermitted/illegal lock(s) on required exit(s). Must Pass Items (85% or higher on applicable items): 7. Deteriorated/substandard roofing, 8. Unsafe pools — pools with algae, unsafe pool fences and pool gates. 9. Loose or unsafe stairs, handrails or guardrails. 10. Unsafe or severely damaged decking/subfloor on balconies above ground level '11. Unapproved building, electrical, plumbing or mechanical alterations. 12. Excessive broken sprinklers. 13, Torn window/door screens. 14. Uneven sidewalks and/or walkways. 15, Dirty hallways, sidewalks or walkways. 16, Illegal fences. 17. Unsightly window coverings. 18. Deteriorated driveways, blocked driveways, excessive oil on driveways. 19. Excessive or unsightly storage on balconies or patios. 20. Drying clothes on fences or bushes. 21. Loitering on property. 22. House furniture in common/public areas. 23. Remaining evidence of sewage spill. 24. Dirty building exterior. 25, Illegal storage under carports. 26. Inoperable vehicles. 27, Vehicles for sale. 28. Street or unit numbers missing. 29, Banners without permits. 75B-54 GOLD SEAL INCENTIVE PROGRAM VIOLATIONS CHECKLIST Must Pass Items (85% or higher on applicable items): 30. Storage on roof 31. Broken/missing mailboxes. 32. Cracks or holes in siding. 33. No manager office sign. 34. Inoperative exit signs. 35. Business on property without proper permits. 36. Dirty common areas/play areas, 37. Dirty awnings. 38. Excessive trash/debris throughout common areas. 39. Dirty trash bins, excessive trash lying outside trash enclosure. 40. Trash containers in unapproved locations. 41. Unapproved security screen doors. 42. Broken or missing fire extinguishers. 43. Leaking plumbing. 44, Hazardous electrical condition(s), 45. Damaged exterior doors. 46. Damaged shutters. 47. Stairs, handrails, guardrails in need of paint. INTERIOR AREAS Must Pass Items (100% on applicable Items): 1, Missing smoke detector in bedroom(s), 2. Missing smoke detector in hallway(s) adjacent to bedroom(s) 3. Missing carbon monoxide detector. 4. Uncapped gas line(s). 5. Lack of hot/cold running water. 6. Sleeping in closet or kitchen. 7. Unapproved/unsafe light fixture(s). 8. Unlicensed commercial activity in unit. 9. Unapproved security bars on windows. 10, Loose or unsafe stairs, handrails or guardrails. 11. Unpermitted water heater change -out. 12. Interior hoarding conditions. 13. Unapproved building, electrical, plumbing or mechanical alterations, 75B-55 GOLD SEAL INCENTIVE PROGRAM VIOLATIONS CHECKLIST Must Vass Items (85% or higher on applicable items): 14, Illegal lock or latch on exterior doors(s). 15. Lock and/or hasps on bedroom door(s). 16, Clogged/leaking plumbing. 17. Inoperative electrical outlet(s)/improperwiring. 18. Severely deteriorated floor covering/sub-flooring. 19, Lack of/inoperable heating. 20. Smoke detector(s) inoperative/not provided. 21. Unapproved structural alterations. 22. Cockroach/rodent infestation. 23. Missing/severely damaged switch/plug cover(s). 24. Broken tub/shower glass. 25. Electrical appliances(s) used in unapproved exterior location. 26, Unsightly balcony storage. 27. Laundry drying on patio or balcony. 28. Trash chute and/or surrounding are not in sanitary condition. 29. Deteriorated/water damaged interior walls(s). 30. Deteriorated/water damaged ceiling(s). 31. Dire need of paint on interior walls. 32. Severely deteriorated cabinets or drawers 33. Blocked bedroom emergency exits(s). 34. Cover plates missing on wall heater, 35. Unvented fuel burning heater. 36. Damaged interior door(s). 37. Peeling paint on walls or ceilings. 38. Grossly deteriorated/insanitary countertops. 39. Inoperative bathroom ventilation. 40. Interior of unit filthy/insanitary. 41. Occupants in unit exceed number on rental agreement. 42. Items hanging from sprinkler head and/or lines, 43, Deteriorated window covering(s). 44, Inoperable kitchen exhaust vent. Gold Seal Program 2016 Ordinance Exhibit A 75B-56 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 3, 2016 TITLE: GENERAL PLAN AMENDMENT NO, 2016-029 AMENDMENT APPLICATION NO.2016-02, TENTATIVE TRACT MAP NO.2016-02, MITIGATED NEGATIVE DECLARATION NO.2015-09, SUMMARY STREET VACATION AND INCLUSIONARY HOUSING AGREEMENT FOR THE FIRST AND PACIFIC TOWNHOME PROJECT AT 1606 THROUGH 1548 WEST FIRST STREET — THE OLSON COMPANY, APPLICANT (STRATEGIC PLAN NOS. 3, 2, 5; 5, 3, 4) CITY MANA6tR RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve and adopt the Mitigated Negative Declaration and Mitigation Monitoring Reporting Program, Environmental Review No. 2015-09. 2. Adopt a resolution approving General Plan Amendment No. 2016-02. 3. Adopt an ordinance approving Amendment Application No. 2016-02. 4. Adopt a resolution approving Tentative Tract Map No. 2016-02 as conditioned. 5. Approve the vacation of excess right-of-way on First Street. 6. Authorize the City Manager and Clerk of the Council to execute an Inclusionary Housing Agreement with Olson Urban Housing, LLC for the construction of nine affordable units and the payment of an in -lieu fee of $24,450 for a fractional unit for the residential development located at 1506,1524 & 1548 West First Street. PLANNING COMMISSION ACTION At its regular meeting on April 11, 2016 by a vote of 5:0 (Alderete and Bacerra absent), the Planning Commission recommended that the City Council approve and adopt the Mitigated Negative Declaration and Mitigation Monitoring Program for Environmental Review No. 2015-09, adopt a resolution approving General Plan Amendment No.2016-02, adopt an ordinance approving Amendment Application No. 2016-02, and adopt a resolution approving Tentative Tract Map No. 2016-02 as conditioned for the First and Pacific Townhome project, a 62-unit for -sale residential development at 1506 through 1548 West First Street. The Planning Commission made no changes to the recommended actions outlined in the attached staff report (Exhibit A). 75C-1 GPA No. 2016-02, AA No. 2016-02 & TTM No. 2016-02 — First & Pacific Townhome Project at 1506-1548 West First Street May 3, 2016 Page 2 DISCUSSION The Olson Company is requesting approval of several entitlements for the First and Pacific Townhome project, a 62-unit for -sale residential development, including a General Plan Amendment (GPA) to change the property's General Plan land use designation from Commercial to Urban Neighborhood (UN), an Amendment Application (AA) to change the zoning designation from Commercial and Single -Family Residence to Specific Development No. 90 (SD-90), approval of a tentative tract map to allow the individual sale of the townhome units, and adoption of a Mitigated Negative Declaration and Mitigation Monitoring Program. The City is also requesting that a small 0.16-acre parcel surrounded by the proposed project be included in the general plan and zoning actions in order to be consistent with the proposed development. The project will consist of five different floor plans, ranging from two -bedroom and 1,302 square feet to three -bedroom and bonus room plans with 2,108 square feet. All units with be three-story in height, with the first floor consisting of the two -car garage and entry and the upper floors consisting of the living space. A Spanish architectural design is proposed for the project that will fit within the context of the surrounding area and enhance the aesthetic and functional appeal of the community. The elevations have been designed with differentiated architectural elements to give each entry more presence, particularly along the First Street, Walnut Street and Pacific Avenue frontages. Full- sized plans are available for public viewing in the Clerk of the Council Office. In addition, the applicant is requesting a two -foot wide portion of First Street be vacated and incorporated into the project (Exhibit B). Section 83.13(a) of the California Streets and Highways Code requires the City Council to consider the general plan before approving a street.vacation. First Street is identified as a major arterial, with three lanes in each direction and 120 feet in width per the Circulation Element. Along the project frontage, First Street has the required three travel lanes in each direction; however, the right-of-way width varies from 105 to 112 feet. With the combination of the vacation and street dedication required for the project, the right-of-way width along the project frontage will be 110 feet. It has been determined that the 110 foot dimension will allow sufficient space for the future widening of First Street to accommodate bike lanes. Therefore, staff recommends approval of the vacation as it is consistent with the General Plan, and improves the overall site function, including setbacks, building placement and site accessibility. Utilities, other government agencies and various City departments have been advised of the action and have no concerns with the vacation, which will be formally completed as part of the final subdivision map for the project. Finally, the proposed project is subject to the Housing Opportunity Ordinance (HOO). The applicant is proposing to satisfy the HOO by providing a combination of on -site inclusionary units and the fractional unit payment of an in -lieu fee. in the case of this project, the applicant must provide 9.3 for -sale units (15 percent of 62 total units) meeting the affordability guidelines for Moderate income. The applicant intends to provide nine affordable units and pay an in -lieu fee for the remainder 0.3 unit, which equates to approximately $24,450. The applicant has submitted both an Inclusionary Housing Plan (that has been approved by the Community Development Agency) and an Inclusionary Housing Agreement for approval by the City Council, with the Inclusionary Housing Agreement to be recorded against the property (Exhibits C and D). 75C-2 GPA No. 2016-02, AA No. 2016-02 & TTM No. 2016-02 — First & Pacific Townhome Project at 1506-1548 West First Street May 3, 2016 Page 3 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objectives #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Objective #5 (leverage private investment that results in tax base expansion and job creation citywide); Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods), and Objective #4 (support neighborhood vitality and livability). FISCAL IMPACT If the developer is issued permits to proceed with the project, payment of the in -lieu fees will be paid at that time and this will likely occur in FY 16/17. Upon receipt, the estimated fees in the amount of $24,450 will be deposited into the Inclusionary Housing Fund revenue account (No. 41718002-57896). Hassan Hag ni, P Executive Director Planning & Building Agency Robert Cortez Special Assistant to the City Manager City Manager's Office VF:rb vAreports\GPA16.02 AA1B-02 TM16-02 Olson Company= APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency SJ%& Fred �Nousavipour Executive Director Public Works Agency Exhibit: A. Planning Commission Staff Report B. Map of Proposed Vacation C. Inclusionary Housing Plan D. Inclusionary Housing Agreement E. Resolution F. Ordinance 75C-3 75C-4 INXeI11'��3�T:7 Planning Commission Action APRIL 11, 2016 TITLE: PUBLIC HEARING — FILED BY THE OLSON COMPANY FOR GENERAL PLAN AMENDMENT NO.2016-02, AMENDMENT APPLICATION NO, 2016.02 AND TENTATIVE TRACT MAP NO.2016-02 FOR THE FIRST AND PACIFIC TOWNHOME PROJECT AT 1506 THROUGH 1548 WEST FIRST STREET (STRATEGIC PLAN NOS. 3, 2; 3, 5 5, 3; 5, 4) Prepared by _Vince Freq �_ . Executive Director 11 • PLANNING COMMISSION SECRETARY APPROVED © As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicants Request ❑ Staff Recommendation CONTINUED TO Planning Manager ` Planning Commission has considered the draft mitigated negative declaration (MIND) for this project and shall adopt by minute action a recommendation to the City Council for the following actions: Approve and adopt the Mitigated Negative Declaration and Mitigation Monitoring Reporting Program, Environmental Review No. 2015-09. 2. Adopt a resolution approving General Plan Amendment No, 2016-02. 3. Adopt an ordinance approving Amendment Application No. 2016-02. 4. Adopt a resolution approving Tentative Tract Map No. 2016-02 as conditioned. Request of Applicant Sandi Gottlieb, on behalf of The Olson Company, is requesting approval of several entitlements for the First and Pacific Townhome project, a 62-unit for -sale residential development proposed at 1506 through 1548 West -First Street. Specifically, the applicant is requesting approval of a General Plan Amendment (GPA) to change the property's General Plan land use designation from the General Commercial (GC) to the Urban Neighborhood (UN) land use designation, approval of an Amendment Application (AA) to change the property's zoning designation from General Commercial (C-2) and Single -Family Residence (R-1) to Specific Development No. 90 (SD-90), approval of a tentative tract map to allow the individual sale of the townhome units, and adoption of a Mitigated Negative Declaration and Mitigation Monitoring Program. In addition, the City is requesting approval of a GPA and AA to make a 0.16-acre parcel that is surrounded by the project consistent with the proposed designations for the townhome development. EXHIBIT A 75C-5 GPA No. 2016-02, AA No. 2016-02 & TTM No. 2016-02 April 11, 2016 Page 2 Proiect Location and Site Descriotion The project site is a 2.47-acre, quasi -rectangular shaped parcel of land located at the southwest corner of First Street and Pacific Avenue. The project site consists of three separate properties that contain two different structures. A fourth property, a 0.16-acre parcel of land located at 1526 West First Street, is not a part of the current development proposal. However, staff is recommending that this parcel be included in the rezoning and general plan amendment actions. All buildings on the development site are vacant, with the fourth parcel occupied as a single- family residence. The General Plan land use designation for the properties is currently General Commercial (GC). Further, the properties are currently located in the General Commercial (C-2) zoning district, with the southern portion of the properties facing Walnut Street designated as Single -Family Residence (R-1). The proposed applications would amend the General Plan land use designation for the properties to Urban Neighborhood (UN) and the zoning designation to Specific Development (SD), making the proposed project consistent with the General Plan and zoning district. Vehicular access to the site is currently provided from several driveways on First Street. However, access to the project will be relocated to Walnut Street as part of the development proposal. Residents will also have pedestrian access to First Street via pedestrian gates and openings. The site is surrounded by a variety of commercial developments to the north, west and east, and single-family residential uses to the south (Exhibits 1, 2 and 3). Project Description The applicant is requesting approval of several entitlements to construct a 62-unit for -sale residential community. Table 1 on the following page provides a detailed summary of the proposed development. Because the current zoning districts for the properties contains standards that apply to either commercial or single-family developments, the project was designed to conform to a mix of unique standards and guidelines that are found in the City's two primary form -based zoning codes appropriate for infill residential projects: the Transit Zoning Code (SD-84) and the Harbor Mixed Use Transit Corridor Specific Plan (SP-2). The standards and guidelines within these two plan areas emphasize the form of buildings and their placement and encourage designs that maximize the presence of structures on streets, the pedestrian experience adjacent to and among these buildings, design, compatibility, and meaningful and functional community open spaces that can be provided in a variety of manners. 75C-6 GPA No. 2016-02, AA No. 2016-02 & TTM No. 2016-02 April 11, 2016 Page 3 Proposed development: Approximately 2.48 acres/107,982 sq. ft. imately 0.16 acres/ 6,969 sq. ft. Outdoor Landscape Area Table 1; Project Summary General Commercial and Single -Family Residence (C-2/R- 1); Specific Development (SD) proposed Commercial (C-2); Specific Development (SD) proposed Number 19,570 sq. ft. Commercial and Low Density Residential (GC/LR) current; Urban Commercial (GC) current; Urban Neighborhood (UN) proposed 06 Percent I*-M Currently mixture of one and two-story structures with surface parking; Proposed 62-unit residential townhome development in 12 one and three-story buildings with 139 parking spaces and onsite amenities/open space durrently a single-family residence with a detached garage; No proposed changes to the land use at this time VI-90 Allocation room, The site plan has been designed to minimize the impact of vehicular circulation and to emphasize the needs of pedestrians and residents who will use the open spaces on the site, and to provide increased security to resident areas. Onsite vehicular circulation is access to two -car garages for each unit and to surface parking areas. pedestrian pathway will allow connectivity between the open spac buildings. Vehicles will enter the site via a gated entry on Walnut dispersed throughout the project (Exhibit 4). e designed to provide direct Further, a clearly delineated areas and the residential Street, with visitor parking 75C-7 GPA No. 2016-02, AA No. 2016-02 & TTM No. 2016-02 April 11, 2016 Page 4 Vehicular access to the residential buildings and open spaces will be behind either townhome structures or perimeter security gates that face away from First Street, reducing their visual impact but also enhancing the security of the project site. Pedestrians to and from the project site may enter or exit through secured gates without the need to circulate through the central driveway. Five different floor plans are proposed for the project, ranging from two -bedroom and 1,302 square feet to three -bedroom and bonus room plans with 2,108 square feet. All units with be three-story in height, with the first floor consisting of the two -car garage and entry and the upper floors consisting of the living space (Exhibit 6). The Spanish architecture and color selections are designed to fit within the context of the surrounding area and will enhance the aesthetic and functional appeal of the community, The elevations have been designed with differentiated architectural elements to give each entry more presence, particularly along the First Street, Walnut Street and Pacific Avenue frontages. The units have been enhanced with balconies, patios and other architectural features to present street frontage elements tying in with the public realm. The homes along Pacific Avenue and Walnut Street feature patios or stoops and steps, furthering the project's integration with the street. Features have been incorporated throughout, including pop -outs, changes in roof forms, metal detailing, architectural trim and color changes to enhance and create more articulation in the facades (Exhibit 6). The overall architecture will also be enriched through landscaping. Landscape colors and materials have been selected that will be in harmony with the Spanish architecture with pedestrian pathways linking common area gathering spots. A series of courtyards, green space and green paths throughout the project tie the community together, with the focal points being the courtyards and community center as central gathering places. Useable common open green spaces are provided for social interaction between residents and allow for the potential future integration of the parcel in the middle along First Street. Landscaping and walls with vine pockets will be strategically utilized to create buffers and soften the wall edge while still providing adequate sidewalk width for accessible paths of travel, where required. Finally, the community building will provide a desirable and functional open space amenity for the future homeowners, while creating a visual break in the residential uses with height variations and alternate window patterns (Exhibit 7). The proposed project is subject to the provisions of the recently amended Housing Opportunity Ordinance. For this project, the applicant is required to provide 9.3 residences as affordable units. The applicant has submitted an Inclusionary Housing Plan to the Housing Division that identifies nine units that will be made available for affordable housing, with the payment of a fee to cover the remaining 0.3 requirement. 75C-8 GPA No. 2016-02, AA No. 2016-02 & TTM No. 2016-02 April 11, 2016 Page 5 Project Backaround The project site was developed with several buildings that were built between 1923 and 1979. Since then, the buildings have undergone minimal tenant improvements, with the sites largely unchanged and vacant since 2010. The City's Housing Element, adopted in 2014, identifies portions of Santa Ana for future residential and mixed -use developments. The Housing Element states that these areas were selected "to create distinct and vibrant activity centers linked together with a variety of transportation options." First Street was identified as a corridor to allow housing to be constructed; however, this site was not specifically identified as an opportunity site. This project Is consistent with the direction of the Housing Element, which states "the City will need to create new residential General Plan land use designations, zoning districts, and design guidelines" for developments ranging from 23 to 35 units per acre. Further, the City has recently initiated the process to update its General Plan, which is the blueprint for future development. A key component of the update process is the identification of sites for future development, including but not limited to areas for new residential and/or mixed - use development. Staff has identified the First Street corridor, including the project site, as a potential area for mixed -use development up to six stories in height and at a maximum density of 100 units per acre. This area will be studied in greater depth as the update process continues, with a final determination on the eventual land use designation expected in the next one to two years. Project Analvsis The Olson Company is requesting approval of a general plan amendment, amendment application (zone change), a tentative tract map and a Mitigated Negative Declaration and Mitigation Monitoring Reporting Program in order to allow the 62-unit, for -sale townhome development. The following sections of this report provide analyses for each of the proposed action items. General Plan Amendment The applicant is requesting approval of a General Plan Amendment to change the General Plan land use designation from General Commercial (GC) to Urban Neighborhood (UN) with a floor area ratio of 1.0 (Exhibit 8). The floor area ratio was derived by dividing the square footage of the proposed development by the total site area in square feet. Further, staff is recommending that the separate 0.16-acre parcel surrounded by the development proposal also be included in the general plan amendment action for the project. 75C-9 GPA No. 2016-02, AA No. 2016-02 & TTM No. 2016-02 April 11, 2016 Page 6 The City's Housing Element, adopted in 2014, identifies a need to redesignate areas of the City to support future housing developments, with the project's proposed density consistent with the density range identified by the document. The project site and surrounding area is currently designated by the General Plan Land Use Element as a General Commercial (GC) land use district. The district applies to this area because of the current mix of commercial land uses, including offices, retail stores, motels, eating establishments, and uses of a similar commercial nature. However, the residential nature of the proposed development requires establishment of a new land use designation for the property of Urban Neighborhood (UN) to be consistent with the provisions of the General Plan. As additional applications for residential or mixed -use projects are received by the City in this area, a comprehensive amendment to change the area's land use designation from General Commercial (GC) to Urban Neighborhood (UN) may take place. If approved, the project would support several goals and policies of the Housing Element. First, the project would be consistent with Goal 2, which encourages diversity of quality housing, affordability levels, and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels and age groups to foster an inclusive community. Second„ the project would support Goal 4, to provide adequate rental and ownership housing opportunities and supportive services. Further, the project would be consistent with several Housing Element policies: Policy HE-2.4 to facilitate diverse types, prices and sizes of housing; and Policy HE-2.6 to provide an affordable component within eligible ownership housing projects. Amendment Application The subject parcels are located in the General Commercial (C-2) and Single -Family Residence (R- 1) zoning districts. The C-2 zoning designation allows for a variety of commercial uses, while the R-1 district allows primarily residential land uses. Because the project proposes a residential land use, staff recommends approval of an amendment application to change the property's zoning designation from C-2 and R-1 to Specific Development (SD) No. 90 (Exhibit 9). Staff has also analyzed the separate 0.16-acre parcel and has found that the current nonconforming residential land use and current commercial zoning are not ideal options for the site. In order to allow flexibility in the future use of this site, while maintaining its legal nonconforming status, staff is recommending that this parcel also be included in the zone change action for the project. This action will allow the site to remain as -is indefinitely as well as allow a potential merger into the proposed development site at a later date. The Specific Development zoning designation allows flexibility of uses and development standards that are tailored to a unique or specific project. Because the standards contained within the standard zoning code would render the proposed project unfeasible, establishing the SD zoning designation is recommended to facilitate the proposed project. 75C-10 GPA No. 2016-02, AA No. 2016-02 & TTM No, 2016-02 April 11, 2016 Page 7 If the zone change is approved, a series of site -specific objectives, policies and development standards will be used to guide the development of the proposed project. Specifically, the SD-90 document will include development standards such as uses, setbacks, parking, and height to allow the exclusive entitlement of the project. The SD document has been framed to be consistent with the proposed project and prohibits future modifications to enlarge or reduce the size of the project (Exhibit 10). The zone change would need to be approved in conjunction with the proposed General Plan Amendment to change the land use designation from General Commercial and Single -Family Residence to Urban Neighborhood. This would result in a project that is consistent with the goals and objectives of the City's General Plan land use designation of Urban Neighborhood. Because the proposed General Plan Amendment is consistent with the proposed Visioning Map, the zone change would be consistent with the overall visioning for the project site and immediate vicinity. Vesting Tentative Tract Map The applicant is proposing to merge the existing parcels and allow the air right subdivision of the townhome units and allow the sale of individual unit. Based on a review of the tentative map by the Planning Division and Public Works Agency, the project has been designed to be in compliance with the applicable development standards found in Chapters 34 (Subdivision) and 41 (Zoning) of the Santa Ana Municipal Code and with the proposed SD-90 zoning document (Exhibit 11). Approval of the tract map will be consistent with the goals and policies identified in the City's General Plan. Policy No. 1.1 of the General Plan Land Use Element encourages medium -density housing in and around the Downtown area, Policy No. 1.5 promotes the maintenance and fostering of a variety of residential land uses in the City, Policy No. 2.4 supports pedestrian access between commercial uses and residential neighborhoods which are in close proximity, and Policy No. 3.1 to support development which provides a positive contribution to neighborhood character and identity. The project will promote a development suitable for the site and will provide a diverse housing opportunity in the City. The project will also contribute to the promotion of jobs -housing balance in this area of the City, Finally, the development, through the construction of the proposed public improvements and site amenities, will contribute to the enhancement of a portion of the city that has seen a reduction in investment in recent decades. The introduction of a new development will contribute to the transformation of the West First Street corridor between Bristol and Fairview Streets into a corridor that contains a mixture of residential and commercial uses. 75C-11 GPA No. 2016-02, AA No. 2016-02 & TTM No. 2016-02 April 11, 2016 Page 8 Public Notification On February 25, 2015, the applicant held a community meeting in accordance with the provisions of the City's Sunshine Ordinance at the Vietnamese Community Center of Orange County. Several members of the community attended, with issues such as parking, open space, qualifications of the developer, and alternate uses discussed. Planning Division staff also attended the meeting. The applicant provided a draft notice, affidavit, copy of publication, and meeting notes to Planning Division staff in the days following the meeting. The project site is located within the boundaries of the Central City Neighborhood Association and adjacent to the Artesia Pilar and Pico -Lowell Associations. Staff has notified all parties that have expressed an interest in the project by mail a minimum of 10 days prior to the public hearing to ensure they were notified of the meeting and to identify if there were any areas of concern. The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and 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 Analysis As part of the City's permitting process, the proposed project is required to undergo an environmental review in accordance with the California Environmental Quality Act (CEQA). In accordance with CEQA, the recommended actions have been reviewed through an Initial Study/Mitigated Negative Declaration (ER No. 2015-09). Sections 15070 through 15075 of the State CEQA Guidelines (Article 6) guide the process for the preparation of a negative declaration (ND) or mitigated negative declaration (MND). The MND prepared for the project, as required by CEQA, contains a project description, project location map, proposed finding that the project with mitigation will not have a significant effect on the environment, a copy of the initial study, and mitigation measures to avoid potentially significant effects (Exhibit 12). The mitigation measures included in the MND are designed to reduce or eliminate the potentially significant environmental impacts. The scope of the MND evaluates the proposed project's effects on the following resource topics: aesthetics, agricultural resources, air quality, biological resources, cultural resources, geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use, mineral resources, noise, population and housing, public services, recreation, transportation and traffic, and utilities and service systems. The City prepared a draft MND and circulated it to all interested or required parties on the City's standard distribution list on March 10, 2016. A notice of intent to adopt was also published in the Orange County Reporter on March 11, 2016. The City circulated the draft MND for a 20-day public review between March 14, 2016 and April 3, 2016. The draft MND was available for public review at the Santa Ana City Hall, the City of Santa Ana Main Library, and on the City's webpage created for the project. 75C-12 GPA No. 2016-02, AA No. 2016-02 & TTM No. 2016-02 April 11, 2016 Page 9 This MND is intended to provide a forum to receive and respond to comments pertaining to the analysis contained in the draft MND and to provide an opportunity for clarification, corrections, or minor revisions to the environmental document as needed. Comments were received during the public review period. Although not required for an MND pursuant to the State CEQA Guidelines, the City, as the lead agency for the project, has responded to all comments received on the document after a thorough review of each comment's contents. As a result of the environmental analysis, no areas of significant impacts were found from the construction of the proposed project. Mitigation measures have been provided to address potential environmental impacts, with a list of these mitigation measures found within the attached Mitigation Monitoring and Reporting Program. Mitigation measures have been outlined to address potential impacts on air quality, unanticipated discovery of cultural resources or human remains, soil and liquefaction, asbestos abatement and lead -based paint removal, and noise (Exhibit 13). Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objectives No. 2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies) and No. 5 (leverage private investment that results in tax base expansion and job creation citywide) of the Santa Ana Strategic Plan. Moreover, approval of this item supports Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objectives No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and No. 4 (support neighborhood vitality and livability). Conclusion Based on the provided analysis, staff recommends that the Planning Commission recommend that the City Council approve and adopt the Mitigated Negative Declaration and Mitigation Monitoring Reporting Program for Environmental Review No. 2015-09; recommend that the City Council adopt a resolution approving General Plan Amendment No. 2016-02 and Tentative Tract Map No.2016-02 as conditioned; and recommend that the City Council adopt an ordinance approving Amendment Application No. 2016-02. Vince Fregos , AICP Principal Plann VF:jm v@eporls\GPA16-02 AA16-02 TM16-02 Olson Company. as 75C-13 GPA No. 2016-02, AA No. 2016-02 & TTM No. 2016-02 April 11, 2016 Page 10 Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit a — Floor Plans Exhibit 6 — Elevations Exhibit i — Landscape Plan Exhibit 8 — General Plan Amendment Exhibit 9 — Zoning Map Exhibit 10 -- Specific Development No. 90 Exhibit 11 — Tentative Tract Map Exhibit 12 — Final Initial Study/Mitigated Negative Declaration (IS/MND) Exhibit 13 — Mitigation Monitoring Program 75C-14 Rl Ri Rl qt Rl RI I R11ya --JI Ill 1 p �1111111 2 RI Rill F Pi � 3 RI R2 H2 R2 0 1 ,-,1 — A2 A2 R2 n2p, s •8 SD m III i Rip Mil R) ml ml c, m 11 ml Rq RI Rr IEVIV - 11 n;Ad, ml L - mil zQ R2 Efl2 Na 9 Im 2 ml 1 MI L-� - E F— RRVO 2 :r : Ril Ntl''R, R1 RC2Rl iC2 RI Lill' f Y, ;_7 Rl =R1 R3---- VR2 R2' I Rl Rl Rl 0 Rl Rl Rl Rl j Rl RI I Rl R Al MLAGRCUUUKLt CR WNIM50ALFOODMAL m 9NGLEFAM1LYFMDDMAL .9 mmwMoo1nwoN CO MvswmeqTc8Y1H2 w TVOFAMILYFESDUVM GEM MMUDIJALMUTH MAIN ml UGWINDISMAL R3 MULTIUDD!]TYMIAAFLE 01 WMMUNTYCDMMrMAL M2 HFAWINOUSNAL FAMILYFMOMCE Gt.MD COMM.COMMffUAUMUSbJMD1SRCT mo MUTARYOPIRATIONG m MIMNAPARUDCM C2 MERALCCMMMAL 0 01' AM fE f DUOALEgATE 0 CtNTPALWsN� p PFCFEMOWL so LSA CENTRALW9NE%AR11$TMLlAGE ILO PLANNU)MMMUN(WDEVBXMBsp SPEOROPLAN N F NNWSUTIWICEUl PFD KWMN1DRMDS41lALDMOPM1.K C5 ARnRALMMM90AL AA 2016-2/GPA 2016-2/TTM 2016-2 FIRST AND PACI FIC TOWNHOMES 1506-1548 WEST FIRST STREET 1" = 1000 FEEr P L A N N I N G A N D B U I L 0 1 N G A G E N C Y EXHIBIT 1 VICINITY MAP 75C-1 5 W S I N G L=- z S I N G L E - SFI NM ILL F A N I L Y W FA N I L Y E.I I E E PI C_ E E C E I D E C 2 N D d STREET S N L - FA ILY v E I E CE C7 C O M M E R C I A L w 1ST M U L I-j F MILY R E S I D N E S I GJL E FMLY R S D N E PINE FT:=i-H S N , LJC FA IL E I E C O M M E R . I A L w Z w d �F'AJM D NY S[ E C O M M E R C I A L STREET STREET 1GIE- F A M I L Y R S I D E N E GLE - JR1 I Y [E] O E C STREET EA,L Y AA 2016-2/GPA 2016-2/TTM 2016-2 - FIRST AND PACIFIC TOWNHOMES j 1506-1548 WEST FIRST STREET CW P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 75C-16 THE OLSON COMPANY 1506-1548 WEST FIRST STREET EXHIBIT 3 75C-17 I' C—I$ 0 g e Via$ .t9gi�3 h az?=4Li� i49 3 a;3iF�3��3. u I �.\ `« �. � ��. .� : �� �. \_��: . � % . EXHIBIT 6 Page I of 7 I 75C-1 9 Page 2 of 7 0 2 51 75C-20 wn a 0 z D 5 56 a IF c) aaw - 0 Cf) z 8 z 0 0 j- Page 3 of 7 �ri N $g. o w 02 L Q 2 7 pOR p U" j Oul''.J� 3' 3: E Page 4 of 7 75C-22 I d Z 0 N k/�\) \ \HO k J! /§/« ¥0 | \ _ � < � " § 2 § iE 2 ) ) | § § � 4( (0 75C- 2 NIN W Z b gpw 2 ou _ a , £o x F� 2 --------------- I oa fi IA1 /�1 11 I 1 I \1 1\1 1 1 y IIII p. 3 111 I I 11 I 1 tl 1\ 11 I It 1 I t t 1 1 1 1 Page 6 of 7 so _U l" au O CL O U w LL O Q � o Q -F7 C C7 to z0 FL O 0 75C-24 - — - | �\ � ■■ \ . � ,■■ A�� . �■� .�.� : ::�_� ■ e: k— � �■ K= .{■"�� � ON C Oman go i� 2 \ B ■ 75C- 5 CL U.1 u EXHIBIT 6 Page 1 of 4 2 Ez M s e»: ( � § .._.�./ 2 ! ■ Page of 75C- 7 <{ :E I \ ) � T � � 0 0 O F w w G N Z yQ J W W N Page 4 of 4 75C-29 W y a EXHII Page 1 c YL a> CL C6 cn cn -es cu cu C J m d U cu E N C7 Cf) U M, 0 4- .0 W L LL I Page 2 of 2 75C-31 I 19 co co IL 06 City of Santa Ana General Plan Land Use Element 199 City of Santa Ana Planning l)ivision w Adopted February 2, 1998 (Reformatted January 2010) "rho Collawing is a chronology nCthe approved general plan amendments tint have been incorporated into this document since ehc comprehensive update oCtlte General Plan Land Use &lernenr adopted by the Santa Ana City Council Pebmary 2, 1998 (GPA 1997- 05): GPA 2016 021oendinnl GPA 2016.01(panting April 19, 2016) GPA 2015.03 (Pabmary 2, 2016) GPA 2014-02 (October 21, 2014) GPA 2014-01(June 3, 2014) GPA 201103 (March 19. 2012) GPA 2011-02 (June 6, 2011) GPA 20IMI (June 7, 2010) GPA 20DO-02 (July 20, 2009) GPA 2007-03 (May 18. 2009) GPA 2000-01(May S, 2008) GPA 2004 03 (February 2, 2009) GPA 2007.02 (June 13, 2007) GPA 2007-01(March 19, 2007) GPA 2006 01(October 2, 2006) GPA 2006-01 (December 5, 2005) GPA 201 (October 17. 2005) GPA 2004 01 (April 5, 2005, as passed by the voters of Santa Ana! GPA 20004 (July 19, 2004) GPA 2004.06 (July 6, 2004) GPA 2003-02 (June 16, 2003) GPA 2003-01(February 15, 2003) GPA 2002-01 (September 3, 2002) GPA 2002-03 (August 19, 2002) GPA 200103 (February 19, 2002) GPA 2001-02 (January 7, 2002) GPA 20&09 (May 7, 2001) GPA 2000-08 (February 6, 2001) GPA 2000-03 (December 4, 2000) GPA 2000-02 (November 20, 2000) GPA 1999-02 (October 18, 1999) GPA 1999-01(August 16,1999) GPA 1998-04(October 5, 1990) GPA 1998-05(September 21, 1996) GPA 1998-01 (May 4, 1998) 75C-32 75C-33 GARUENGROVEFRM GARVENG e^ 1. rf C o SY/ � i JERAVE e1 n� P�sn 7 17 y � 75C-34 W LAVEtAAV I 22 � auNFLowEa AVE ;: LAND USE ELEMENT • The General Commercial (GC) district applies to commercial corridors in Santa Ana including those located along Main Street, Seventeenth Street, Harbor Boulevard, and other major arterial roadways in the City. The intensity standard applicable to this designation is a floor area ratio of 0.5 - 1.0, though most General Commercial districts have a FAR of0.5, A total of 883.4,486..l acres of land is included in this designation. General Commercial districts are key components in the economic development of the City. They provide highly visible and accessible commercial development along the City's arterial transportation corridors. In addition, General Commercial land uses provide important neighborhood facilities and services, including shopping, recreation, cultural and entertainment activities, employment, and education. The districts also provide support facilities and services for industrial areas including office and retail, restaurants and various other services. The General Commercial development: standards are based upon the character and intensity of development, as well as the degree of access and market demand for these properties. The relationships to adjacent land uses, are also considered. Uses typically located in this district are: • Business and professional offices; • Retail and service establishments; • Recreational, cultural, and entertainment uses; anti • Vocational schools. General Commercial Districts have a floor area ratio of0.5 with the exception of the Mid -town area which has an floor area ratio of up to 1.0. • One Broadway Plaza District Center is a separate land use designation as it has an FA.R. of29, which exceeds the typical District Center intensity limit. Additionally, it does not include a residential component One Broadway Plaza is envisioned as a landrnark professional office complex that will be a focal point in the Downtown Redevelopment area serving the Civic Center complex, Downtown, and Midtown urban areas The City s District Centers and major development areas are shown in Exhibit A-5. t r� �iSI.^� lls, ult„r¢l�j CITY OF SANTA ANA GENERAL PLAN A-!) 75C-35 LAND USE ELEMENT The intensity standard for the Urban Neighborhood ranges from Lt floor area ration of 0.5 to 3.0; with residential density based on a combination of floor area ratio and zoning development standards. A total of27624;3 acres of land in the City are designated Urban Neighborhood, Industrial The Industrial designation applies to those areas developed with manufacturing and industrial uses. The designation applies to areas which are predominantly industrial in character, and includes those industrial districts in the southwestern, south central and southeastern sections ofthe City. A total of2,152,8 acres Lifland in the City is designated as Industrial. The maximum floor area ratio for this designation is 0.45, The Industrial districts of the City are, vital to its economic health. These areas provide employment opportunities for local residents, and generate municipal revenues for continued economic development. As one of the County's oldest cities, Santa Ana has long been an industrial center for the region. The City's goal is to maintain this strong industrial base by setting land use policies which preclude the intrusion of less intensive commercial or residential uses. Typical uses found in this district include the following: • Light and heavy product manufacturing and assembly. • Commercial uses' which are ancillary to industrial uses in the district. Institutional The Institutional designation includes the Civic Center, other governmental facilities, City facilities and public institutions such as schools, etc. Only public properties ofapproximately live acres or more are designated as Institutional. The maximum applicable floor area ratio standard for this designation is 0.5.'Thc 0.5 FAR is used as a guideline since most development in this designation are State, federal, and local governmental facilities that are notsubject to local development regulations. A total of 796.3 acres of land is included in this designation. Open Space The Open Space designation is applied to parks, water channels, cemeteries and other open space uses. A total of 1,014.7 acres are included in this land use designation. Ofthis total, 358 acres of public park land is included in this land use designation. A-2A CITY OF SANTA ATIA GENERAL. PLAT I 75C-36 LAND USE ELEMENT interagency Development Review Committee (DRC) to ensure consistent and comprehensive application of City regulations and policies for all projects. Redevelopment Plans. The City will apply redevelopment tools associated with the implementation ofthe adopted redevelopment plans, as appropriate. The City will encourage the further development ofindustrial, commercial, and residential projects in suitable locations to strengthen the City's tax and employment base. • Special Studies, In certain instances, a special study may be required to address a particular issue. In these cases, a specific effort to identify staff resources needed to conduct the appropriate investigation and analysis will be identified. • Zoning Code Review. The zoning code serves as a primary tool used by the City to regulate development, The City will develop a program to revise the Zoning Ordinance to ensure thatdevelopment regulations and standards are consistent with community needs and high duality development. The City will initiate appropriate changes to the ordinance to ensure, where appropriate, conformity between the Land Use Element and Zoning Map, As indicated previously, the City of Santa Ana has been almost completely developed for many years. As a result, any new development will necessarily consist of redevelopment and infill development on the remaining vacant and underutilized parcels. Many parcels with nonresidential land use designations will never be developed to the maximum intensity permitted under the General Plan, Table A-4 indicates the development possible under the build -out of the Land Use Plan. The build -out for residential land uses considered two scenarios. Effective build -out for residential development is calculated by adding the 21 14824-,F80 units possible in the areas designated as District Center and Urban Neighborhood to the existing 74,588 units presently found in the City per Census 2000, Theoretical build -out for residential development considered the development possible if all of the areas designated as residential were developed according to the permitted Land Use Plan intensities. Since the Land Use Element does not contemplate the elimination of existing housing in the City, the effective build -out figure represents a more realistic estimate of future residential development. As indicated in "Table A-4, three of the non-residential land use designations have a range in FAR intensities. For the non-residential land use designations, effective build -out considered the development possible under the lower range of FAR intensities while theoretical build -out considered the upper FAR range. Typically, parking and landscaping requirements will result in significantly less floor area C TY OF SANTA ANA GENERAL PLAN A--33 75C-37 LAND USE. ELEMENT for commercial and industrial developments than that which is permitted under the General Plan. As indicated in Table A,-4, between 55,362 to 95 736915-{6t1 housing units are allowed by the Land Use Plan. The additional units which presently exist in the City beyond the maximum number permitted under the theoretical buildout scenario are a reflection of the higher density multiple -family developments constructed in the 1970's and 1980's. However, the purpose of the Land Use Plan as it applies to the residential areas is to preserve and maintain the stability of existing neighborhoods, regardless of the character of development. The intent of the Plan is not to create any displacement, nor decrease existing development densities. Rather, it is to ensure a safe, healthy, and livable environment for City residents. Existing residential development entitlements are protected through this Land Use Element, applicable Zoning regulations, and sections of the City code pertaining to legal nonconforming uses. Tire Land Use Element's implementation may result in an increase in the amount of commercial, office, and industrial development in the City. As indicated in Table A-4, up to 33,1 00,04144--19;34�-1 square feet ofcommercial and office development, and 42,199,991 square feet of industrial development are possible under the effective capacity parameters of Land Use Plan, A.34 CITY OF SANTA ANA GENERAL PLAN 75C-38 LAND USE ELEMENT Table A-4 Low Density Residential LR-7 6,460.1 7 divas 45,221 du Low Medium Density Residential LMR-11 4206 11 rules } I 4,627 du Medium Density Residential MR' 15 _ i 367.6 t 15 pulse _. 5,514 du _.._.. ._. _. t.... f --- Subtotal 7248.3i 95,595,9der'� 55,362do District Center } Dtherz DC j 309.5 90 du lac 1. FAR 1 Jac 11,955,583 at 1 3,017 du 23.7641534 si 31017 oil - Heritage Downtown ( DC _ 62 5 FAR 3.0 _.-,- 2 057, 24 sf I 1 661-du 2,057,8— 24 sfr 11,6 21 du f 61 tlu Metro East J bC 98.3 FAR 3.0 I 3,245,185 sf 5,551 du 3,245,185 at 5551 du Transit Village DO 51 4 FAR 6.0 462,864 SIT 2 761 du 402,864 sf 2,761 tlu - _ — w r...._ _._ Harbor Carrillo[ bC 125,0 FAR 6.0 1.836155 at 2,029 du 1 836,155 s� 2,029 tlu _.. 276.0 4908du; 49� 08du Subtotal — 866076st 4.846du1 856,076sP 44149�a Urban Neighborhood UN 273-3 FAR 6 5 3 0 -- - ! 9415 20407950S1 21148 do1 .90 -21148 du 244994H 32,2Y69pYs1 44708"in Professional & Armin Office l PAD616412 FAR D 5 1 D f 13 376,406 sf 26 752,809 at I General GOmmerCl81 GC �883 FAFl p 5 1 0 9 240 443 51( 38 480 887 at 3$E9&3744f Subtotal -- - FAR 2 9 i 543193 sf 543,193 at One Broadway PIa2a Dlsinct Ctr3 08PDC � 4 3 I 1501 9 i r 3318p 041 xl I G5 77fi 889 at � j A 6p4 B j i 23-2#9-284-af � (k5-898 372-af i Industrial I IND 2,152.8 FAR 0.45 i 42,199,991 sf j j 42,199,991 at Institutional' INS - 796 4 FAR 0.245 6,937,758 at 17,344,394 at Open Space OS 10147 FAR02 8840171at 8840,171at Subtotal 1.811.1 15,777,929 at 28184,565 sf ailing unit: �.=squa- ..Leer_t gesh.......��.-t ,�.._.___.._..,.,.,....,,. FAR=floor area ratio; tl.u.=tlwellinp unit; s.L=square fret (of floorarea). Acreage shown In table does not Include roads In right-of-way. t Effective capacity for non-residential development assumes development possible underthe lower range of FAR Intensity standards with the exception of die Metro East District Center, Transit Village District Center, Downtown District Center, Heritage District Center, and Urban Neighborhood areas, The Harbor Corridor District Center, Metro East District Center, Transit Village District Center, Downtown Dlstdet Center, and Urban Neighborhood areas allow a range of intensity for mixture of residential and non-residential development based on the zoning development standards. Residential eff serve capacity was calculated by adding the 21 14824,04 nits possible In the District Center and Urban Neighborhood with the existing 74,588 (Cenkus 2000) housing units. 2 Land use design often permits both residential and non-residential development. Whirl assumes 90% of land area will be developed as commercial and 10°% will be developed as residential; with the exception of Town and Country Manor project Intended for continuum of care and housing seniors. e Land use designation permits high intensity office development with ancillary retail use. This table has been revised to correspond with the GIS Land Use Map Weakened in Exhibit 2. CITY OF SANTA ANA GENERAL PLAN A-35 75C-39 j 1 RI C Rir �� 1 I oA.L��Nl lj flt �f,s1 , NE !V - tlN N iAV RIMER P.Th 1g -a1 i e Rf 0.t flf ftl W�R1 $ Rf tw 0.1 ISP Htf11 ' w 1 I ' i J I �f a_ EtwI Tc 6I 1 r71T1 t�l ll 1-1 R1-ytS1EPeA - N%IXIK St I ilia " a, �a�NwE fl1:Is t•10 Rf Hi l _ _ _l i_Li1.[_t 1_1 __ ]r tNt81RPEm rT _. Rir Santa Ana Zoning Designations I Description g: ei �1111101 Al General Agricultural DT Downtown RA Suburban Apartment C1 CommunityCommercial GC Government Center RE Residential Estate 014D Community Commercial - Museum District M1 Light Industrial SD Specific Development C2 General Commercial M2 Heavy Industrial SP Specific Plan Cd Planned Shopping Center O Open Space TV Transit Village C5 Arterial Commercial P Professional UC Urban Center CDR Corridor RI Single -Family Residence UN1 Urban Neighborhood CR Commercial Residential R2 Two -Family Residence UN2 Urban Neighborhood C-SM South Main Street Commercial District R3 Multiple -Family Residence S�i I i—I rca HEo Y t vc. cs` y 0 500 Feet EXHIBIT 9 75C-40 PIC DEVELOPMENT 9TA SPECIFIC DEVELOPMENT PLAN NO. 90 First and Pacific Project SECTION I — Applicability of Ordinance The Specific Development Zoning District. No. 90 (SD-90), as authorized by Chapter 41, Division 26, Section 41-593 of seq., of the Santa Ana Municipal'Code, is subject to the standards and regulations contained in this plan for the express purpose of establishing land use regulations and standards. All other applicable chapters, articles, and sections of the Santa Ana Municipal Code shall apply unless expressly waived or superseded by this ordinance. SECTION 2 — Par osc The Specific Development Plan No. 90 for the .First and Pacific Project consists of standards and regulations established for the purpose of protecting the health, safety, and general welfare of the people of the City of Santa Ana by promoting and enhancing the value of property and encouraging the orderly development of the property. SECTION 3 — Uses Permitted in Specific Development Plan No. 90 The following uses are permitted in the SD-90 zoring district: a. One-fanuly dwellings b. Multiple -family dwellings not exceeding a density of 26 dwelling units/acre, c. Accessory buildings and structures d. Community buildings e. One (1) temporary real estate office devoted to the sale of real estate in the tract in which it, is located, which shall be used until all units close escrow. f. Home occupations, pursuant to section 41-192.1 et. seq, of the Santa Ana Municipal Code SECTION 4 -- Uses Subiect to a Conditional Use Permit in Specific Development Plan No 90 Any use which may be permitted in the R-2 districtsubject to the issuance of a conditional use pernut pursuant to section 41-247.5 may likewise be permitted in the Specific Development Plan No. 90 subject to a conditional use permit SECTION 5 — Minimum Parcel Area in Specific Development Plan No. 90 The minimum parcel area is 2 acres. Existing parcels of land less than 2 acres in size will retain their legal nonconforming status. SECTION 6 — Minimum Street' Frontage in Specific Development Plan No. 90 The Project (parcel) shalt have a minimum street frontage of at least 200 feet. Existing parcels or land less than 2 acres in size will retain their legal nonconforming status. EXHIBIT 10 75C-41 rANDARDs SECTION 7 — Building Heipht in Specific Development Plan No. 90 No primary structure shall exceed forty (40) feet or three (3) stories in height, as measured from the lowest adjacent grade of the structure to the top of the stricture. SECTION 8 — Maximum Floor Area Ratio (FAR) in Specific Development Plan No. 90 The maximum FAR in Specific Development Plan No. 90 is 1.0. SECTION 9 — First Street setbacks in Specific Development Plan No. 90 There shall be a setback of not less than ten (10) feet as measured from the property line. Porches and architectural features may encroach no more than 50 percent into the required setback with a minimum distance of five (5) feet from the property line. SECTION 10 — Pacific Avenue setbacks in Specific Development Plan No. 90 There shall be a setback of not less than five (5) feet as measured from the property line. Cornices, eaves, chimneys, and similar architectural features may extend into the required setback a distance not to exceed three (3) feet. SECTION 11— Walnut Street setbacks in Specific Development Plan No. 90 There shall be a setback of not less than ten (10) feet as measured from the property line. Porches and architectural features may encroach no more than 50 percent into the required setback with a minimum distance of five (5) feet from the property line. SECTION 12 — Side yard setbacks in Specific Development Plan No. 90 A setback of not less than five (5) feet is required as measured from the property line. Cornices, eaves, chimneys, and similar architectural features may extend into the required side yard setbacks a distance not to exceed three (3) feet. SECTION 13 — Development Standards in Specific Development Plan No. 90 Lots iti the SD-90 district shall comply with the following standards: a. From- and street -oriented side yards shall be landscaped, with the exception of approved driveways, utilities, sidewalks, and other hardscape features. E The perimeter fencing for the structures cannot exceed six (6) feet in height, exclusive of pilasters and any retaining condition, unless otherwise approved by the Planming Division. SECTION 14 -- Parking Requirements in Specific Development Plan No. 90 a. The minimum parking requirements for the multifamily dwelling uuits is two (2) enclosed parking spaces per unit. These spaces shall be in an enclosed garage, either in a side -by -side or tandem orientation. 75C-42 SPECIFIC oEy ELoi'NuNr STANDARDS b. Each parking stall in a two -car garage shall not be less than twenty (20) feet long and nine (9) feet wide. c. A minimum of fifteen (15) guest parking spaces must be provided. Any reduction in guest parking that is due to safety, circulation or other purposes is subject to the approval of the Planting Division. d. All other parking uses aliall be pursuant to Santa Ana Municipal Code Chapter 41, Article XV. SECTION 15 — Open Space Standard for Specific Development Plan No. 90 1. The combined common open space provided shall be a minimum of 18,000 square feet. a. Open spaces within the project shall include, at a mimmum, the following: 1) BBQs 2) Outdoor seating 3) General landscaping 4) Any other recreational amenities as permitted by the Planning Division 2. Private open space shall be provided for each unit; the total private open space per unit shall be a nunititurn of seventy-five (75) square feet. 3. If minor modifications are required, increases or reductions in the amount of private or cornmon open space are subject to the approval of the Planning Division, SECTION 1.6 — Landscape Standards for Specific Development Plan No. 90 In the SD-90 district, all yards shall be landscaped. All landscaping shall be installed pursuant to a landscaping plan approved by the Planning Division. I. Project Landscaping: a. Landscaping must be compliant with the City of Santa Ana's Landscape Water Conservation Ordinance and local California Water Regulations (AB1881). b. Irrigation Systems: Landscaping shall have a lolly automatic irrigation system; irrigation (including spray and/or drip) shall be provided and installed per California Water regulations and City standards. 2, All meters shall be appropriately screened from public view with trellis work and vines or a hedge -type shrub, or be incorporated into the residential structure. 3. Maintenance: a. All plant material shall be maintained per Section 41-609 of the Santa Ana Municipal Code. 75C-43 A dnojo §) \ EXHIBIT 11 EXHIBIT 12 Final Initial Study/Mitigated Negative Declaration (1S/MND) is available for review at the following: http://www.santa-ana.org/pba/planning/FirstandPacific.asp Planning and Building Agency Planning Counter, First Floor 20 Civic Center Plaza Santa Ana, CA 92701 Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 75C-45 City of Santa Ana Planning and Building Agency 20 Civic Center Plaza Santa Ana, CA 92701 (714) 667-2713 The Olson Company 3010 Old Ranch Parkway, Suite 100 Seal Beach, CA 90740 (562)596-4770 Environmental Consultant: Phil Martin & Associates 4860 Irvine Boulevard, Suite 203 Irvine, California 92620 (949) 454-1800 March 31, 2016 EXHIBIT 13 75C-46 1.0 MITIGATION MONITORING AND REPORTING PLAN 1.1 Introduction This is the Mitigation Monitoring and Reporting Plan (MMRP) for the First and Pacific residential project. It has been prepared pursuant to the requirements of Public Resources Code §21081.6 which, among other things, states that when a governmental agency adopts or certifies a CEQA document that contains the environmental review of a proposed project, "The public agency shall adopt a reporting or monitoring program for the changes made to the project or conditions of project approval, adopted in order to mitigate or avoid significant effects on the environment. The reporting or monitoring program shall be designed to ensure compliance during project implementation." The City of Santa Ana is the lead agency for the project, and is therefore, responsible for administering and implementing the MMRP. The decision -makers must define specific reporting and/or monitoring requirements to be enforced during project implementation prior to final approval of the proposed project. 1.2 Project Overview The project applicant proposes the development of 62 three-story attached for -sale residential units in eleven separate buildings on a 2.47 acre site. The project includes four 2-bedroom units and fifty-eight 3-bedroom units at a density of 25.83 units/acre. The existing vacant commercial buildings on the site will be demolished to allow the development of the proposed residential units. 1.3 Monitoring and Reporting Procedures This MMRP includes the following information: (1) mitigation measures that will either eliminate or lessen the potential impact from the project; (2) the monitoring milestone or phase during which the measure should be complied with or carried out; (3) the enforcement agency responsible for monitoring mitigation measure compliance; and (4) the initials of the person verifying the mitigation measure was completed and the date of verification. The MMRP will be in place through all phases of a project including project design (preconstruction), project approval, project construction, and operation (both prior to and post - occupancy). The City will ensure that monitoring is documented through periodic reports and that deficiencies are promptly corrected. The designated environmental monitor will track and document compliance with mitigation measures, note any problems that may result, and take appropriate action to rectify problems, Each mitigation measure is listed and categorized by impact area, with an accompanying discussion of: The phase of the project during which the measure should be monitored; ❑ Project review and prior to project approval ❑ During grading or building plan check review and prior to issuance of a grading or building permit ❑ On -going during construction ❑ Throughout the life of the project The enforcement agency; and First and Pacific Residential Project— Mitigated Negative Declaration March 31, 2016 Mitigation Monitoring and Reporting Plan Page 1 75C-47 The initials of the person verifying completion of the mitigation measure and date. The MMP is provided as Table 1 (Mitigation and Monitoring Reporting Program). First and Pacific Residential Project— Mitigated Negative Declaration March 31, 2016 Mitigation Monitoring and Reporting Plan Page 2 75C-48 Jh, Jhe e � 0 CL E b V � Q 0 ii. U1 > c @ _ 0 .>' c r m a. w _ @ �CL cam y6 a it% is Y0 aim c� O.UO E o _m yyy w 57 �•� EtY 0 Q c a ,y a c yC 0 @ C O O C O _ O CD n o .D � U C 2O C 07 O N. 7.:t N ♦�, E O O E O N O rA 'tl .«'�., @_ O >` 6 "C •y @ w- © N C p Lo N 5 ON 0_ 1q 2 . a °_ a o Nc@ c m a c maC@ E N@ N NN@CU_NN0N _ o w •O tOfi �' C N N O -0 in O U7 Y E Q Eo = 'O ) "0 co O cc 00 0OL N-0 U N UUE «2 .ecm > 05 o@mho d L IL:5' 75C-49 Y d � R E C 16 °a � C O U a� w O � G � O L L c= ma m°Y G Ctl � N C . J7 f� G O CL N O x6 O 'O Um Utter] C _ C O % E Otm 5 c N O ry 3i O! d O. 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N > '0 0 `� U ta > � ° of 0 8 � +� �� ;a m r L m a) 0 eu = ��m@vEm 0 a o a) 0 a3rnm v a 0� 0 ac m u o E ti CO �cm°co—vmy' 0c6.0 a) Em a� i+ yi m E `7 e O ^LZ Z Z 75C-53 75C-54 BZUll ON dVW10"13N1V1N91 I e $ ZO V7'VNtl V1NV5 ANVdW03 NOSl03H1 u4uv�n a' dnojo Sal Vy 01-iMd 91SHId N 0 U I� s b �;�--3fiN3Atl n �OIdIObd 3 N x J t p (j�jlI O?Lr �' �M I•ss ? 8 to if r a + ' W x I � ggq W .1 1 N �• P it i " r I W u ap g I y I� T. 7E, 9 - sa �O EXHIBIT B Ur 75C-56 Planning and Building Agency Planning Division 20 Civic Center Plaza P.O. Box 1988 (M-20) Santa Ana, CA 92702 (714)647.5804 www.santa-ana.org INCLUSIONARY HOUSING PLAN OWNER/APPLICANT INFORMATION Legal Owner West First Pacific, LLC 619-957-5316 Full name of Person, Firm of Corporation Area Code Phone Number 6861 La Jolla Blvd. La Jolla, CA. 92037 619 601-2159 Mailing Address Area Code Fax Number Applicant The Olson Company (562) 370-2255 Full name of Person, Firm or Corporation Area Code Phone Number Mailing Address L-2 Area Code Fax Number Contact Person Sandi Gottlieb saottlieb(cOtheolsonco com Full name of Person, Firm or Corporation Email address 3010 Old Ranch Pkwy., Suite 100, Seal Beach, CA 90740-2751 Mailing Address (562) 370-2255 (562) 547-4808 ( _) Area Code Phone Number Area Code Mobile Phone Number re7i' a Co'"de" 8)(Mrnlber PROJECT DESCRIPTION Project Olson First & Pacific Townhomes Address: 1506, 1524 & 1548 West First St., Santa Ana, CA Assessor Parcel NUmber(s): 007-321-04, 17 & 18 _ Total number of units proposed: 62_ Number of Rental Units: N/A Number of For Sale units: 62 Number of 15% Inclusionary obligation: 9.3 Identify the gross livable area of the proposed project (including private balconies, decks and patios).101,650 SF habitable, 8,588 SF private open space (pipeline project) Will the project be constructed in phases? X Yes No Is a density bonus being requested? Yes No X CITY APPROVALS (if applicable) INNCL^USIONARY HOUSING PLAN NO. ( (� L6 APPROVE ❑ DENY Date: �2 2al[,0 Signature: �L7�.1CJL. ()U � Page 1 of 4 S:PlanningUerical-Counter Formii*=applicalion 1115 EXHIBIT C 75C-57 HOUSING ALTERNATIVES Select the applicable alternatives to indicate how the project will comply with the inclusionary housing requirement: X On -site construction of inclusionary units _e In -lieu fee payment for entire obligation' X In -lieu fee payment for fractional unit (for the 0.3 fractional unit) Land dedication Note: For development projects with more than 20 units requesting in -lieu fee payment to fulfill their inclusionary obligation, "substantial evidence" that the cost of providing inclusionary units on site would substantially exceed the amount of the applicable in -lieu fee is to be provided with this application. Please complete the following table(s) as it applies to your project proposal: Proposed Rental Housing Projects: Number of Bedrooms Unit Size (Square Feet) Number of Market Rate Units Number of Low Income Units Number of Very -Low Income Units Total Number of Units Percent of Total Units Studio 4 5 �-^ Total t If the calculation of the number of required incluslonary housing units results In a fraction, the developer has the option to (a) provide an additional induslonary housing unit or (b) pay an In -Lieu Fee equal to the percentage represented by the fractional Inclusionary housing unit multiplied by the applicable In -Lieu Fee Page 2 of 4 SPlanningUerical-Counter FormsMOappiicallou W5 75C-58 Proposed Ownership Housing Projects: Number of Bedrooms Unit Size Square Square Number of Market Rate Units Number of Moderate Income Unit Total Number of Units Percent of Total Units Studio 1 2 1,302 4 4 3 1469-2108 53 5 58 4 5 Total 53 9 62 14.5% Required Exhibits to the Incluslonary Housing Plan A. ❑ Narrative description of the entire project; B. ❑ Site plan that depicts the entire project (minimum 11" x 17°); C. ❑ Depiction of the location of the inclusionary housing units; and D. ❑ If applicable, a phasing plan that provides for the proportionate number of the total inclusionary housing unit requirement to be built within each phase of the project. E. ❑ If applicable, provide the In -Lieu Calculation Summary for the project. Page 3 of 4 S:Planning0orical-Counter Forma1H00applicalion 1/15 75C-59 Property OWNER'S AFFIDAVIT I hereby certify that I am the legally authorized owner of all property involved in this application or have been empowered to sign as the property owner on behalf of a corporation, partnership, business, etc., as evidenced by separate instrument attached herewith. I hereby grant to the applicant submitting this form full power to sign all documents related to this application, including any conditions or litigation measures as may be deerned necessary. I declare under penalty of perjury that the foregoing is true and correct. s ,2 e &'iftze Executed on (Date) at,, _ California Property Owner's Signature Property Owner's Printed Name I hereby certify that the statements furnished above and in the attached exhibits represent the data and information required for this initial evaluation and that the facts, statements and information presented are true and correct to the best of my knowledge and belief. Further, should the stated information be found false or insufficient, I agree to the return of this form for appropriate revisions, understanding the City of Santa Ana cannot process this form until all applicable information is corrected or provided by the applicant. I hereby certify that I have been legally authorized by the property owner to present this application and to sign on behalf of all documents related to this application, including any conditions or litigation measures as may be deemed necessary. Note: When the applicant is a corporation, partnership, business, etc., a separate document verifying the authorization to sign for such applicant is required. I declare Linder penalty of perjury that the foregoing is true and correct. Executed on (Date) Muv`JA i i� 2-Aat Sfo�,� l3 n Ch, California Applicant's Signature 7G ; /1 Applicant's Printed Name ��6 /Ano�I' 6A,G—(i(14k��1L' CAIS1J�CDoM.p2v�c. Page 4 of 4 S:Planning0erical-Counter FormsMOapplicalion 1115 75C-60 K THOMTY TO PROCESS ENTITLEWNTS TIIIS AUTHORITY TO PROCESS ENTITLEWNTS (the "Authorization") is effective as of ;'YLr\u b v A 2-1 2015, and is made by W17ST FIRST PACIFIC, LLC, a California limited liabil--i y oompany ("Owner") ofroal property located at 1506, 1524 and 1548 West First Street in the City of Santa Ana, County of Orange, State of California. Owner hereby authorizes Olson Land Opportunities, LLC, aDelawaro limited liability company or its assignee ("Developer") with limited powers to sign, file and process with the City of Santa Ana ("City") applications for govermnental and other entitlements, permits and development authorizations with the City for the development of the Property in accordance with a development plan created by Developer in its sole discretion, including but not limited to (a) tentative and final tract map(s), zone, general plan and/or specific plan amendments; And (b) grading, soil export, improvement and model plans. Nothing herein shall entitle the Developer to grant any interest in the Property. This authorization shall be effective immediately as of the date hereof and shall expire on the earlier to occur of (a) written notice of termination of this Authorization sent by the Owner to the City; or (b) one ( 1) year from the date hereof. "Owner" Name• (D t7!'/b/nrt C Title: W11 l Name• Title: 75C-61 AUTHORITY TO PROCESS LNTITLEMINTS THIS AUTHORITY TO PRQCk?SS L'NTLTLB.ivIENTS (the "All thorizalimr") is effective as of r15, and is made by WEST FIRST PACIFIC, LI.,C;, a �5�� _ , California limite litidbility comps ry ("(Jwner") of real property located at 1506. 1524 and 1548 West First Street in the City of Santa Ana, County of Orange,, State of California. Owner hereby authorizes OL,SON URBAN HOUSING, L.L.C, a Delaware limited liability, company or its assignee ("Developer"') with Ihnited powers to sign,, file and Process with the Cite of Santa Ana ("City") applications for g>overmnental and other entitlements, permits and development authorizations with the City for the developtrtcot of the Property in accordance with a development plan created by Developer in its sole discretion, including but not limited to (a) tentative and final tract mep(s), zone, general Ulan and/or specific plan amendments; and (b) grading, soil export, improvement and model plans. Nothing herein shall entitle the Developer to grant ugly Interest In the Property. This authorization shall be cfi'ective imrnerdiately as of the date hereof anti shall expire on the carlier to occur of (a) written notice of termination of this Authorization sent by the Owner to the City; or (b) one ( 1) year from the date hereof. f3y: Nan e^ '1"itic: 'title: 75C-62 America's Builder of the Year Olson First & Pacific Townhomes Project Narrative Olson proposes to develop this 2.47 acre site into a homeownership community that fits well within the context of the juxtaposed commercial corridor and residential neighborhood. Three- story for -sale townhomes are planned for the First & Pacific community which will feature five floor plans all with attached two -car garages, ranging from 1,302 to 2,108 square feet of living space (2 BD/2.5 BA — 3 BD/3 BA). The buildings will be designed with Spanish architecture with differentiated elements and color themes to enhance the character of this community. The building and plan layout will create a defined street presence for the project, while providing private spaces for the homeowners balanced with promoting interaction with the public realm through view corridors along First Street and direct pedestrian access to Pacific Avenue and Walnut Street. This community offers a variety of private and common open space areas tied together with pedestrian pathways. All units offer either two or three bedrooms, each with a private patio and/or deck. A community building with an outside plaza area is provided for the homeowners that will be approximately 850 square feet in size which will be a focal point for the residents. A series of courtyards, greens spaces and green paths throughout the project connect the community to the courtyards and community facility which serve as central gathering places. Our project is considered a "pipeline" project under the Inclusionary Housing Ordinance and is eligible to utilize the provisions of the prior Ordinance. Per the Ordinance, we are required to provide 9.3 units for sale to qualifying moderate income buyers (households earning up to 120% of the median). We are proposing to provide 9 units on -site and pay the fractional in lieu fee for the 0.3 unit (estimated by City at apex, $25,000). Based on the Ordinance and discussions with the Housing Department, we are proposing to reasonably disperse the affordable homes through -out the building complexes that house the market rate units and include four two - bedroom units and five three -bedroom units. It is a relatively small site and the unit types vary slightly so the specific location of each affordable unit will be comparable. Additionally, they will have the same exterior appearance and same access to amenities as the market rate units. 75C-63 L J pB V 4— iV 06 V! LL o Q � � ��K6 q �� j3 �$ AF�• 3a� ' g ��S �Z PR R 9 As33e�9��5�� n EA ` I , 75C-65 TABLE 2 IN -LIEU FEE CALCULATION - DEVELOPER INPUTS OWNERSHIP PROJECTS - 15% MODERATE INCOME INCLUSIONARY REQUIREMENT HOUSING OPPORTUNTY ORDINANCE SANTA ANA, CALIFORNIA I. Prpiect Description A. Project Name B. Project Address it. on -Site Inclusionary Requirement A. Required Number of Inclusionary Units Total Project Units Indusionary Requirement as %of Total Units Total Inclusionary Requirement (Round -up) B. Inclusionary Unit Distribution Two -bedroom Units Three -bedroom Units Four -bedroom Units Totals Total Building Area (Square Feet) III. Affordability Gap,[-- Unit Calculation Two-bedraom Units Three -bedroom Units Four -bedroom Units Olson First & Pacific Townhomes & 1548 West First Street 62 15% 9 Required # of Total Project Inclusionary Units %of Total Units Units 4 6,45% 1 58 93.55% 9 62 100.00% 9 101,650 Restricted Price- Affordability Gap( Market Prices Moderate Income a Unit $350,000 $280,000 $70,000 $382,000 $305,600 $76,400 $0 $0 Affordability Total Affordability IV. Affordability Gan Calculation Gap J Unit incluslonary Units Gap Two -bedroom Units $70,000 1 $70,000 Three -bedroom Units $76,400 9 $687,600 Four -bedroom Units $0 (1) $0 Total Affordability Gap $757,600 rotai In -Lieu Feed $757,600 Per Total Unit $12,200 Per Income Restricted Unit $81,500 Per Square Foot of Total Building Area $7.45 ' This column must add up to 100%. i Multiply the Y° of Total Units times the Total Inclusionary Requirement. a Equal to the lesser of the defined Affordable Sales Price of 20% less than the projected Market Price. The Total In Lieu Fee is equal to the Total Affordability Gap. Preparedby: Keyser Marston Associates Filename: Olson Homes -Developer Own In -lieu Fee Calculatlon.47e Page 1 of Sandra Gottlieb From; Verlinich, Natalie [NVerlinich@santa-ana,org] Sent: Wednesday, January 13, 2016 11:29 AM To: Sandra Gottlieb Subject: RE: Olson project Attachments: Olson Homes - Developer Own In -lieu Fee Calculation,pdf: HOO Affordable Sale Price Calcuation - Updated Jan 2016.pdf Hi Sandi — Here is the breakdown for the fractional unit: Under the old Ordinance, the fee for the 0.3 requirement would be $24,450 ($81;500 x 0:3) Under the revised Ordinance, the fee for the 0.3 requirement would be $30,658.95 Please note that you elect to do the fractional unit under the Old Ordinance, the calculation would be needed to be completed with the sales prices for the market rate homes. Also, I've included the recently updated Affordable Sale Price for the incluslonary units under the ordinance. Please let me know if you need anything else. Thanks, Natalie Verlinich Housing Programs Analyst City of Santa Ana T: (714) 667-2267 From: Sandra Gottlieb[n->_ailto;sgottlieb@theolsonco.com] Sent: Wednesday, January 13, 2016 10:11 AM To: Verlinich, Natalie Subject: RE: Olson project 01<thx From: Verlinich, Natalie[mailto:NVerlinich(asanta-ana.org] Sent: Wednesday, January 13, 2016 7:46 AM To: Sandra Gottlieb Subject: RE: Olson project I-Ii Sandi, I'm working on it now and should have to you by the end of the clay. Thanks, Natalie Verlinich Housing Programs Analyst City of Santa Ana T: (714) 667-2267 i 75C-67 75C-68 FIR T STREET R WALNUT STREET I layers A The E-alh-m Callt.ml. On, Companywlil mmtmcla now hlph peen.. -pas [In. olang Rrdlle Avanua lase IhO,re, 6 Any 1.elJ.. mmay.l wilbie Ill 11611.dghb.bway is..bled to apprevol by the Ewfmaa.nlol and Tmmpod-IlanM pay CammAlae lux). C. 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J-pid rmd nnlo the rnm.vai of the e.hlhq crab mmnl m nmlhwn+mmer.l vkl ' RADII 17' REQ'D CORNER CUT OFF FOR BLDGS 007.221.1 p.loap Ilse.nlla, Pmpany Irce+apat � Sea --'-moat noll1 Indoor aad."..d sanal Imp....areas pinar. "'I., at es ashratf caner of Flan Slmal and ypo:M.Avaaaa, r--snadj n nl ne+v 25' mdinx carb mltm. ARCHITECTI Santa Ana Sit SOntc 75C-70 City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention; City Clerk To be roccrdod vA hout fee. Only) (5paa�Abave This Lanee For Recorder's Use Only) (Govanr(neol Cade, §§ 6103 and;27383) INCLUSIONARY HOUSING AGREEMENT OWNERSHIP PROJECT THIS INCLUSIONARY HOUSING AGREEMENT its dated as of May 3 22016, by and between the CITY OF SANTA ANA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California and OLSON URBAN HOUSING, I_I-C, a Delaware limited liability company ("Developer"). A. The City's Housing Opportunity Ordinance (®Ordinance") was originally adopted by the City Council on November 2.6, 2011and is codified in Article XVIII.1 Section 41 — 1900 of the City's Municipal Code. The Ordinance was amended by the City Council on September 1, 2015„ in Ordinance No. NS-2881, and on October 6, 2015, In Ordinance No. NS- 2885. B. The Developer is the fee owner of the Property located at 1506, 1524, and 1548 West First 'Street, Santa Ana, California. C. The Developer desires, at the Developer's sole cost and expense, to develop a sixty-two (62) unit for sale condominium project on the Property ("Project"). D. On May_3 ZQII Q, the City Council: approved and adopted the Mitigated Negative Declaration and Mitigation Monitoring Reporting Program, Inaluslanary Hausin,e�Ardraomerrl-p,marship -Project - Page Cify of Santa Ana EXHIBIT D 75C-71 Environmental Review No. 2015-09; adopted a resolution approving General Plan Amendment No. 2016-02; adopted an ordinance approving Amendment Application No. 2016-02; adopted a resolution approving Tentative Tract Map No. 2016-02 as conditioned; and, approved the vacation of excess right -of -wary on (First Street, which sets forth the City Approvals for the Project. E. The Program Director, acting on behalf of the City, approved an Inclusionary Housing Plan that was prepared by the Developer in accordance with the requirements imposed by the Ordinance and the Administrative Procedures Manual established by the City Council to implement the Ordinance requirements. F. This Inclusionary Housing Agreement, when fully executed by the City and the Developer and recorded, is Intended to satisfy the requirement that the Developer enter into an Inclusionary Housing Agreement, as set forth in the Ordinance and the conditions to City Approvals!. NOW, THEREFORE, in consideration of the mutual promises set forth in this Inclusionary Housing Agreement and other good and valuable consideration, the receipt and sufficiency of which is acknowledged by the City and the Developer, the Parties, agree as follows: The following words, terms and phrases are used In this Incluslonary+ Housing Agreement, as follows, unless the particular context of usage of a word, term or phrase requires another interpretation. Administrative Procedures means the regulations promulgated by the Executive Director pursuant to the Ordinance. Administrative Procedures Manual Is the Affordable Ownership Housing Administrative Procedures Manual — Developer Requirements dated January 2015, which has been prepared by the City for the implementation and enforcement of the Ordinance. A copy of the Administrative Procedures Manual' shall be maintained on file with the City, and shall be provided to each Developer of Inclusionary Units, Inclusioiaagr FOaudiirg pgraarnemR - GmnBrsttip r'ro}ect ('ape 2 city of Sinta Ana 75C-72 Affordability Gap is equal to the difference between the Fair Market Value of the Inclusionary Unit and the Affordable Sales Price for the Inclusionary Unit at the time of acquisition by the Homebuyer. Affordability Period shall be defined for each Incluslonary Unit in the Inclusionary Housing Covenants Declaration recorded on legal title to that Inclusionary Unit. Affordable Housing Cost means the maximum costs that can be borne by Moderate Income Household based on the requirements imposed by H&SC Section 50052.5, The calculation methodology is described in Section VI of the Administrative Procedures Manual, Affordable Sales Price means the maximum sales price that can be charged for an Incluslonary Unit. The Affordable Sales Price is equal to the lesser of: 3. The sum of the Supportable Mortgage plus the Benchmark Down Payment: or, 1 The purchase price prospective buyers are willing to pay in return for purchasing a home that is subject to restrictive covenants, The statutorily set Affordable Sales Prices for the initial sale of each Inclusionary Unit are shown in Exhibit 8 to this Inclusionary Housing Agreement. The Affordable Sales Prices for Incluslonary Units shall be adjusted quarterly. Benchmark Frown Payment is a component of the Affordable sales Price calculations, For the purposes of these Administrative Procedures, the Benchmark Clown Payment is set at 5% of the total Affordable Sales Price, California Health and Safety Code ("HSC") provides definitions of household Income and affordable housing costs that are used In this Incluslonary Housing Agreement, City means the City of Santa Ana, California, City Approvals are defined as the entitlement approvals and the Incluslonary Housing Plan that must be approved by the Program director prior to the Issuance of building permits for the Project. City Council means the City of Santa Ana City Council_ Inclusionary hkousinq A,ffrpcmonk-Civmarshp fruajsc[ City of Santa Ana 3 75C-73 City Deed of Trust means a deed of trust that secures the Owner's obligation to comply with the obligations imposed by the Inclusionary Housing Covenant Declaration.. Default means the failure of a Party to perform any action or covenant required by this Inclusionary Housing Agreement within the time period provided herein following notice and opportunity to cure, as set forth in Article 3 -- Section I of this Inclusionary Housing Agreement. Delivery Date means the date on which an Inclusionary Unit Escrow closes and the Homebuyer acquires a fee title Interest in the completed Inclusionary Unit. Developer means the developer of the Project. Effective Date means the date on which this Inclusionary Housing Agreement is approved and executed by appropriate authorities of the Developer and the City: and this Inclusionary Housing Agreement is delivered to the Developer. Eligible Purchaser shall mean a Homebuyer who meets the eligibility criteria set forth in the Administrative Procedures. Executive Director is the Executive Director of the Community Development Agency of the City, The Executive Director, or designee, has the ultimate authority to evaluate appeals submitted in relation to the Administrative Procedures. Exhibits means the exhibits to this Inclusionary Housing Agreement, which are listed in Article 1 - Section V. Fair Market Value means the value of the Inolusionary Unit under normal circumstances in which the seller and the buyer freely negotiate the terms of the transfer of ownership. The Fair Market Value must be established by a licensed Real Estate agent basedon three comparable properties. Gross Household Income means all Income from whatever source from all adult Household members, which is anticipated to be received during the 12- month period following the date of the determination of Cross Household Income. The applicable sources of income are defined In California Code of Regulations Title 25 Housing and Community Development Section 6914, The definition includes the following specific requirements: Inolusionary Housing Agroemant - Qwnersiblp, Pra]eut Paye A City of 8 anta Ann 75C-74 I. Except as provided in subdivision (2), all payments from all sources received by the head of Household (even if temporarily absent) and each additional member of the Household who is not a minor shall be included in the annual income of a Household. Gross Household Income shall include, but not be limited to: a. The gross amount, before any payroll deductions, of wages and salaries, overtime pay, commissions, fees, tips and bonuses; b. The net income from operation of a business or profession or from rental or real or personal property (for this purpose, expenditures for business expansion or amortization of capital indebtedness shall not be deducted to determine the net income from a business); c. Interest and dividends, d, The full amount of periodic payments received from social security, annuities, insurance policies„ retirement funds, pensions, disability or death benefits and other similar types of periodic receipts (but see subdivision (2)(c)); e. Payments in lieu of earnings, such as unemployment and disability compensation, worker's compensation and severance pay; f. Public Assistance. If the public assistance payment includes an amount specifically designated for shelter and utilities which is subject to adjustment by the public assistance agency in accordance with the actual cost of shelter and utilities, the amount of public assistance income to be included as Income shall consist of: i. The amount of the allowance or grant exclusive of the amount specifically designated for shelter and utilities, plus R. The maximum amount which the public assistance agency could in fact allow for the Household for shelter and utilities. g. Periodic and determinable allowances such as alimony and child support payments, and regular contributions or gifts received from persons not residing In the dwelling; l awonary Homing Agreement • tWmership Prejecl City of Stints Ana __. Pages 75C-75 h. All regular pay, special pay and allowances of a member of the Armed Forces (whether or not living in the dwelling) who is head of the Household or spouse or domestic partner (but see subdivision (2)(e)); I. Where a Household has net assets in excess of $5,000, income shall include the actual amount of income, if any, derived from all of the net Household assets or 10 percent of the value of all such assets, whichever is greater. For purposes of this section, net Household assets means value of equity In real property other than the Household's full-time residence, savings, stocks, bonds, and other forms of capital investment. The value of necessary items such as furniture and automobiles shall be excluded. 2. The following items shall not be considered as income: a. Casual, sporadic or irregular gifts; b. Amounts which are specifically for or in reimbursement of the cost of medical expenses; C. Lump -sum additions to Household assets, such as inheritances, Insurance payments (Including payments under health and accident insurance and workers compensation), capital gains and settlement for personal or property losses; d. Amounts of educational scholarships paid directly to the student or to the educational institution, and amounts paid by the government to a veteran for use in meeting the costs of tuition, fees, books and equipment. Any amounts of such scholarships, or payments to veterans not used for the above purposes of which are available for subsistence are to be included in income; e. The special pay to a serviceman head of a Household away from home and exposed to hostile fire; f. Relocation payments made pursuant to federal, state, or local relocation law; 9. Foster child care payments; —�O—winar—sh—itiprojec.1 City of Santa Aria 75C-76 h. The value of coupon allotments for the purchase of food pursuant to the Food Stamp Act of 1964 which is in excess of the amount actually charged the eligible Household'; Payments received pursuant to participation in the following volunteer programs: I. National Volunteer Antipoverty Programs which include VISTA, Service Learning Programs and Special Volunteer Programs, ii. National Older American Volunteer Programs for persons aged 60 and over which include Retired Senior Volunteer Programs, Foster Grandparent Program, Older American Community Services Program, and National Volunteer Program to Assist Small Business Experience, Service Corps of Retired Executive (SCORE) and Active Corps of Executives (ACE). HCD means the California Department of Housing and Community Development, Homehuyer means an Eligible Purchaser that has executed an agreement to purchase an Inclusionary, Unit, Household means all the persons who will occupy the Inclusionary Unit as their Primary Residence. A child who is subject to a legally -binding shared -custody agreement, in winch the child resides with the Householdat least 50% of the time, is counted' as a member of the Household, Excluded from the definition of Household are live-in caregivers/caretakers, faster children, unborn children and children being pursued for legal custody or adoption that are not currently living with the Household, Housing Cost means and includes all of the following casts associated with ownership of an Inclusionary Unit as defined in Title 25 of the California Code of Regulations Section 6920: 1. Principal and interest on a mortgage loan at the defined interest rate, 2. Property tax and assessments; 3. Fire and casualty Insurance covering replacement value of property improvements„ Iriclusinn;�ry Hour+nc� i �reamant • 4Wniership Fltujact Pki 0 7 City of .rota Ana 75C-77 4, Property maintenance and repairs; 5. A reasonable utility allowance, as determined by the City; and 8, Homeowner Association assessments and dues. HUD means the United States Department of Housing and Urban Development, Inclusionary Housing Covenants Declaration means the Declaration of Inclusionary Housing Covenants, Conditions and Restrictions attached hereto as Exhibit 5. Incluslonary Housing Fund means a separate fund of the City which is codified in Article XVIII.1 Section 41-1909 of the City's Municipal Code. The fund was established for the specific purpose of providing the City with funds to assist In the development of housing that is affordable to low and moderate income households. The allowable uses of Inclusionary Housing Funds, and the related reporting are described in Attachment I of the Administrative Procedures Manual. Inclusionary Mousing Plan means a plan submitted for approval to the Program Director that details the manner in which the Inclusionary Housing obligations will be fulfilled by the Project. The Inclusionary Housing Plan form is presented in Attachment B of the Administrative Procedures Manual, and also attached as Exhibit 3 to this Inclusionary Housing Agreement. Inclusionary Unit means a completed affordable owner -occupied housing unit, including the landscape improvements thereon, if any, that is made available for sale to an Eligible Purchaser. The location of each Inclusionary Unit in the Project is shown on Exhibit 3 to this Inclusionary Housing Agreement. Inclusionary Unit Escrow means the escrow transaction by and between the Developer and each Homebuyer, through which the Developer shall transfer fee title in each completed inctusionary Unit to an Eligible Purchaser, In -Lieu Fee refers to a fee that may be paid by the Property Owner in specific circumstances in lieu of providing Inclusionary Units within a Project. These circumstances are identified in Section II -A of the Administrative Procedures Manual. The current Affordable Housing In -Lieu Fee calculation worksheet schedule is presented in Attachment J of the Administrative Procedures Manual. Market Fate Unit means any unit in the Project that is not restricted for ownership and occupancy by Eligible Purchasers. fncltn;1urrary Housing Agreement - Ovmorship Peoiac City of Santa Ana riddi 8 75C-78 Median Income is calculated by HOD using non -aggregated census income data and applying trending factors for metropolitan statistical areas (MSA) throughout the country. The IVISA for Santa Ana Is Orange County. The current household income information is presented in Attachment I of the Administrative Procedures Manual, Moderate Income refers to Households whose incomes meet the standards defined by the H&SC Seotion 50093. generally, Moderate Income means household income that does not exceed 120% of the County Median Income, as adjusted for Household size. The maximum household Income amount for Moderate Income Households shall be set at the amount published by HOD annually. Moderate Income Household shall mean individuals or Households who have an adjusted Gross Income that does not exceed Moderate Income. Ordinance means the Housing Opportunity Ordinance originally adoptedby the City Council on November 28, 2011, and as amended by the City Council' on September 1, 2015, In Ordinance No. NS-2881, and on October 6, 2015, in Ordinance No. NS-2885, which is codified in Article XVIII.1 Section 41-1900 et seq. of the City's Municipal Code. Owner means the current owner of an Inclusionary Unit, Party and Parties mean the City and the Developer as parties to this I'ncluslonary Housing Agreement, Program Director has the day-to-day authority for making determinations related to the Ordinance and Administrative Procedures Manual, The Program Director will be appointed by the Executive Director. Project means the owner-oocupled housing project proposed to be developed on the Property at the Developer's sole cost and expense. Property means the real property, as shown on Exhibit 2 attached to this Inclusionary Housing Agreement, on which the Project is to be developed, for which the legal description is provided in Exhibit 1 to this inclusonary Housing Agreement, Supportable Mortgage means the mortgage amount that can be supported by a Moderate Income Household based on the Affordable Housing Cost calculations. — - -- - — tnaltiiatlanary liatisisiyp l zeemani - bvan�rahip ,J�cC _ page 0 Clry of Santa Ana 75C-79 The mortgage calculation is based on the prevailing market interest rate for a 3D- year fully amortizing mortgage with a fixed interest rate. See Section VI-8 of the Administrative Procedures Manual for an explanation of the calculation methodology. ARTICLEDATE; RECITALS; AND EXHIBITS I. Parties to this Inclus-lonary Housing Agreement I -A. City, The City is a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California. The address of the City. for the purposes of this Inclusionary Housing Agreement, is: City of Santa Ana Community Development Agency 20 Civic Center Plaza, M-25 Santa Ana, California 92701 Attention; Program Director Facsimile Number; 714 547-6549 I.E. Developer. The Developer is a Delaware limited liability company. The principal office and address of the Developer, for the purposes of this Inclusionary Housing Agreement, is: Inrluslcnary Houalng fie7reernwn[ - C7,vnership Project f'aqo 10 City of Santa Ana 75C-80 Gilson Urban Housing, LLC 3010 Gild Ranch Parkway, Suite 100 Seal Beach, California 90740 Attention: John Reekstln and Sandra Gottlelb Tel: (562) 596-4770 Fax: (562) 596-4703 E-Mail: tolsontheolsonco.com Olson Urban Housing, LLC 3010 Old Ranch Parkway, Suite 100 Seal Beach, California 90740 Attention: Katherine M. Chandler Tel: (562) 370-2270 Fax: (562) 598-9853 E-Mail: kciiandler@thoolsonco.com Il. Developer Representations And Warranties The representations and warranties of the Developer contained in Article 1 Section 11 shall be based upon the actual knowledge of the Developer as of the Effective Date, and are true and correct as of the Effective Date, The Developer's liability for misrepresentation or breach of warranty, representation or covenant, wherever contained In this Inclusionary Housing Agreement, shall survive the execution and delivery of this Inclusionary Housing Agreement. The Developer hereby makes the following representations, covenants and warranties, and Developer acknowledges that the execution of this Inclusionary Housing Agreement by the City has been made in material reliance by the City on such covenants, representations and warranties: it -A. The Developer is a Delaware limited liability company, lawfully entitled to do business in the State of California and the City. The Developer has the legal right, power and authority to enter Into this Inclusionary Housing Agreement and the instruments and documents referenced herein and to consummate the transaction contemplated hereby. The persona _--- — — Inctueronarp I-lacisint� A�vpc�men¢-dwire4styip Pr+sJect — Page f 5 City M Saint Ann 75C-81 executing this Incluslonary Housing Agreement and the instruments referenced herein on behalf of the Developer hereby represent and warrant that such persons have the power, right and authority to bind the Developer, II-B. The Developer has taken all requisite action and obtained all requisite consents in connection with entering into this Incluslonary Housing Agreement and the instruments and documents referenced herein and the consummation of the transactions contemplated hereby, and no consent of any other party is required for the Developer's authorization to enter into this Incluslonary Housing Agreement. H-C. Neither the execution of this Incluslonary Housing Agreement nor the consummation of the transactions contemplated hereby shall result in a breach of or constitute a default under any other agreement, document, instrument, or other obligation to which the Developer is a party or by which the Developer may be bound, or to the best of the Developer's knowledge, under any law, statute, ordinance, governmental regulation or any writ, injunction, order or decree of any court or governmental body applicable to the Developer or to the Property. 11-1), This Inclusionary Housing Agreement is, and all agreements, instruments and documents to be executed by the Developer pursuant to this Incluslonary Housing Agreement shall be duly executed by, and to the best of the Developer's knowledge, are or shall be valid and legally binding upon the Developer and enforceable in accordance with their respective terms. This Inclusionary Housing Agreement Is dated MAy 3 2016, for reference purposes only. This Inclusionary Housing Agreement shall not go into effect before the Effective Date. IV. Recitals The Recitals set forth above are true and correct, The Recitals are incorporated into this Inclusionary Housing Agreement in their entirety by this reference. Ownership Project Page 12 City of Santa Ana 75C-82 V. Exhibit List The following is a list of the exhibits attached to this Inclusionary Housing Agreement. Each of the exhibits is incorporated by reference Into the text of this Inclusionary Housing Agreement. Exhibit 1 Legal Description of Property Exhibit 2 Site Map Depicting Property and Zoning Designations Exhibit 3 Inclusionary Housing Plan Exhibit 4 Schedule of Performance for Construction of Inclusionary Units Exhibit 5 Inclusionary Housing Covenants Declaration Exhibit 6 City Deed of Trust. Exhibit 7 Calcuiations of Affordable Sales Prices Exhibit 8 Developers Phasing Map Exhibit 9 Legal Description of Inclusionary Units "� ■ ININ Rol.] e ``. NOF j 61 r ! G r 1. Developer Compliance with the Ordinance The Developer acknowledges that the City has provided the Developer with copies of the Ordinance and the Administrative Procedures Manual. The Developer is familiar with the requirements of all the foregoing documents and shall ensure that the Project complies in all material respects with this Incluslonary Housing Agreement and the requirements set forth In all of the applicable foregoing documents. IL Inclusionary Housing Covenants The Developer covenants and agrees that nine (2) of the units to be developed on the Property shall be Inclusionary Units reserved for sale at the Affordable indusionary Housing Agroonr on8 .Ownorship Pralaat Papa 13 Clly of Santa Ana 75C-83 Sales Price and occupancy by Homebuyers whose Gross Household Income at the time of occupancy of each Inclusionary Unit does not exceed the household Income qualification limits of a Moderate Income Household. This covenant and agreement shall be binding on the successors and assigns of Developer, as set forth herein and in the Inclusionary Housing Covenants Declaration (Exhibit 5) and the City Deed of Trust (Exhibit 6). II -A. The Inclusionary Units to be developed on the Property shall be reasonably dispersed throughout the market rate project as depicted on Exhibit 3. The Developer may change the location of any Inclusionary Unit to another area within the Project upon approval of the Program Director. Changes in the location of Inclusionary Units as approved on the Tentative Subdivision Map In which the Project is included shall be made consistent with all requirements of the Ordinance and the Administrative Procedures Manual, and shall be subject to the approval of the Program Director, such approval not to be unreasonably withheld. II.13, The Inclusionary Units to be developed on the Property shall be proportional in the number of bedrooms to the market rate units In the Project; they shall be comparable to the market rate units in terms of design, materials, finished quality and appearance; and be permitted the same access to the Project amenities and recreation facilities as the market rate units, Il The Inclusionary Units to be developed on the Property shall be constructed concurrently with, or prior to, the Market Rate Units in the Project. If the Project is phased, the Inclusionary Units shall be constructed In accordance with the phasing plan included as Exhibit S to this Inclusionary Housing Agreement. If the Developer wishes to change the timing andlor phasing of the Project's construction, the City agrees to amend said schedule in a manner consistent with such change so long as the revised schedule continues to ensure that the Inclusionary, Units will be constructed concurrently with, or prior to, the Market Rate Units. II.D. The Developer shall affirmatively market the Inclusionary Units to Moderate Income Households in accordance with the Administrative Procedures Manual. __ --- — Inc.Suadpnary Flraufl�ng AprecrrnenP - fJwrntarstri� PrpioGt Page 14 CAy or Sarrta Ana 75C-84 III. Sale of Inclusionary Units Each of the Inclusionary Units shall be soldto a Moderate Income Household as set forth in the Inclusionary Housing Plan. The purchaser of each Inclusionary Unit shall qualify as an Eligible Purchaser, as defined in the Administrative Procedures Manual, IV. 'Selection of Eligible Purchaser The Developer shall, at its sole cost and expense, conduct all procedures and comply with all requirements as set forth in the Ordinance and the Administrative Procedures Manual in selecting qualified Eligible Purchasers for each of the Inctusionary Units, Specific procedures are set forth in Attachment D in the Administrative Procedures Manual. If a prospective Homebuyer qualifies as an Eligible Purchaser, as defined herein, the Homebuyer shall be required to execute the Developer's standard purchase agreement for the purchase and sale of an Inclusionary Unit. The Developer shall seek and obtain all approvals required from the City pursuant to the Ordinance and the Administrative Procedures Manual, and shall provide the City with all documentation required pursuant to the Administrative Procedures Manual, V. Execution of Inclusionary Mousing Covenants Declaration and City Deed of Trust The Developer shall not sell an Inclusionary Unit unless and until the City has reviewed and approved the Homebuyer as an Eligible Purchaser for the purchase of the Inclusionary Housing Unit, and the Homebuyer has executed and submitted' to the Program Director, in recordable form, the Inclusionary Housing Covenants Declaration and the City Deed of Trust. The forms to be used are found in Exhibits 5 and 6, respectively, to this Incluslonary Housing Agreement, VI. Enforcement of Inclusionary Mousing Covenants Declaration The Developer irrevocably stipulates and agrees that breach of the inclusionary Housing Covenants set forth ,above in Article 2 - Section li will result in great and irreparable damage to the City, and will result in damages to the City that are either impracticable or extremely difficult to quantity. Accordingly, upon the breach of the Inclusionary Housing Covenants Declaration set forth above In -- - - — lncluaionnr~� HousingAprnornenE - Cm7er�shi�a Project_ r'ago 15 City of Santa Aoo 75C-85 Article 2 Section 11, the City may institute an action for injunctive relief and/or specific performance for the remedy of such breach. Vill. Recordation of Inclusionary Housing Covenants Declaration and City Deed of Trust Prior to the close of each Inclusionary Unit Escrow, each Homebuyer shall sign, and the City shall cause to be recorded, the City Dead of Trust and the Inclusionary Housing Covenants Declaration. Vill. In -Lieu Fee In lieu of providing the fractional Inclusionary Unit specified in the Inclusionary Housing Flan, which is .3 of a Moderate Income Household Inclusionary Unit for this Project, the Developer shall pay to the City the sure of $2 5050.00 prior to obtaining the first building permit for the Project. Such payment shall constitute satisfaction in full of such fractional Inclusionary Unit requirement only. Inaluslanary Housing Agrriaman4 - OwnarshEp Pmjed City of Sankt Ana Page 16 75C-86 ARTICLE ■ ., Default If either Party defaults with regard to any provision of this Inclusionary Housing Agreement, the non -defaulting Party shall serve written notice of such default upon the defaulting Party, If, after the service of written notice of such default, the defaulting Party does not cure such default within thirty (30) calendar days after service of the notice of default (or, if such cure reasonably takes longer than thirty (30) days, if such cure has not been commenced within the thirty (30) day period or is not diligently completed within a reasonable time, not to exceed an additional sixty (60) calendar days), the defaulting Party shall be in Default of the terms of this Inclusionary Housing Agreement, and shall be liable to the other Party for damages caused by such Default. Alternatively, the non defaulting Party, at its option, may institute an action for specific performance of the terms of this Inclusionary Housing Agreement. Legal Actions In the event of a breach or potential breach of program requirements, in addition to any other rights or remedies, either Party may institute legal action to cure, correct or remedy any Default, to recover damages for any Default, or to obtain any other remedy consistent with the purposes of this Incluslonary Housing Agreement. 11-A. The City's actions may include, but are not limited to, the following: I' The following legal actions: a. Actions to enforce compliance with the program requirements and to enjoin any actions by the Developer that violate program requirements; b. Actions to disapprove, revoke or suspend any permit, including a Building Permit, Certificate of Occupancy or other discretionary approval; c. Injunctive relief and damages, and Inclu�ltin�ry t taus0�� A,greemLt,l-Owrrmrship Prnlac1 Page 17 City of Santa Ana 75C-87 d. Civil citations with monetary penalties for violations of the Inclusionary Housing Agreement. 2. If the Developer rents any of the Inclusionary Units in violation of this Inclusionary, Housing Agreement, as restitution to the City, the Developer shalt forfeit all monetary amounts obtained through the rental of the Inclusionary Units. 3, If the Developer sells any of the Inclusionary Units in violation of this Inclusionary Housing Agreement, as restitution to the City, the Developer shall forfeit all monetary amounts obtained from the sale of the Inclusionary Units that are in excess of the Affordable Sales Price permitted by this Inclusionary Housing Agreement for such Inclusionary Units, 4. All such restitution shall be made to the City. Any funds received by the City under this provision of this Inclusionary Housing Agreement shall be placed in the City's Inclusionary Housing Fund. 11-B. The laws of the State of California shall govern the interpretation and enforcement of this Inclusionary Housing Agreement. IH-C. in the event that any legal action 1s commenced by the Developer against the City, service of process on the City shall be made by personal service upon the Clerk of the City Council, or in such other manner as may be provided by law. II-D. In the event that any legal action is commenced by the City against the Developer, service of process shall be made by personal service on the Developer's designated agent at such address as may be specified in written notice to the City, or in such other manner as may be provided by law, and shall be valid whether made within or without the State of California. Ili. flights and Remedies are Cumulative The rights and remedies of the Parties are cumulative and the exercise by either Party of one or more of such rights or remedies shall not preclude the exercise by it, at the same or different times. of any other rights or remedies for the same Default or any other Default by the other Party. Inclusfnnary Hcriasing Agreenianl - ©wvnsrshlF� protect City of Santa Ana 75C-88 GENERAL PROVISIONS I, Notices, Demands and Communications Between the Parties Any and all notices, demands or communications submitted by any Party to another Party pursuant to, or required by, this Inclusionary Housing Agreement shall be proper if in writing and dispatched by messenger for Immediate personal delivery, or by registered or certified United States mail, or comparable courier service, postage prepaid, return receipt requested, to the address of the City and Developer„ as applicable, as designated in Article 1 — Section I of this Inclusionary Housing Agreement. Such written notices, demands and communications may be sent In the same manner to such other addresses as either Party may from time -to -time designate as provided in this Section. Any notice, demand or communication shall be deemed to be received by the addressee, on the day that it is personally delivered, if dispatched by messenger, or the first business day after deposit with an overnight courier, or two (2) calendar days after It Is placed in the United States mall. In addition to the submission of notices, demands or communications to the Parties via United States mail, copies of all notices shall also be delivered by facsimile to the facsimile numbers designated in Article 1 •- Section 1, II. Conflict of Interest No council member, official, contractor, consultant, attorney or employee of the City having any conflict of interest, direct or indirect, related to this Inclusionary Housing Agreement, or In the development of the Property, shall participate In any decision relating to this Inclusionary Housing Agreement, The Parties represent and warrant that they do not have knowledge of any such conflict of Interest. IIL Non -liability of City or City Officials and Employees No council member, official, contractor, consultant, attorney or employee of the City shall be personally liable to the Developer, any voluntary or involuntary successors and assignees, or any lender or other party holding any interest in the Property, in the event of any default or breach by the City, or for any amount which may become due to the Developer or to its successors or assignees, or on any obligations arising under this Inclus unary Housing Agreement. laclu�l«rnaof N©iasi[rg At�reenient - U•misi5hip Pratec4 City of Santa Aria 75C-89 IV. Indemnification The Developer agrees to indemnify and hold the City, and their officers, employees and agents, harmless from and against all damages, judgments, costs, expenses and fees arising from or related to any negligent or wrongful act air omissior of the Developer in performing its obligations hereunder. The City agrees to indemnify and hold the Developer and its officers, employees and agents, harmless from and against all damages, judgments, costs expenses and fees arising from or related to any negligent or wrongful act or emission of the City in performing its obligations hereunder. V. No Waiver Failure to insist upon strict compliance with any of the terms, covenants, conditions and restrictions hereof on any one occasion shall not be deemed a waiver of such term, covenant, condition or restriction. Any waiver or relinquishment of rights or powers hereunder at any one time or more times shall not be deemed a waiver or relinquishment of such other rights or powers at any other time or times, Vt. Attorneys' Fees and Costs If either Party hereto files any action, or brings any action or proceeding against the other arising out this Inclusionary Housing Agreement, the prevailing Party shall be entitled to recover its reasonable attorneys' fees and costs. The recovery shall be treated as an element of its costs of the suit, and not as damages. The amount of the recovery shall be fixed by the court in such action or proceeding, or in a separate action or proceeding brought to recover such attorneys' fees and costs. VII. Jurisdiction and Venue Any legal action or proceeding concerning this linclusionary Housing Agreement shall be filed and prosecuted in the appropriate State of California court in Orange County, California, Each Party hereto irrevocably consents to the personal jurisdiction of that court. The City and the Developer each hereby expressly waive the benefit of any provision of federal or state law or judicial decision providing for the filing, removal, or change of venue to any other court of, jurisdiction, including without implied limitation, federal district court due to any of the following: Inclu-SIOMP/ HOLISIM] Agreement - 0mnoiship Pi City of Sawa Aim 20 75C-90 Any diversity of citizenship between the City and the Developer; or 2. The fact that the City is a party to such action or proceeding; or 3. That a federal question or federal right is Involved or alleged to be involved.. Without limiting the generality of the foregoing, the Developer and the City specifically waive any rights provided to it pursuant to California Code of Civil Procedure 394, The Developer acknowledges that the provisions of this Article 3 — Section Vil are material consideration to the City for Its entry into this Incluslonary Housing Agreement, in that the City will avoidthe potential cost, expense and Inconvenience of litigating in a distant forum. Vill. Inspection of Books and Records To enforce Its rights under this Inclusionary Housing Agreement, the City shall have the right at all reasonable times and upon reasonable advance notice, at the City"s cost and expense, to inspect the books and records of the Developer that are not privileged, confidential, trade secrets or otherwise protected from. disclosure and that pertain to the sale of the Inclusionary Units at the Property. Matters discovered by the City shall not be disclosed to third parties unless required by law, or unless otherwise resulting from or related to the pursuit of any remedies or the assertion of any rights of the City hereunder subject to, however, any right of the Developer to seek a protective order to prevent the disclosure of any confidential or privileged information. IX. Successors and Assigns This Incluslonary Housing Agreement shall be binding upon, and inure to the benefit of, the Parties hereto and their respective heirs, executors, administrators, legal representatives, successors and assigns. The performance of the City"s and the Developer's respective obligations under this Inclusionary Housings Agreement are not intended to benefit any party other than the City or the Developer, except as expressly provided' otherwise herein. No person or entity not a signatory to this Inclusionary Housing Agreement shall have any rights or causes of action against any Party to this Inclusionary Housing Agreement as a result of that Party's performance or non-performance under this Inclualonory Housing Agreement .O memhip Prolocl. -_-- Pa9p yj City of Santa Ana 75C-91 Inclusionary Housing Agreement, or for the enforcement of any provisions of this Inclusionary Housing Agreement, except as expressly provided otherwise herein. This Inclusionary Housing Agreement integrates all of the terms and conditions mentioned herein or incidental hereto, This Inclusionary Housing Agreement supersedes all negotiations or previous agreement between the Parties with respect to all or any portion of the Property and the Project thereof. The Developer and the City agree to permit recordation of this Inclusionary Housing Agreement, against the Inclusionary Units in the Office of the County Recorder of Orange County, California, The legal description for the Inclusionary Units is provided in Exhibit 9 to this Inclusionary Housing Agreement, X1111, Termination Except as set forth elsewhere, this Inclusionary Housing Agreement shall be effective until all of the following have been completed: 1. All of the Inclusionary Units have been constructed and sold by the Developer to Eligible Purchasers: Z The Inclusionary Housing Covenants Declaration (Exhibit 5) has been recorded against each Inclusionary Unit; 3, The City Deed of Trust (Exhibit 6) has been recorded against each Inclusionary Unit. Upon satisfaction of the above -referenced items, this Inclusionary Housing Agreement shall automatically and immediately terminate and shall have no further force and effect, Upon the termination of this Inclusionary Housing Agreement, the Developer shall have no further obligations or liability hereunder, or any responsibility with respect to the Inclusionary Units, The City and the Developer agree to promptly execute, acknowledge and deliver for recordation any documents that may be necessary to remove this Inclusionary Housing Agreement as encumbrance against title to any portion of the Property. IN WITNESS WHEREOF, the Parties hereto have dLJIY executed this Inclusionary Housing Agreement as of the dates set forth below, —Fnd—usiomry FloCs-1—ng _.Aq_riZTi and 7anner4i lip hrviecE. Nip V. 1 2 City orSaniq Ana 75C-92 [Signatures on Following Pages] kow4img —kjroeent --Ownerrhip—Pr-o-joct City of Sputa Ana Page 23 75C-93 SIGNATURE PAGE TO INCLUSIONARY HOUSING AGREEMENT MW CITY OF SANTA ANA A California Charter City and Municipal Corporation By: Narne: David Cavazos Its: City MaDNer Date: ATTEST Maria D. Huizar Clerk of the Council APPROVED' yS T LEGAL FORM: R n 0, H,d e I A 49'Istant 1ty Attorney f City of Santa Ana RECOMMENDED FOR APPRCVAL: Executive Director Community Development Agency Inchmionaty HousIng Agreement - Ownership Pmjad Page 24 Chy of Santa Ana 75C-94 SIGNATURE PAGE TO INCLUISIONARY HOUSING AGREEMENT DEVELOPER: 0 0 Its: mm m Its: Date: Flodusionavy H nvO mg Aqmwm or it - Ovin Lrs I i P rralfw;-1 City of Santa Ana 75C-95 Irralusiaciary Nauelnp flhreamafll - CWeneialrfp flrojact City of Sunta Ana 75C-96 Order Number: NHSC-4607804 (29) Page Number: 10 L4*0 1-14 0 *91 ft W1 # I&W Real property In the City of SanLa Aria, County of Orange, State of Californla, described as fDIIQWS; PARCEL 1: (APN: 007-321-04) THAT PORTION OF LOT I OF THE SEPULVEDA TRACT, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS PER MAP RECORDED IN BODY, 31 PAGE 19? OF DEEDS OF LOS ANGELES COUNTY, DESCRIBED AS FOLLOWS; BEGINNING AT A POINT ON THE CENTER LINE OF FIRST STREET 984.00 FEEL- WEST OF THE CORNER COMMON 70 SECTIONS 11, 12,13 AND 14 IN TOWNSHIP 5 SOUTH, RANGE 10 WEST, IN THE RANCHO SANTIAGO DE SANTA ANA; THENCE SOUTHERLY 368.00 FEET ALONG THE WESTERLY LINE OFTHC I -AND DESCRIBED IN THE DEED FROM E, M. COLE ET UX, TO 8, S. KERNS, RECORDED MARCH 20, 1894 IN BOOK 69 PAGE 133 OF DEED OF ORANGE COUNTY; THENCE WESTERLY 218.00 FEET PARALLEL WITH THE SAID CENTER LINE OF FIRST STREET; THENCE NORTHERLY 368.00 FEET PARALLEL WITH SAID WESTERLY LINE TO THE SAID CENTER LINE OF FIRST STREET; THENCE EASTERLY 718.00 FEET TO THE POINT OF BEGINNING. PARCEL 2: (APN: 007-321-17) THAT PORTION OF THE SEPULVEDA TRACT, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS PER MAP RECORDED IN GOOK 31 PAGE(S) 197 OF DEEDS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY, A150 BEING THAT PORTION OF SECTION 14, TOWNSHIP 5 SOUTI-I RANGE 10 WEST, SAN BERNARDINO MERIDIAN DESCRIBED AS FOLLOWS; BEGINNING AT THE NORTHWESTERLY CORNER OF THE LAND DESCRIBED IN THE DEED TO FEDERATED CONSTRUCTION CO., RECORDED MAY 4, 1955 IN BOOK 3053 PAGE '158 OF I - 1-1-1-1- ....... -.-I ............ - OFFICIAL RECORDS, SAID CORNER LYING IN THE WESTERLY LINE OF THE LAND DESCRIBED IN DEED TO RUBY C. KUEBLER, RECORDED NOVEMBER 5, 1935 IN BOOK 786 PAGE 248 OF OFFICIAL RECORDS; THENCE NORTHERLY ALONG SAID WESTERLY LINE OF THE LAND TO KUrBLER 368.00 FEET TO THE NORTHWESTERLY CORNER OF SAID LAND TO KUrBLER; THENCE EASTERLY ALONG THE NORTHERLY LINE OF SAID LAND TO KUCBLEII 50,O0 FEET TO THE NORTHWESTERLY CORNER OF THE LAND DESCRIBED IN DEED TO PHIL SHANEDLING INVESTMENT CO,, RECORDED JULY 29, 1955 IN BOOK 315171PAGE 1171 OF OFFICIAL RECORDS; THENCE SOUTHERLY ALONG THE WESTERLY LINE OF SAID LAND TO SHANEDLING INVESTMENT CO., 368 FEET TO THE NORTHERLY LINE OF SAID LAND TO FEDERATED CONSTRUCTION CO., THENCE WESTERLY ALONG SAID NORTHERLY LINE OF FEDERATED CONSTRUCTION CO., 50.00 FEET TO THE POINT OF BEGINNING. PARCEL 3: (APN: 007-321-18) THE PORTION OF LOT t OF TIRE SEPULVEDA TRACT, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS PER MAP RECORDED IN BOOK 3 1, RACE 1.97 OF DEEDS, RECORDS OF LOS ANGELES COUNTY, CALIFORNIA, DESCRIBED AS FOLLOWS: BEGINNING AT A POINT ON THE CENTER LINE OF FIRST STREET DISTANT 12.52 FEET WEST rlfstAtnpi,irm? T(#e 75C-97 Order N3m0er: NHSC-1607804 (29) Page Number: It FROM THE COMMON CORNER OF SECTIONS 11, 12, 13 AND 14 OF TOWNSHIP 5 SOU-ni, RANGE 10 WEST, SAN BERNARDINO BASE AND MERIDIAN, IN THE RANCHO SANTIAGO DE SANTA ANA; THENCE SOUTH 368 FEET, THENCE WEST 230 FEET; THENCE NORTH 333 FEET TO THE SOUTH LINE OF FIRST MEET; THENCE EAST 130 FEET; THENCE NORTH 35 FEET; THENCE EAST 100 FEET TO THE POINT OF BEGINNING. EXCEPT THEREFROM THE EAST 43 FEET Of THE NORTI-I 185 FEET THEREOF. &rstkneticdn ritto 75C-98 EXHIBIT 2 SITE; MAP DEPICTING PROPERTY AND ZONING DESIGNATIONS Inc (mblary Housing Agraom+>nt—0woorship Projuct City of Santa Ana 75C-99 All; IR."Will HOWIS"'M -1 Mimi co C- co 4— ra n 06 LL E L) 75C-1 00 EXHIBIT 3 INCLUSIONARY HOUSING PLAN Inolvsionaiy Housing Agroomont- Ownership Projr of City o1 Soma Airy 75C-101 Planning and Building Agency Planning Division 20 Civic Center Plaza P.O. Box 1N8 (M-20) Santa Ana, CA 02702 (714) 647-6404 www,santio-nna.org OWNERIAPPLICANT INFORMATION Legal Owner West First Pacific, LLC . .1�19-957-5316 Full narrio of Poeson. Firm or Coilrcration Aroa Code Pligno Number 6861 La Jolla Blvd. La Jolla, CA, 920al LEL1-9) Mailing Addrm AwCGdo Far Plumber Applicant Tne Olson Cornpany___ —(55Z) 370-2265 Full rorne of Person. ruat oe Corpormm AroaCudo Phone Number Mailing Adams L----1 ArcnCodc Fax Number Contact Person Sandi Gottlieb 6r OtlitC LMtheolsoncoxom _�— Full nerve ol Person, Flan or Cotpradoo Hina; I address 3010 Old Ranch Pkwy,, Stilts 100, Seal Boidi, CA 90740-2751 Mailing Adefma Area Cade Phonf-. Nomhn, Aron Gor[R Mobile Plmm Number MUR-C� rwmamw--- PROJECT DESCRIPTION Project Olson First & PaofficTownhomes Address: _L5.06t92.L& 15,48 Assessor Paicel NUmber(s): 007.321•04, W & 18 Total number of units proposed! 62_ Number of Rental Units: NIA Number of For Sale units: 62 Number of 15% Incluslonary obligation, 9,3 Identify the gross livable area of the proposed project (including private balconies, decks and pat!05).101,650 SF habitable, 8,588 SF pifv@o, open space (pipeline project) Will the project be constructed in phases? X Yes No Is a density bonus being requested? Yes No CITY APPROVALS (If applicable) INCLUS[O NARY HOUSING PLAN NO, APPROVIE 0 DPNY Date: ?-'L/7tA�19 Signature :A &' � 1-In4ge 1 of 4 slllmlrlhra'.0 kl jcal-C ounler rofmq+10 oappip'Alior 1110 75C-1 02 HOUSING ALTERNATIVES Select the applicable alternatives to indicate haw the project will comply with the inctusionafy housing requirement: X tan -site construction of inclusionary units to -lieu fee payment for entire obligation' X In -lieu fee payment for fractional unit (tor the 0-3 fractional wili) _Sand dedication Note: For development projects with more than 20 units requesting in -lieu fee payment to fulfill their inclusionary obligation, "substantialevidence" that the cost of providing inclusionary units on site would substantially exceed the amount of the applicable [n-lieu fee is to be provided with this application. Please complete the following table(s) as It applies to your project proposal: PraDosed' Renig ts. �nSLJ9Jcts: Number of _ Unit Size Number of Number of Very -Low Total Percent Number of (Square Market Rate Low Income Income Number of Total Bedrooms Feet) Units Unfits Units of Units Units Studio - 4 _ Total_ . If the ctnoufotion of She number of rn:fulrod Inenrelarvuy hot.ring units r SL W inn fraction, the dove twor has Uva op4tyn to (n) provide oil add Wait a] Incluliorary housing unh of (b) pvy an In-Ltnu rep equal to the percentage reprllmted by the fmcfiona3 inalusionary housing unk miltipliod byfho applicahlo In -Lieu Fee Page 2 of n $:wta,rrvyiC�orceaFCinrurl•7r Gormn'tir^V. RG6snllon 1;10 75C-103 Proposed Ownership Housing Projects: Number of Unit Size Number Of Number of Total Percent Bedrooms {Square Market Moderate Number of of Total eat) Rate Units Income Units Units Unit -Studio 4 5 1 58 �2 1 302 1469-2.108 53 3 -4 53 ------ ..Total L9L--- 62 ...... ... Required Exhlbft to the Incluslonary Housing Plan A. LJ Narrative description of the entire project B. r❑I Site plan that depicts the entire project (minimum 1 V x 17"); C. 0 Depiction of the location of the inclusionary housing units; and 0. [:1 If applicable, a phasing plan that provides for the proportionate number of the total inclusionary housing unit requirement to be built within each phase of the project, E. [I If applicable, provide the In-LieLl Calculation Summary for the project. Page 3 of 75C-1 04 I hereby certify that I am the legally authorized owner of all property involved in this application or have been empowered to sign as the property owner on behalf of a corporation, partnership, business, etc.., as evidenced by separate instrument attached herewith. I hereby grant to the applicant submitting this form full power to sign all ciocurrlents related to this application, including any conditions or litigation measures as may be deemed necessary. I declare under penalty of perjury that the foregoing is true and correct. Executed on (sate} at . _. , California v Property Owner's Signature._ �. — Property Owner's Printed Name APPLICANT'S AFFIDAVIT I hereby certify that the statements fr,rmished above and in the attached exhibits represent the data and information required for this initial evaluation and that the facts, statements and Information presented are true and correct to the hest of my knowledge and belief, Further, should the stated information be found false or insufficient, I agree to the return of this form for appropriate revisions., understanding the City of Santa Ana cannot process this form until all applicable information is corrected or provided by the applicant. I hereby certify that t have been legally authorized by the property owner to present this application and to sign on behalf of all documents relatedto this application, including any conditions or litigation measures as may be deemed necessary. Note: When the applicant is a corporation, partnership, business, etc., a separate document verifying the authorization to sign for such applicant Is required, I declare under penalty of perjuny that the foregoing is true and correct. Executed on (Date) tAckf�d af ire l�a(A a �a.. California Applicant's Signature el5oY., dri Q Applicant's Printed Name �._ � A tyd r' 0 Pe com V r" a Pige a of 4 B.i'9aprnglCVadc96C,a�nty� �4nnnN14Ji�dpr9caClun 11i5 75C-105 At.rrzitaRD'Y TO MOCM FNTIVIAMMU TEAS A:ir1I-10RI 'Y TO PROCESS i^NTITLEMiii` TS (the "Authorization") is offaativo as of -f,,Ln n� 7 7,015, attd %s tnsdc 6y WEST I i17ST PACII TC, i L.C, oa Gal'tfaiuia limited lisdaility company ("Clwncr'") ofreal proporty louatad at 1.5U6, l,524 and l548 West. First Street in the C by of Santa Aria, County of Orango, State of Califorma. Owenor hereby autboriaos Olson Land Opportuaitias, LLC, aDolawaro limited liability con parry or its assignee ("Developer") with lunited pawers to nigh„ lice and process with the City of Santa Ana ("City") appliaationu for governmental and other entitlomeutas, periuits and dovelopincut uuthodmilons with the City for tho development of the Peoporty in acoordaaoo vilth it dovelopincat plan oreatod by Developer in its solo discretion, including but uat limited to (a) tentative and final tract map(:"), fono, gonoml plan anddlor specific, planauaendancnls, and (b) grading, sail oxpaort, Improvement and model plans. Nothing herein Shalt eutitic tho Dovolopor to grant any lateraat in the Property. This authorization shall be effcotiva immediately as of the data hnroof and thrall expire on the oarlier to occur of (a) rvrittun notice of tcrininaliou of this aAuthoriaatlou sent by the Owner to the City; or (&a) one. (1) year from tho date hereof: dame: a a a"L� u Title. _ 2afrPr Name, 11110: 75C-106 AUTHORITY 7"C7l'[iOCPSIS ENTI,ri..Rimu rs IIHIS AUIFHOF I lY TO P(k t LSS I NWITI' EIVlONTS, (the "A lit borirrrtloll") is crreathe at nC � � ° 2M, uld is nuida by ,1ri r RRST PACIFIC, [A,C:, a clkl'iruinto Iiinlic ha nttty eantpt ry ("owim j of real pkoperty Iwacated at 006 1524 md. 1.5+I8 West Firm Street in the (,'fly ot'Santa Ana, (.'[runty zr.l'Ormyu, 5tnte of Calli`urnle. Owncr her0ly nutlirn5-ras OLSON URBAN HOUSING, C.LX, n Delawano limit d hahllRy comptuiy or Its mmIgiaCc WhIl iintlted pnnvcrs is sign, file anal procr,81 sn"itir the City or Stunla Aui C CITY") amlliva(luns to governnncantat and rather oil tit tenic tits, perini(s and 41CVelatmilmll awhoriza't[tins WWI thw"City l'or Ella Hievel7pme.111 of the limpfrly in necordmir6 whin a dovolopraent pntntt oraatcd by i.?cwdapar lit Its soh: disoretton, inclu lab but not limited to (a) tomAIvc and roull treat map(s), zone, ecncix+6' plan andfor spulfic plan aaitandinmi ,rind (b) grading, soil export, inrpkr wmeat and modal plans, otth'sng,1wreltt 41101 enul(re slue Doveloper to gratis wily inlormi In the. Propcety, "This utithariaation shall hu crtectivu Irurnadintaly as (if tha daw� liercof acid shall expire oll the carlicr cc) occur of (tk) vveitten na(Icc a f"4crtnhtatlatn orthis Authoriaadun sant by the Owner w ih(-, City; or (b) ow C 1) year from Elte dato heecd.. „Cnvn r„ 1~takra<�; Title:` Mciue: 75C-107 America's Huiwer oriiie Year 01ion First. & Pacific'Towtrhonios Project Narrative Olson proposes to develop this 2.47 acre site into a homeownership community that tits well within the context of the juxtaposed commercial corridor and residential neighborhood, Three- story for -sale townhomes are planned for the First & Pacific community which will feature five floor plans all with attached two -car garages„ ranging from 1,302 to 2,108 square feet at living space (2 13012,.5 BA -- 3 BD13 IBA), The buildings will be designed with Spanish architecture - with differentiated elements and color themes to enhance the character of this community. The building and plan layout will create a defined street presence for the project, while providing private spaces for the homeowners balanced with promoting interaction with the public realm through view corridors along First Street and direct pedestrian access to Pacific Avenue and Walnut Street. This community offers a variety of private and common open space areas tied together with pedestrian pathways, All units offer either two or three bedrooms, each with a private patio andlor deck, A community building with an outside plaza area is provided for the homeowners that will be approximately 850 square feet in size which will be a focal point for the residents. A series of courtyards, greens spaces and green paths throughout the project connect the community to the courtyards and community facility which serve as central gathering places. Our project is considered a 'pipeline"project under the Incltrsionary Housing Ordinance and is eligible to utilize the provisions of the prior Ordinance. Per the Ordinance, we are required to provide 9.3 units for sate to qualifying moderate income buyers (households earning up to 120% of the median). We are proposing to provide 9 units on -site and pay the fractions[ in lleu fee for the 0.3 unit (estimated by City at appx, $25.000). Based on the Ordinance and discussions with the Housing Department, we are proposing to reasonably disperse the affordable homes through -out the building complexes that house the market rate units and include four two - bedroom units and five three -bedroom units. It is a relatively small site and the unit types vary slightly so the specific location of each affordable unit will be comparable. Additionally, they will have the same exterior appearance and same access to amenities as the market rate units. 75C-108 m M :TTVN `{y i v Y.5b P'a� I 11 75C-110 TAKE a IN -LIEU FEE CALCULATION'- PEVF.LOPER INPUTS OWNERSHIP PROJECTS -15°fi MC DfRATF INCOME, ItNCLU59C�NARY REQUIREMENT HOUSING OPPORTUNITY ORDINANCE SANTA ANA„ CALIFORNIA t. I'm ed Descrlatlon A. Project Name R. Project Address cl. On -sue. to Usfona, r,gytl renkenS A. Required Number of Inclusloaary Units Total Project Units Inclnninnary Requki ement a3 %or Total UaIM Total Induslonary Requirement (Round -up} B. inclusionary UnR Distribution T wi-bedroom Units Three-Wroom Units Four -bedroom Units Totots Total Rulldlno Area (Square Feet) It. tSifoSftalrititu G,uip .aleulgion Two-hedrunm Unify Three-Inadrourn Units Fnnr-bodrocim Units IV. r�{i t,-mryia6jiltu Gao €aiEj"ll y Pao -bedroom Unlls 'I'hree4mir urn Units Fountmdroom I.hrhs Total AffnrdablliLy Gap Ulsan First G Pacific Tuwu hnnte; 1506,1524 & 154N,'OMst First Street 62 l5'So 9 Required fl of Total Project lodusionary Units % of Total'. Units' Units' 4 5-45% 7 SR s}3.65% Fr JAW. 121 E7 ]pU.gO°.k 7 SQS,fiSO Restricted Price- Afrordairliity Gap Market Prtces Moderaa tncome' Unit 9 $1000 S?81JXpq u ; 75,000 $382,p00 S30S,Gt7q $76,400 $n Sn Affordability 'rota) Avotdow tp Gap) Unit Indusuonary Unit, Gsnp _ po,Otlp 4. $70,000 $76,400 4 $687,600 SO Ggl 50 'otal ln-Lieu Fee` .,�..._._ $95 noo Pff Total Unit $12 R00 Per Inmrne Restrlete[t Wall 5R1,yclo Per Square Foot of Total Nuildinp Araa ' Thls colurmunust grid np to I I'AMAn. ' multiply t.hr.%cfTotal Jors times the Total lnduaianar,fdoquln?atu?nt. Eeual to the layser of the di teed Affvrdahle Sales Pricear 20%less than the prajectcti Market Prlcn. The Tov In -Lieu Fee is entunf to the Total Affordab lily Gap. Prnpared hy: Hcyser M81 W111 A'Au"itu:, f llnnanr=.' Gilcan Han1as-URverapef L)wn 1, IICu Feed CalCreativsn.xlsx; fnninlate v:rg, I at 1 75C-111 59CORM IWGLUSIONARY UVITS in-clAA-slogla(y Housing Agwment -0-nnorshlp aat City of Santa Ana 75C-1 12 Anticipated Project Schedule* Site Work Permit issuance: September 2016 Construction Start: September/Cctober2016 GrandOpening: April/May 2017 First Closings (including A restricted affordable units); Cctober/November 2017 Project Completion: Early2019 *This is an anticipated timeline and variations may occur. 75C-113 EXHIBIT 5 r _•• # Inelu:Aonary Housing AuraomunP--OwnershIp Psrojeot Gll,y of 3antla Anti 75C-114 City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: City Clerk Tobe recorded Withaot fee, (Space ribovcs ThisThis Llna--. Far Racnrflor'S Usa C7ilRy} (•Governrnent Code, �" 6103 and 27383) DECLARATION OF INCLUSIONARY HOUSING COVENANTS, RESALE RESTRICTIONS AND CITY'S OPTION TO PURCHASE This DECLARATION OF INCLUSIONARY HOUSING COVENANTS, RESALE RESTRICTION'S AND CITY'S OPTION TO PURCHASE AGREEMENT ("Inclusionary Housing Covenants Declaration"), dated as of made by and between -- ("Homebuyer") and the CITY OF SANTA ANA ("City"), a charter city and municipal corporation organized and existing under the Constitution and taws of the State of California. RECITALS A. The Hornebuyer is acquiring title to an Inclusionary Unit, which Is more particularly described In Exhibit 1, The Inclusionary Unit was originally constructedas part of a development that was approved by the City subject to the requirement that one or more of the units be designated and maintained as affordable to Moderate Income Households, S. The Homebuyer is a Moderate Income Household as defined in this Inclusionary Housing Covenant Declaration, and meets the eligibility requirements necessary to acquire the Inclusionary Unit as set forth In Section IV of the Administrative Procedures Manual. -- - — - Inctu�,lenary tlat:sinq Cnverrants Ocslaratina _.-..-...- .... Faye 1 City of Santa Ana January 2W 75C-115 C. The Homebuyer is acquiring the Inclusionary Unit at the Affordable Sales Price, which is less than the Fair Market Value for the Inclusionary Unit. The Inclusionary Unit is being sold for a reduced price as a direct result of the requirements imposed pursuant to the City's Housing Opportunity Ordinance ("Ordinance"). In consideration for the right to acquire the Inclusionary Unit at a reduced price, the Homebuyer, its successors and assigns agree to enter into, and be bound by, the terms and conditions of this Inclusionary Housing Covenants Declaration. D. The purpose of this Incluslonary Housing Covenants Declaration is to ensure that the Inclusionary Unit is only purchased and occupied by a Moderate Income Household, This Inclusionary Housing Covenants Declaration accomplishes this purpose by, among other things, Imposing conditions an the Owner's future resale of the Inclusionary Unit, and requiring that the Owner maintain the Inclusionary Unit as the Owner's Primary Residence. The Homebuyer is required to execute this Incluslonary Housing Covenants Declaration as a condition of purchasing the Inclusionary Unit. This Incluslonary Housing Covenants Declaration is secured by the City Deed of Trust executed by the Homebuyer. Now, therefore, in consideration of the mutual promises set forth in this Inclusionary Housing Covenants Declaration, the receipt and sufficiency of which is acknowledged by the City and the Homebuyer, the Parties agree as follows: fn-lu5ioriary Housing 0monanis Dodinflon ®rly of Santa Aria Page 2 January 2015 75C-1 16 DEFINITION OF TERMS As used in this Inclusionary Housing Covenants Declaration, the terms set forth below shall have the following meanings: Adjusted. Household Size Appropriate for the Unit is based on the H&SC Section 50052.5 definition, and is only used in the Affordable Mousing Cost calculations. For Affordable Housing Cost calculation purposes, the household size is set at one person in the case of a studio unit, two persons in the case of a one -bedroom unit, three persons in the case of a two -bedroom unit, four persons In the case of a three -bedroom unit, and five persons in the case of a four - bedroom unit. This household size standard is used in the Affordable Housing Cost calculations; it is not an occupancy limit,. Administrative Procedures means the Affordable Ownership blousing Administrative Procedures promulgated by the Executive Director pursuant to the Ordinance. Administrative Procedures Manual is the Affordable Ownership Housing Administrative Procedures Manual — Owner Requirements dated January 2015, which has been prepared by the City for the implementation and enforcement of the Ordinance. A copy of the Administrative Procedures Manual shall be maintained on file With the City„ and shall be provided to each Homebuyer of an Inclusionary Unit, Affordable Housing Cast means the maximum costs that can be borne by Moderate Income Household based on the requirements imposed by H&SC Section 60052.5.. The calculation methodology is described In Section VI of the Administrative Procedures Manual. Affordability Period shall be set at 45 years in the Incluslonary Housing Covenant Declaration recorded on legal title to the Inclusionary Unit. The covenant period is set at 45 years fallowing the date of the first sale of the Inclusionary Unit. Affordable Sales Price means the maximum price that can be charged for an Inclusionary Unit, The Affordable Sales Price Is equal to the lesser of; The sum of the supportable Mortgage plus the Benchmark Clown Payment; or tnclusonary Housing Covenants ❑cGaTatinn _ - �-� 9 ryn e 3 CilyofSanCaAna January 2615 75C-117 2. The purchase price prospective buyers are willing to pay in return for purchasing a home that is subject to restrictive covenants. The statutorily set Affordable Sales Prices for the initial sale of each Inclusionary Unit are shown in Exhibit 8 to the Inclusionary Housing Agreement, The Affordable Sales Prices for Inclusionary Units shall be adjusted quarterly. Assumption Agreement means the Disclosure, Acknowtedgement and Assumption Agreement in the form attached as Exhibit 4 to this Inclusionary Housing Covenants Declaration that shall be entered into between the City and a transferee as a condition of an Exempt Transfer. Benchmark Household Income is used in the Affordable Housing Cost calculations, and is based on the requirements Imposed by H&SC Section 50052.5. For a Moderate Income Household, the Benchmark Household Income is based on 110% of the County Median Income for an Adjusted Household Size Appropriate for the Unit. City means the City of Santa Ana, California. City Deed of Trust means a deed of trust, that secures the Owner's obligation to comply with the obligations imposed by the Inclusionary Housing Covenant Declaration. City Manager means the City Manager of the City of Santa Ana. City's Purchase Option means the irrevocable option that the Owner must offer to the City under the circumstances defined in Article 3 - Section 11 of this Inclusionary Housing Covenants Declaration. City's Share of Excess Proceeds means 50% of the Excess Proceeds generated under an Extraordinary Sale, The City's Share of Excess Proceeds, If received, shall be deposited In the City's Inclusionary Housing Fund. County means the County of Orange, County Median Income shall mean the Median Income adjusted by actual household size as published annually by HCD, for the County. Default means the failure of an Owner to perform any action or covenant required by this Inclusionary Housing Covenants Declaration within the time no—tusla mr—- 11 Housing Covenants Declaration Page 4 Cily of Santa Ana January 2D15 75C-1 18 period provided herein following notice and opportunity to cure, as set forth in Article: 5 —Section III of this Inclusionary Housing Covenants Declaration. Eligible Purchaser shall mean a Homebuyer who meets the eligibility criteria set forth In these Administrative Procedures. Excess Proceeds means the difference between the Extraordinary Sales Price and the Affordable Sales Price the Inclusionary Unit at the time of the Extraordinary Sale. Executive Director is the Executive Director of the Community Development Agency of the City. The Executive Director, or designee, has the ultimate authority to evaluate appeals submitted in relation to the Administrative Procedures, Exempt Transfer means the following: A transfer resulting from the death of the Owner; A transfer by the owner where the spouse or domestic partner becomes a co-owner of the Inclusionary Unit; A transfer of title to a spouse or domestic partner as part of divorce or dissolution proceedings; and 4. A transfer by the Owner into a trust in which the Owner or Owners are beneficiaries, provided that the Owner or Owners continue to maintain the Inclusionary Unit as their primary Residence, 5. A transfer by the Owner of a non -possessory interest in the Property„ such as an easement or license for utilities or other like purposes; the granting of ingress or egress rights over or across the Property or a portion thereof; or a modification to the non-exclusive common area rights of any Owner located In a common interest subdivision development. tt. A condemnation, or conveyance in Ileu of condemnation, that does not preclude the Owner's continued use and occupancy of the Incuslonary Unit, such as a street widening or other Incidental taking that does not preclude continued occupancy of the Inclusionary Unit, or a taking of an interest in a portion of the common area appurtenant to any Inclusionary Unit located in a common Interest development. wilusiooafy Housing C.overiatits pealaretlot, Pape 5- Cltyof Santa Ana Jarmary 2015 75C-119 Exhibits The following exhibits are attached to this Incluslonany Housing Covenants Declaration and incorporated herein by this reference: 1. Exhibit 1: Property Description 2. Exhibit 2: Occupancy Recertification Form 3. Exhibit 3: Notice of Intent to Transfer 4. Exhibit 4: Assumption Agreement 5. Exhibit 5: Notice of Intent to Sell 6, Exhibit 6: Notice of Extraordinary Sale Extraordinary Sale means a sale of the Inclusionary Unit to a buyer who is not an Eligible Purchaser, when an Eligible Purchaser has not been secured within the timeframes required by this Inalusionary Housing Covenants Declaration, and the City has opted not to exercise the City's Purchase Option within the tlmeframes allowed pursuant to this Inclusionary Housing Covenants declaration. Extraordinary Sates Price means the gross sales proceeds generated by an Extraordinary Sales executed under the terms included In Article 3 - Section III of this Inclusionary Housing Covenants Declaration. Fair Market Value means the value of the Inclusionary Unit under normal circumstances in which the seller and the buyer freely negotiate the terms of the transfer of ownership. The Fair Market Value must be established by a licensed Real Estate agent based on three comparable properties. Gross Household Income means all income from whatever source from all Adult Household members, which is anticipated to be received during the 12- month period following the date of the determination of Gross Income. The applicable sources of income are defined In California Code of Regulations Title 25 Housing and Community Development Section 6914. The definition includes the following specific requirements: 1, Except as provided in subdivision (2), all payments from all sources received by the head of Household (even If temporarily absent) and each additional member of the Household who is not a minor shall be included In the annual income of a Household. Gross Income shall include, but not be limited to: ---- - _....._._ Incluslnnary Nausing Cc+verrunCs baohratirnt Pale G Illy of Santa lino January 2015 75C-120 a, The gross amount, before any payroll deductions, of wages and salaries, overtime pay, commissions, fees, tips and bonuses; The net income from operation of a business or profession or from rental' or real or personal property (for this purpose, expenditures for business expansion or amortization of capital indebtedness shall not be deducted to determine the net income from a business); C. Interest and dividends; The full amount of periodic payments received from social security, annuities, insurance policies, retirement funds, pensions, disability or death benefits and other similar types of periodic receipts (but see subdivision (2)(c)); e. Payments in lieu of earnings, such as unemployment and disability compensation, worker's compensation and severance pay, Public Assistance, if the public assistance payment includes an amount specifically designated for shelter and utilities which is subject to adjustment by the public assistance agency in accordance with the actual cost of shelter and utilities, the amount of public assistance income to be included as income shall consist of; The amount of the allowance or grant exclusive of the amount specifically designated for shelter and utilities, plus ii. The maximum amount which the public assistance agency could in fact allow for the Household for shelter and utilities. Periodic and determinable allowances such as alimony and child support payments, and regular contributions or gifts received from persons not residing In the dwelling; h. All regular pay, special pay and allowances of a member of the Armed Forces (whether or not living In the dwelling) who is head of the Household or spouse or domestic partner (but see subdivision (2)(e)); 1. Where a Household has net assets in excess of $5,€ 00, income shall include the actual amount of income, if any, derived from all of InciusionaryHousing Gn+rananlsDeuaraticaii -- Page 7 Oily, of Sarita. Ana January 2M 75C-121 the not Household assets or 10 percent of the value of all such assets, whichever is greater. For purposes of this section, net Household assets means value of equity in real property other than the Household's full-time residence, savings, stocks, bonds, and other forms of capital investment. The value of necessary items such as furniture and automobiles shall be excluded. 2. The following Items shall not be considered as income: a. Casual, sporadic or irregular gifts; b, Amounts which are specifically for or in reimbursement of the cost of medical expenses; C, Lump -sum additions to Household assets, such as inheritances, insurance payments (including payments under health and accident insurance and worker's compensation), capital gains and settlement for personal or property losses; Amounts of educational scholarships paid directly to the student or to the educational institution, and amounts paid by the government to a veteran for use in meeting the costs of tuition, fees, books and equipment. Any amounts of such scholarships, or payments to veterans not used for the above purposes of which are available for subsistence are to be Included in income; e. The special pay to a serviceman head of a Household away from home and exposed to hostile fire; Relocation payments made pursuant to federal, state, or local relocation law; Foster child care payments; h. The value of coupon allotments for the purchase of food pursuant to the Food Stamp Act of 1964 which is In excess of the amount actually charged the eligible Household: Payments received pursuant to participation in the following volunteer programs under the: InCInSiOnIfy HOUMnq COW8119rlt� city of Santa Ana Ngo 11 jmxjary "16 75C-1 22 National Volunteer Antipoverty Programs which include VISTA, Service Learning Programs and Special Volunteer Programs, €i. National Older American Volunteer Programs for persons aged 60 and over which include Retired Senior Volunteer Programs, Foster grandparent Program, Older American Community Services Program, and National Volunteer Program to Assist Small Business Experience, Service Corps of Retired Executive (SCORE) and Active Corps of Executives (ACE). Homebuyer means an Eligible Purchaser that has executed an agreement to purchase an Incluslonary Unit. Homebuyer Purchase Price means the means the original price paid by the Homebuyer to purchase the Incluslonary Unit, exclusive of any closing or transaction costs. The Homebuyer Purchase Price shall not exceed the Affordable Sales Price. HCD means the California Housing and Community Development Department, H&SC shall mean the California Health and Safety Code. Household means all the persons who will occupy the Incluslonary Unit as their Primary Residence. A child who is subject to a legally -binding shared -custody agreement, in which the child resides with the Household at least 60% of the time, Is counted as a member of the Household. Excluded from the definition of Household are live-in caregivers/caretakers, foster children, unborn children and children being pursued for legal custody or adoption that are not currently living with the Household, Inclusionary Housing Covenants Declaration means this Declaration of Inclusionary Housing Covenants, Conditions and Restrictions. Inclusionary Housing Fund means a separate fund of the City which Is codified in Article XVIII.1 Section 41-1909 of the City's Municipal Code. The fund was established for the specific purpose of providing the City with funds to assist in the development of housing that is affordable to low and moderate income households. The allowable uses of Inclusionary Housing Funds, and the related reporting are described in Attachment I of the Administrative Procedures Manual. Incluslonary Housing Covenants t}caclara;lnn Pace 9 City of 5eiita Aria Jarnuary 2015 75C-123 Inclusionary Unit means a home in Santa Ana that is made affordable by an Inclusionary Housing Covenant Declaration that restricts ownership, occupancy and the Affordable Sales Price as described in the Administrative Procedures Manual. Median Income is calculated by HCD using non -aggregated census income data and applying trending factors for metropolitan statistical areas (MSA) throughout the country. The MSA for Santa Ana is Orange County. Moderate Income refers to Households whose Incomes meet the standards defined by the H&SC Section 50093. Generally, Moderate Income means household income that does not exceed '120% of the County Median Income, as adjusted for Household size. The maximum household income amount for Moderate Income Households shall be set at the amount published by HCD annually. Moderate Income Household shall mean individuals or Households who have an adjusted Gross Income that does not exceed Moderate Income, Not Resale Proceeds means the Resale Price for the Inclusionary Unit minus the following amounts and costs In the following priority order: 1 Escrow fees, transfer taxes, recording fees, and any other customary non- recurring closing costs; 2. Brokerage commissions and similar transaction costs; and 3. Repayment of the outstanding balance of the Senior Loan. Notice of Extraordinary Sale means the form provided in Exhibit 6 to this Inclusionary Housing Covenants Declaration. Notice of Intent to Sell means the form provided in Exhibit 5 to this Inclusionary Housing Covenants Declaration. Notice of Intent to Transfer means the form provided in Exhibit 3 to this Inclusionary Housing Covenants Declaration. Ordinance means the Housing Opportunity Ordinance adopted 'by the City Council on November 28, 2011, which is codified in Article XV111.1 Section 41- 1900 at seq. of the City's Municipal Code, The Ordinance was amended by the Ftid-Ldonary Houmig Covenants 0nrlarwlon pAge 10 Cily of Swito Aria January 2DI5 75C-1 24 City Council on September 1, 2015, in Ordinance No. NS-2881, and on October 6, 2015, in Ordinance No. NS-2885. Owner means the current owner of an Inclusionary Unit. Party and Parties mean the City and the H'omebuyer as parties to the Inclusionary Housing Covenants Declaration. Permitted Sales are defined as a sale to an Eligible Purchaser or a sale executed under the Clty's Purchase Option. Primary Residence is defined as the only home that may be owned by the Owner,. The Owner must reside in the Inclusionary Unit for not less than 10 out of every 12 months.. Program Director has the day-to-day authority for making determinations related to the Ordinance and Administrative Procedures Manual, The Program Director will be appointed by the Executive Director. Prohibited Sales and Transfers are defined as any sale or transfer that is not explicitly allowed by this Inclusionary Housing Covenants Declaration, Prohibited Transfers specifically include any transfer of a use, rental or leasehold interest in the Inclusionary Unit. Project means the owner -occupied housing project proposed to be developed on the Property at the Developer's We cost and expense. Project CC&Rs means the Declaration of Covenants, Conditions and Restrictions of the Project recorded or to be recordedagainst the entirety of the Property and applicable to the Inclusionary Unit and the Homebuyer. Property means the real property on which the Project is to be developed, for which the legal description is provided in Exhibit 1 to the Inclusionary Housing Agreement, Recordation Date means the date of recording In the Official Records of the County of Orange, California of the City Deed of Trust and the Inclusionary Housing Covenants Declaration. Resale means the resale of the Inclusionary Unit by the Owner. Prior to the Resale of the Inclusionary Unit, the Owner must submit a Notice of Resale to the City as set forth In Exhibit 4 to this Inclusionary Housing Covenants Declaration, --- - tnc?wainirykrry Flaavein j Crnren<'rnts beclaratlon _. Page 11 City of Santa Ana January 2016 75C-125 Resale Price is defined as the lesser of the Fair Market Value or the Affordable Sales Price. Seller means the current Owner of the Incluslonary Unit in the context of the sale of the Inclusionary Unit. Senior Lender means a bank, savings and loan association, insurance company, pension fund, publicly traded real estate investment trust, governmental agency, charitable organization or other governmentally regulated entity regularly engaged in making residential real estate loans. Senior Loan means a purchase money loan of funds to be used by the Homebuyer for financing the acquisition of the Inclusionary Unit, or a refinancing approved by the City, which loan is in a lien position prior to this Inclusionary Housing Covenants Declaration. Supportable Mortgage means the mortgage amount that can be supported by a Moderate Income Household based on the Affordable Housing Cost calculations. The mortgage calculation is based on the prevailing market interest rate for a 30- year fully amortizing mortgage with a fixed interest rate, See Section VI-13 of the Administrative Procedures Manual for an explanation of the calculation methodology, Transfer shall mean any sale, transfer, lease, exchange, assignment or conveyance of an Inclusionary Unit, including any portion or Interest in an Inclusionary Unit or other disposition of any interest in an Inclusionary Unit, whether voluntary or involuntary. I mr—A I sin w qrY Hok I gi 1'4) GDVOT I a r I lb Dodar Ili -on Papa 12 City of Santa Alin Jnnuw2015 75C-1 26 Owner Acknowledgments and Agreements: Owner hereby acknowledges and agrees that taking title to the Inclusionary Unit shall constitute Owner's acknowledgment of and agreement to the following: I. Occupancy Requirements I -A. The Owner shall occupy and continually use the Inclusionary Unit as the Owner's Pdrnary Residence during the Affordability Period. On an annual basis, the Inclusionary Program iDirector will send the Owner an Occupancy Recertification Form to be filled out and returnedto the City within thirty (30) days of receipt, The Owner shall affirm that they are occupying the Inclusionary Unit as their Primary Residence. The Owner will be required to submit copies of two current utility bills, or other evidence of occupancy that is acceptable to the City, as part of the annual recertification process. I-I3. If an Owner vacates the Inclusionary Unit, or for any reason does not continue to occupy the Inclusionary Unit as its Primary Residence, the City may declare the Owner in Default pursuant to Article 1- Section l of this lnclusionary Housing Covenants Declaration, and exercise any or all of its rights and remedies hereunder, Including without limitation the City's Purchase Option pursuant to Article 3 - $action Il of this Inclusionary Housing Covenants Declaration. It. Resale and Transfer Restrictions II -A, The lnclusionary Unit is being acquired by the Homebuyer at a cost that Is below the Fair Market Value for the Inclusionary Unit, and that such Inclusionary Unit Is subject to resale restrictions and the City's Purchase Option contained in this Inclusionary Housing Covenants Declaration. Any resale or transfer of the Inclusionary Unit in violation of this Incluslonary Housing Covenants Declaration shall be voidable by the City. II-13. The Owner's right to resell the Inclusionary Unit at the Fair Market Value is very limited, and in certain instances, the City will have the option to purchase the Inclusionary Unit from the. Owner at the Affordable Sales Price, Irrclusiantary Hausinp Covenants i7eclarat16n - � Page I3 City of Santa Aria January 2015 75C-127 11-. The Inclusionary Unit will not necessarily appreciate in value during the duration of its ownership, and the Affordable Sales Price may decrease from the amount the Owner paid to acquire the Inclusionary Unit, Thus, when the Owner resells the Inclusionary Unit, the sales proceeds received by the Owner may be less than the amount the Owner paid to acquire the Inclusionary Unit. 0-113. In the event that the Inclusionary Unit is sold for the Fair Market Value, either through an Extraordinary Sate or pursuant to a foreclosure sale, the Owner must pay to the City the City Share of Excess Proceeds, which is set at fifty percent (50%) of the difference between the Affordable Sales Price and the Not Resale Proceeds received from the sale of the Inclusionary Unit. Ill. Refinancing Limits 111-A. The Owner is not permitted to refinance a Senior Loan for more than the outstanding principal amount of the Senior Loan, plus the cast of Qualified Capital Improvements, plus the customary fees and costs associated with obtaining the new' senior Loan. However, in no event can the refinanced Senior Loan be set at an amount that exceeds the then current Supportable Mortgage. III-B. If an Owner refinances the Senior Loan in violation of the requirements Imposed in the Administrative Procedures Manual and this Incluslonary Housing Covenants Declaration, the City may declare the Owner in Default pursuant to Article I - Section Ill of this Inclusionary blousing Covenants Declaration, and exercise any or all of its rights and remedies hereunder, The Inclusionary Unit is subject to the Project CC&Rs, The Homebuyer acknowledges and agrees that the Homebuyer is obligated to comply with all of the terms, conditions, covenants and restrictions set forth in the Project CC&Rs, inclu�luaa,y FGJuylns CavWnants f]e�laratlan Uy of Sans fine — -- F'ac�e—14 January 2019 75C-128 Exempt Transfers of the Inclusionary Unit The following transfer procedures apply to Exempt Transfers: I -A. Transfer by Inheritance: If an Exempt Transfer is made by Inheritance or rights of survival, the trustee, executor or new Owner shall notify the City in writing of the change in ownership of the Incluslonary Unit within 20 days of such event giving rise to such Exempt Transfer. 2. Any such transferee shall be bound by and subject to the provisions of this Inclusionary Housing Covenants Declaration and the City Deed of Trust. The trustee, executor or new Owner shalt execute, acknowledge and deliver to the City, within such 45-day period, an Assumption Agreement whereby the transferee agrees to be bound by such documents. 3. The failure to notify the City in writing and execute an Assumption Agreement within the timeframes requlred by this Section shall constitute a Default; provided that such transferee shall be bound by and subject to the provisions of this Inclusionary Housing Covenants Declaration and the City Deed of Trust notwithstanding its failure to deliver such executed and recordable Assumption Agreement, 1-13. Other Exempt Transfers. If the Owner desires to transfer the Inclusionary Unit by an Exempt Transfer other than inheritance, the Owner shall provide the City with a Notice of Intent to Transfer in the form attached as Exhibit 3 to this Inclusionary Housing Covenants Declaration, together with any other documentation the City may reasonably request in order to ensure that the transfer is an Exempt Transfer. Notice of Intent to Transfer— Exempt Transfer In the case of an Exempt Transfer, this Inclusionary Housing Covenants Declaration Imposes the following noticing obligations on the City and the Owner: II•A. City Obligations: lrrpiuslunary Housino Cov[;rranis Uealaratian Nve 15 City of Santa Am January 2015 75C-129 The City shall have 45 days after receipt by the City of a Notice of Intent to Transfer and other documentation to deliver written notice to the Owner that the City either approves the transfer as an Exempt Transfer or disapproves the transfer. 2. The transfer shall be deemed an Exempt Transfer if the City fails to disapprove the proposed transfer within such 45-day period, fl-B. Owner Obligations: The Owner shall complete the Exempt Transfer, Including recordation of all applicable documents, within 60 days after receipt of approval, or deemed approval, of the transfer. Any such transferee of the fee interest in the Inclusionary Unit shall be bound by and subject to the provisions of this Inclusionary Housing Covenants Declaration and the City Deed of Trust as the Owner and, as a condition to the conveyance of the Inclusionary Unit, shall execute, acknowledge and deliver to the City an Assumption Agreement. 3. The failure to comply with the requirements of this Section in undertaking any transfer of the Inclusionary Unit shall constitute a Default; provided that any transferee of the Inclusionary Unit shall be bound by and subject to the provisions of this Inclusionary Housing Covenants Declaration and the City Deed of Trust as the Owner notwithstanding Its failure to deliver such executed and recordable Assumption Agreement. Ill. Transfer of the Incluslonary Unit without the City's Approval Ill -A. If the City determines that a proposed transfer is a Prohibited Transfer, the Owner shall not transfer the [nclusionary Unit. III-B. Any transfer of an Inclusionary Unit without the City's approval shall be voldalolle. In addition to all other rights and remedies the City may have under this Inclusionary Housing Covenants Declaration, the City shall have the right to exercise the City's Purchase Option. This may be exercised against the transferee or the Owner Linder such Prohibited Transfer. City of Sunti Ana January 2015 75C-1 30 1. Permitted Sale I -A, Notice of Permitted Sale: If an Owner desires to sell the Incluslonary Unit, the Owner shall provide City with a Notice of Intent to Sell in the form attached as Exhibit 5: Within fifteen (15) business days after receipt of such Notice, City shall provide the Owner with the Affordable Sales Price and the maximum incomes of Eligible Purchasers. 2. The Owner shall market the Incluslonary Unit to Eligible Purchasers for a period of not less than ninety (90) days from providing the Notice. 1 If the Owner is unable to locate an Eligible Purchaser who is ready, willing and able to enter into a purchase agreement for the Incluslonary Unit within the go -day period: a. The Owner must demonstrate to the Incluslonary Program Director that all reasonable efforts were made to diligently market the Incluslonary Unit. b. If the Inclusionary Program Director determines that adequate marketing efforts were pursued, the City shall have 30 d ' ays from after the expiration of the period to exercise City's Purchase Option Linder Article 3 - Section It. C. If the City does not exercise the City's Purchase Option, the Owner may sell the Incluslonary Unit to a buyer is not an Eligible Purchaser under the Extraordinary Sale terms identified in Article 3 - Section Ill. I-B. Inspection and Repair Costs: Upon receipt of a Notice of Intent to Sell, the City shall have the right to inspect the Indusionary Unit to determine whether any violations of applicable laws or ordinances exist. The City may hire a third party to undertake the Inspection, InGWIonory HousIng Govenanli Dodarntion My of Santa MA Pago 17 January Z015 75C-1 31 2. The inspection shall take place within fifteen (15) days after receipt of the Notice of Intent to Sell, 3. The City shall undertake the inspection at a reasonable time, and provide the Owner with at least 24 advance notice prior to the inspection, 4. In the event any violations are discovered, within thirty (30) days, the City shall provide the Owner with a written report describing the necessary repairs. 5, The Owner shall have the option to either: a. Repair or replace the items on such report at Owners cost prior to closing, without extending the closing date; or b. At closing, cause the escrow holder to pay the repair costs to the buyer out of Seller's gross proceeds of the sale. 6. If an Owner elects to repair or replace the items on such report, the City shall have the right to re -inspect the Inclusionary Unit after the repairs and/or replacements are complete. if City determines that deficiencies still remain, the Owner shall cause the escrow agent at closing to pay to buyer from Seller's gross proceeds the repair costs in such amounts as the City determines are necessary to complete the remaining repairs and/or replacements. The City's determination shall be final. 1-0. Sales Price: The sale of the Inclusionary Unit pursuant to this Section may only be made to an Eligible Purchaser at a price that does not exceed the lesser of the Affordable Sales Price or the Fair Market Value of the Inclusionary Unit, I-D. At close of escrow, the Eligible Purchaser shall deliver or cause to be delivered into escrow: 1 A Declaration of Inclusionary Housing Covenants, Resale Restrictions and City's Option to Purchase Agreement in substantially the form of this Inclusionary Housing Covenants Declaration, approved by the City, and executed by the City and the Eligible Purchaser, together with a City Deed of Trust securing the obligations thereunder. 1 The required down payment and all documents required by the Eligible Purchaser's Senior Lander. Inchisionory Hokming Ccvnnanl% Dodxi4on city of Sama Ana Pago IS January 2015 75C-1 32 I-E. Proceeds from Permitted Sale: To the extent funds are available, the gross proceeds from a Permitted Sale shall be distributed in the following priority: I Escrow fees, transfer taxes, recording fees, and any other customary non- recurring closing costs; 2. Brokerage commissions and similar transaction costs; I Repayment of the outstanding balance of the Senior Loan; 4. Reimbursement to the buyer of all repair costs funded by the buyer pursuant to this Section; and 5. Any remaining 8MOLints shall be paid to the Seller, I-F, Personal Property; Any sums paid to an Owner by an Eligible Purchaser for personal property shall not be part of the Affordable Sales Price, Any consideration, of any nature whatsoever, paid by an Eligible Purchaser to the Owner must be fully disclosed to and approved by the City in advance. I-G. Closing: I At closing, the Owner shall convey fee title to the Eligible Purchaser by standard title company form grant deed, 2, The Owner shall cause the title company to issue to the Eligible Purchaser a CLTA standard coverage owner's form of title insurance policy in the amount of the Affordable Sales Price insuring title to the Incluslonary Unit is vested in the Eligible Purchaser, subject to the following exclusions from coverage: a, Current taxes and assessments not yet due; lo. This Incluslonary Housing Covenants Declaration and all documents recorded pursuant to this Inclusionary Housing Covenants Declaration; and c. Such other matters (other than encumbrances created or suffered by the Owner) that were exceptions to title on the date of this [nclusionary Housing Covenants Declaration. page 19 City ol Santa Ana January 2015 75C-1 33 3. All other closing costs shall be paid by the Seller or the Eligible Purchaser pursuant to the custom in Orange County. 11. City's Purchase Option 11-A. Purchase Option: By taking title to the Incluslonary Unit, the Owner irrevocably grants the City's Purchase Option upon the occurrence of any of the following: I The Owner is unable to identify an Eligible Purchaser pursuant to and within the times set forth in Article 3 - Section 1; Z Any Prohibited Transfer or Prohibited Sale by the Owner; 3. The Owner is in default of the occupancy requirement set forth in Article I — Section I ; and 4. An Event of Default as defined in Article 1: City's Purchase Option shall be in addition to any other remedy provided in this InCILISIonary Housing Covenants Declaration for an Event of Default. b. By taking title to the Incluslonary Unit, the Owner agrees that City's facilitation of the transfers contemplated hereby constitute adequate consideration for the grant of the City's Purchase Option in the Event of Default. 11-8. Procedure Upon Exercise of Option: 1 The City shall exercise the City's Purchase Option by delivering written notice to the Owner (and to transferee, if applicable), 2. Closing of escrow shall occur within 120 days (plus any time delays caused by the Owner), or such additional time as reasonably determined by the City is necessary under the circumstances after the date of the City's written notice exercising the City's Purchase Option. 3. Proceeds from the sale shall be distributed in the manner provided in this Section. Indusionary Fiousimg Covenants Dediralinill Page 20 City of Santa Ana January 2016 75C-1 34 4. Closing shall occur in the manner provided in this Section, with the City having the rights and responsibilities of the Eligible Purchaser provided thereunder. II-C. Assignment of City's Purchase Option: After the City has exercised the City's Purchase Option, the City may, without the Owner's or transferee's consent, assign the City's Purchase Option to an Eligible Purchaser or to a government or non-profit organization that agrees to be subject to this Inclusionary Housing Covenants Declaration, Such assignment shall not extend any time limits contained in this Inclusionary Housing Covenants Declaration, II-D. Failure to Close: If the City exercises the City's Purchase Option pursuant to this Section, and tails to close escrow pursuant to the identified timeframes„ the Owner may conduct an Extraordinary Sale under Article 3 - Section ill. 2. If the City exercises the City's Purchase Option pursuant to a Prohibited Transfer, a Prohibited Sale or an Event of Default, and the City falls to close escrow pursuant to this Section, then the City shall be deemed to retain all remedies available under Article 5 - Section IV. II-E. Power of Attorney: By taking title to the Inclusionary Unit, the Owner grants to the City an irrevocable power of attorney that authorizes the City to act on the Owner's behalf to execute, acknowledge and deliver any and all documents related to the City's Purchase Option, III. Extraordinary Sala The purpose of this Section is to permit the sale of the Inclusionary Unit to a buyer who is not an Eligible Purchaser when an Eligible Purchaser has not been secured and the City's Purchase Option has not been exercised, Ill -A. Notice of Extraordinary Sale: The Owner shall notify the City of the Owner's Intent to make an Extraordinary Sale by delivering a Notice of Extraordinary Sale in the form attached as Exhibit 6. The Notice of Extraordinary Sale shall identify the Fair Market Value of the lYaclusionary Unit. inclusirsnary Hounnig Covonapts peclflraYlran City of &wta Aria Page 21 Januarf 2015 75C-135 2. The Owner shall be required to sell the Inclusionary Unit at a price not less than the Fair Market Value, unless otherwise approved by the City in writing. & All transfer documents relating to the Extraordinary Sale shall be submitted to the City for its review and approval as consistent with the terms of this Incluslonary Housing Covenants Declaration. III -Bo Distribution of Proceeds: The Extraordinary Sales Price shall be distributed in the following priority to the extent funds are available: Escrow fees, transfer taxes, recording fees, and any other customary non- recurring closing costs; Brokerage commissions and similar transaction costs; 2. Repayment of the outstanding balance of the Senior Loan; 3. Payment to the City of the City Share of Excess Sales Proceeds; and 4. Any remaining amounts shall be paid to the Seller. III-C. Effect of Extraordinary Sate; I Upon the close of escrow for an Extraordinary Sale in compliance with the provisions of this Section, the purchaser shall acquire title to the Incluslonary Unit free and clear of the provisions of this Inclusionary Housing: Covenants Declaration, including the City's Purchase Option. Pursuant to Article 5 - Section 1, and in accordance with this Section, the City agrees to execute, acknowledge and record a release of the InCIUSIonary Unit from the provisions of this Incluslonary Housing Covenants Declaration, Ill -Do Foreclosure Sale: In the event of a foreclosure sale, this Section shall impose the same obligations on the Owner and the City as In an Extraordinary Sale, All references to the "close of escrow" shall be replaced by "foreclosure sale." hdk*iw%ry Hou5-uvg Covenants Doolinfion Page 22 M1 of Santo Am January 2015 75C-1 36 LENDER PROVISIONS Senior Loan Mortgages, deeds of trust, or any other form of conveyance required for any reasonable method of financing as a Senior Loan are permitted., but only as follows: -A. For the sole purpose of securing a purchase money loan of funds to be used by an Owner for financing the acquisition of the Inclusionary Unit. The Senior Loan must comply with the requirements imposedby Section IV-D of the administrative Procedures Manual; or I-B. For the sole purpose of refinancing a Senior Loan that was obtained by the Owner, and approved by the City, provided that the principal amount of such refinancing shall be limited to the outstanding principal then owed on the existing Senior Loan; plus any customary fees and costs associated with such currant refinancing. II -A. This Inclusionary Housing Covenants Declaration shall be subordinate to the Senior Loan, so long as the Senior Lender agrees to the default and foreclosure provisions set forth in this lnclusionary Housing Covenants Declaration, or other alternative provisions proposed by the Senior Lender, and acceptable to the City in Its sole discretion. II-13. In the event the City fails to timely cure a default under such Senior Loan, and the Senior Lender proceeds with foreclosure, or deed in lieu of foreclosure, of such Senior Loan, then any provisions herein or in any other collateral agreement restricting the use of the Inclusionary Unit to Moderate Income Households or otherwise restricting the Senior Lender's ability to sell the Inclusionary Unit based upon income qualification of the purchaser shall terminate and shall have no further force or effect on subsequent owners or purchasers of the Incluslonary Unit. II-C. In that event, any person, including the Senior Lender's successors and assigns, receiving title to the Inclusionary Unit through foreclosure, or deed In lieu of foreclosure, of such Senior Loan shall receive title to the Inclueianary liausing Covaiiants Gaclarallaar� page 23 City of Sm,Aa Ana January 2015 75C-137 Property free and clear from such restrictions. The City shall promptly execute, acknowledge and deliver for recordation such subordination documents or agreements as necessary to confirm the foregoing subordination. Ill. Default and Foreclosure Ill -A. The City shall record a request for notice of default and any notice of sale under any deed of trust or mortgage with a power of sale encumbering the Inclusionary Unit pursuant to California Civil Code Section 2924b. Whether or not a request for a notice of default is recorded, the Owner shall provide a true and correct copy of any notice of default to the City within three (3) business days of the Owner's receipt. Ill-B. In the event of default and foreclosure, the City shall have the same rights as the Owner to cure any defaults and reinstate the Senior Loan prior to foreclosure sale or the acceptance of a deed in lieu of foreclosure by the Senior Lender. Such reinstatement shall be subject to the same fees, charges and penalties that would otherwise be assessed against the Owner. Nothing herein shall be construed as creating any obligation on the part of the City to cure any such default, nor shall this right to cure and reinstate operate to extendany time limitations in the default provisions of the underlying deed of trust or mortgage. RI-C. If the trustee set forth in Senior Lender's deed of trust sells the Inclusionary Unit at a foreclosure sale, the proceeds shall be delivered in the following priority to the extent funds are available: Payment of all delinquent assessments, if any, to the extent required by the Project CC&Rs; Payment of all sums due and owing under the Senior Loan, including without limitation the principal amount, interest, fees and costs of sale; 3. Payment to the City of the City Share; of Excess Sales Proceeds; 4. Repayment of all sums due and owing to junior creditors; and 5. Any remaining amounts shall be paid to the Owner. III-D. By taking a loan from a Senior Lender,. the Owner represents that it has provided the Senior Lender with the necessary consent and authorization hryclusinnaiy Housing Covenants City of Santa Rrva Page 24 January 2015 75C-138 to provide a monthly report of the payment status of the Owner and all other financial Information concerning the Owner that the City reasonably requests.. ltl-E. Except as otherwise expressly provided in a City approved subordination agreement, by making a loan to the Owner, Senior Lender grants to the City the option to purchase the Senior Loan from the Senior Lender at any time after the filing of a notice of default under the Senior Loan, but prior to consummation of the foreclosure or the giving of a deed in -lieu of foreclosure for an amount equal to the entire indebtedness secured by the Senior Lender Deed of Trust: The City may exercise this option by giving Senior Lender written notice of its intent to do so: with respect to a foreclosure, at any time prior to the filing of a notice of sale under the Senior Loan; and with respect to a deed -in -lieu of foreclosure, within ten (10) days after receiving written notice from Senior Lender of Its intent to accept a deed -in -lieu of foreclosure with respect to the Incluslonary Unit. 2, Upon receipt of such written notice from the City, the Senior Lender shall promptly give the City a written statement setting forth the amount of the total indebtedness secured by the Senior Lender Deed of Trust, which shall be the purchase price for the Senior Loan, and a copy of the policy of title insurance insuring the priority and validity of the Senior lender Deed of Trust, 3, Within ten (10) days after the Clty gives such written notice, the City shall establish an escrow at the title company insuring the Senior Lender feed of Trust and concurrently therewith give the Senior Lender written notice thereof, and the City shall deposit the purchase price In such escrow. 4. Within fifteen (15) days after the Senior Lender's receipt of notice of the opening of the escrow, the Senior Lender shall deposit in the escrow: a. the promissory note evidencing the Senior Loran endorsed in favor of the City; _. _ Enchi9itinary I-I©QESBry Cuvenanfs rleclarE�ticin Paps 2G Clfr of Santa Ana January 2015 75C-139 b. the original of the Senior Lender Deed of Trust; c. an assignment of the Senior Lender Deed of Trust duly executed by the Senior Lender and in recordable form; and cl. all other documents, instruments, agreements, certificates and other items that evidence or secure the Senior Loan. III-F. The Senior Lender and the City shall execute and deliver escrow Instructions and such other documents as may be reasonably necessary or appropriate in connection with such escrow and to implement the intent hereof, HI-G. The escrow holder shall be instructed to close the escrow within two (2) business days after receipt of all such items and upon such close of escrow to issue to the City a CLTA Form No, 104.1 endorsement to the title policy, showing the City as Senior Lender's, assignee with respect to the Senior Lender [Deed of Trust. III-H, The Cfty shall pay the escrow fees (irrespective of whether the escrow closes), recording fees and the premium for the CLTA Form No. 104.1 endorsement, Inclunroniry Housing Covariants, DedaTabon CIry of $anta Aria Face 26 January 2015 75C-140 ARTICLE 5 I M6101:111111 WAN I. Term of the Inclusionary Hiousing Covenants Declaration This Inclusionary Housing Covenants Declaration shall become effective upon its execution and delivery. Z This Inclusionary Housing Covenants Declaration shall terminate as to the Incluslonary Unit at the earliest of: a, as provided under the terms and conditions of any subordination agreement between a Senior Lender and the City; or b. upon the close of escrow for an Extraordinary Sale; or C. at the end of the Affordability Period, 3, Upon termination of the Affordability Period, on request of the then record Owner of the Property, the City shall execute, acknowledge and record a termination of the Inclusionary Housing Covenants Declaration and the City Deed of Trust. To the extent permitted by law, any unfulfilled obligations of any Owner shall survive the termination of the Inclusionary Housing Covenants Declaration, but it shall no longer affect title to the Property, 11. Maintenance and Use The Owner shall maintain the interior and exclusive use areas of the Inclusionary Unit in a clean, well maintained condition consistent with the neighborhood, as set forth In the Project CC&Rs, 2. The Inclusionary Unit shall be used and occupied by the Owner solely for residential purposes, and in addition to the residential purpose may also be used for any accessory uses that comply with the provisions of the Santa Ana Municipal Code, as it may be amended from time to time. 3. No Owner shall grant use of, rent or lease all or any part of the Inclusionary Unit, but shall occupy the Inclusionary Unit as its Primary Residence. Indusionmy Housing CovenanW Deolaralion page 27 City of Santa Aria January 2015 75C-141 4. The Owner shall comply with all of the use and maintenance provisions and obligations set forth in the Project CC&Rs. 111. Default If the Owner defaults in the performance or observance of any covenant, condition or restriction of the Owner set forth in this Incluslonary Housing Covenants Declaration, and if such default remains uncured for a period of thirty (30) days after written notice has been given by the City (or, If such cure reasonably takes longer than thirty (30) days, if such cure has not been commenced within the thirty (30) day period or is not diligently completed within a reasonable time, not to exceed an additional sixty (60) calendar days), or in the event the Owner has provided false information or documentation required in connection with the purchase or resale of an Inclusionary Unit, then the City may declare an Event of Default has occurred. In that event, the City may exercise any or at[ of its rights or remedies under this Incluslonary Housing Covenants Declaration, including without limitation any or all of the following: by any suit, action or proceeding at law or in equity, require the Owner to perform Its obligations and covenants under this Inclusionary Housing Covenants Declaration or enjoin any unlawful acts; take such other action at law or in equity as may appear necessary or desirable to enforce the Owner's obligations, covenants and agreements; and 3, in addition to the foregoing remedies, in the event that the Owner rents or resells the Incluslonary Unit in violation of this Inclusionary Housing Covenants Declaration, as restitution, the Owner shall forfeit, and the City shall have the right to recover the following monetary amounts: a. If the Owner rents the Inclusionary Unit in violation of this Inclusionary Housing Covenants Declaration, the Owner shall forfeit all monetary amounts obtained through the rental of the incuslonary Unit, b. If the Owner resells the Inclusionary Unit in violation of this Inclusionary Housing Covenants Declaration, the Seller and the new Owner shall be jointly and severally liable to the City for an arnount equal to difference between the Fair Market Value and the Affordable Sales Price for the Incluslonary Unit. However, the IncWclnnnip —HourFq—c7ov-6Zn—tv, 667r—Awmi on P190 241 City of Sanla Ana January 2015 75C-142 Executive Director has the discretion to allow the Seller and the new Owner to cure a violation of the resale requirements imposed by this Inclusionary Housing Covenants Declaration. All such restitution shall be made to the City. Any funds received by the City under this provision of the inclusionary Housing Covenants Declaration shall be placed In the City's inclusionary Housing Fund. IV. Default Remedies In addition to any other rights or remedies set forth in this Inclusionary Housing Covenants Declaration, or allowed by law or equity, in the event of a default by an Owner of any of the Owner's obligations under this Inclusionary Housing Covenants Declaration, that is not cured within the cure period provided below, the City may apply to a court of competent jurisdiction for specific performance of this Inclusionary Housing Covenants Declaration, or for an injunction prohibiting a proposed resale or transfer in violation of this Inclusionary Housing Covenants Declaration, V. Distribution of Insurance and Condemnation Proceeds If the Inclusionary Unit is condemned or the improvements damaged or destroyed, all proceeds from Insurance or condemnation shall be distributed to the Owner, for purposes of restoring or replacing the Inclusionary Unit, unless the Senior tender Deed of Trust, the City Deed of Trust or the Project CC&Rs provide otherwise. In that case, the Senior tender Deed of Trust, the City Deed of Trust and the Project CC&Rs shall control, in that order of priority. VI. Attorneys' Fees and Casts If any action is brought to enforce the terms of this Inclusionary Housing Covenants Declaration, the prevailing party shall be entitled to reasonable attorneys' tees and costs. VII. Controlling Agreement The Owner covenants that it has not knowingly executed, and will not knowingly execute, without the City's prior written approval, any other agreements with provisions contradictory to or in opposition to the provisions of this Inclusionary Housing Covenants Declaration, Inclualanary Housing Cowrianta D diratian Page ','S- City ofSanta Ann January 2015 75C-143 Vill. Severability If any one or more of the provisions contained in this Inclusionary Housing Covenants Declaration for any reason shall be held to be invalid, illegal or unenforceable in any respect, then such provision or provisions shall be deemed severable from the remaining provisions contained in this Inclusionary Housing Covenants Declaration, and this Incluslonary Housing Covenants Declaration shall be construed as if such invalid, illegal or unenforceable provisions had never been contained herein. IX. Time of the Essence Time is of the essence for this entire Inclusionary Housing Covenants Declaration. Whenever the time for performance falls on a day which Is not a business day, such time for performance shall be extended to the next business day. X. Covenants Running with the Land All provisions of this Inclusionary Housing Covenants Declaration, including the benefits and burdens, are equitable servitudes, run with the land and are binding upon the heirs, successors, assigns and personal representatives of the Owner hereto and inure to the benefit of the City and permitted successors and assigns. The covenants benefit and bind the City, the Inuluslonary Unit and the Owner thereto. Each and every contract, deed or other instrument covering, conveying or otherwise transferring the Incluslonary Unit or any interest therein shall conclusively be hold to have been executed, delivered and accepted subject to this Inclusionary Housing Covenants Declaration regardless of whether the other party or parties have actual knowledge of this Inclusionary Housing Covenants Declaration, XI. Construction The rule of strict construction does not apply to this Incluslonary Housing Covenants Declaration. This Inclusionary Housing Covenants Declaration shall be given a reasonable construction to prevent any use of the Inclusionary Unit in violation of this Inclusionary Housing Covenants Declaration. Whenever the context and construction so requires, all words used in the singular shall be deemed to be used in the plural, all masculine pronouns shall include the feminine and neuter, and vice versa. p2p. M Oty of Santa Ana January 2015 75C-144 X11. Indemnification The Owner agrees to indemnify and hold harmless the City and its respective officers, directors, employees and agents from and against all liabilities, losses, claims, damages, judgments, costs and expenses (including, without limitation, reasonable attorney's fees) Incurred by the City arising out of or relating to any negligent or wrongful action by the Owner with respect to the Inclusionary Unit, The Owner agrees that if any claims, demands, suits or other legal proceedings are made or instituted by any person against the City that arise out of any of the matters relating to this Inclusionary Housing Covenants Declaration, the Owner shall cooperate fully with the City in the defense or other disposition. XIII. Entire Inclusionary Housing Covenants Declaration and Modifications This Inclusionary Housing Covenants Declaration may be modified only in a writing duly signed by the Owner and an authorized agent of the City. The modifications shall become effective when recorded in the official records of Orange County, California. Notwithstanding the following, the Owner acknowledges under this Inclusionary Housing Covenants Declaration that it is expressly prohibited from renting or leasing the Inclusionary Unit, and is required to occupy the Inclusionary Unit as its, Primary Residence at all times: The Owner covenants by and for itself, its successors, and its assigns that there shall be no discrimination against or segregation of any person or group of persons on account of race, color, creed, religion, sex, marital status, sexual orientation, source of income, age, physical or mental handicap, medical condition, ancestry or national origin in the sale, lease, sublease, transfer, use, occupancy, tenure or enjoyment of the Incluslonary Unit. The foregoing covenants shall run with the land and shall remain in effect in perpetuity. All deeds and contracts made relative to the. Inclusionary Unit shall contain or be subject to the following non-discrimination or non -segregation clauses set forth in H&SC Section 33436 in substantially the same form: Ieclusl�n�ry Housing C�nvengryts Cinclavetsgn pggo 31 City of S2nta Ana January 2045 75C-145 a. In deeds: "The grantee herein covenants by and for himself or herself, his or her heirs, executors, administrators, and assigns, and all persons claiming under or through them, that there shall be no discrimination against or segregation of any person or group of persons on any basis listed in subdivision (a) or (d) of Section 12926, 12928.1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code in the sale, lease, sublease, transfer, use, occupancy, tenure or enjoyment of the [and herein conveyed. The foregoing covenants shall run with the land," b. In contracts: "There shall be no discrimination against or segregation of any person or group of persons on any basis listed in subdivision (a) or (d:) of Section 12926, 12926.1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code in the sale, lease, sublease, transfer, use, occupancy, tenure or enjoyment of the land herein conveyed. The foregoing covenants shall run with the land." 1. All notices, demands, requests for approval and other communications provided for in this Inclusionary Housing Covenants Declaration shall be in writing and shall be deemed received if sent to the addresses set forth below: a. on the date of delivery when personally delivered; b. one business day after deposit with a reputable overnight courier or delivery service with all delivery charges paid; or c. date of receipt by party if deposited in the United States first class mail, postage prepaid, registered or certified, return receipt requested. 2, Either party may change its address by notice delivered in the manner specified above. Induslonary Housinq Covenants Dodoration Pdg-- e32 City of 89nta Ana January 2015 75C-146 If to City, City Manager City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 If to Owner: at the Incluslonary Unit address IN WITNESS WHEREOF, the City and the Homebuyer have duly executedthis Inclusionary Housing Covenants Declaration as of the dates set forth below. [Signatures on Following Pages] -..Incltisiar+ary hl9tisis�g Cnvariants SSncsar tlaia Pope g3 011y of Santa Ana January 2015 75C-147 SIGNATURE PAGE Em INCLUSIONARY HOUSING COVENANTS DECLARATION APPROVED AS TO LEGAL FORM: M1 Name: City Attorney City of Santa Ana Induslonapy Housing Covenaflt5 Oily of Santo Ana CITY: CITY OF SANTA ANA A California Charter City and Municipal Corporation 0 Name: Its: Date: -1%o 34 Jarwity 2015 75C-148 m INCLUSIONARY HOUSING COVENANTS DECLARATION Homebuyer: a Name: M Name: 00 Inclaasioaary hlsuslnq Cnvc n;rraks Declaration Page 33 City of Santa Ana January 2015 75C-149 • *'' : &_ ► [To Be Inserted.] 63clusionzvy Housing Ccrvenevn7s CJdrlaration Property Descrlplion January 2015 75C-150 EXHIBIT 2 OCCUPANCY RECERTIFICATION FORM Inclu irormy Flousln(d Cove iiank4 CPeclara1ian Occupancy Rewrtiflcailon Form January 2015 75C-151 MAIAM"Al Date: Owner(s) Name: Address: We are the Owners of an Inclusionary Unit that was produced under the requirements of the City of Santa Ana Inclusionary Housing Ordinance. We understand and agree that the Inclusionary Unit must be used as our Primary Residence and for no other purpose. By this Certification, we declare tinder penalty of perjury that: 1. We currently occupy the Ind usionary Unit; and 2. We have occupied the Inclusionary Unit for at least 10 out of the past 12 months; and 3. We have not used the Inclusionary Unit for any other purpose than as our Primary Residence; and 4. We are not renting or leasing any part of the Inclusionary Unit to another party. We have attached true and accurate copies of two utility bills or other docurnentation evidencing our continued occupancy of the Inclusionary Unit, We acknowledge that any intentional or negligent misrepresentation in this Certification may result in civil liability and/or criminal penalties including, but not limited to, fine or imprisonment, or both, and liability for monetary damages under the provisions of Title 18, United States Code, Section 1001, et sect, [Signatures on the Following Page] hdkI5I0IwPiRmFvng C—wenants —Dodirntlon N198 1- occupancy Rormtffiomfti Fnim January 205 75C-1 52 Signature: Print Name: Date: Telephone: 61111142%1'401.04 HE OCCUPANCY RECERTIFICATION FORM Owner: Nd� Oc.wpancy Recartitication Form Signature: Print Name: Date: Telephone: f5_1q02 January 2015 75C-1 53 NOTICE OF INTENT TO TRANSFER IncluMonaiy Housing Duvan;.anis Daolaration Notice of intent to Transfer .lafluary 2015 75C-154 Date To: City Manager City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 The undersigned —, Owner of the Inclusionary Unit located at _, Santa Ana, California, hereby notifies you of its intent to transfer in compliance with Article 2 of the Incluslonary Housing Covenants Declaration, The reason or circumstances relating to such transfer are as follows: . Any additional information reasonably required regarding the proposed transferee shall be provided to you immediately upon request. The undersigned acknowledges that all applicable time periods under the Incluslonary Housing Covenants Declaration commence only upon the City's receipt of this notice. The undersigned further acknowledges and agrees that any such transfer shall be subject to the provisions of the Inclusionary Housing Covenants Declaration. Owner -Inmki�lonftiy FfousinC o ovpnants oodarifion Page 1 Notice of intont to Tranrfor January M15 75C-1 55 C Inclijsamr7y Housing Couecnt Paolar7tirr,r Resumption Agroamont Airiraiy 2015 75C-156 City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: City Clerk To be —recordad willimYt—fea. (Spneo Above This I.Fn—pFof Recordw �sUF6a �ony� (Government Code, q§ 6103 and 27383) DISCLOSURE, ACKNOWLEDGMENT AND ASSUMPTION AGREEMENT THIS DISCLOSURE, ACKNOWLEDGMENT AND ASSUMPTION AGREEMENT (Assumption Agreement) made among ("Owner"), ("Transferee") and the CITY OF SANTA ANA ("City"), A. The Owner Is the current owner of the real property commonly known as —, Santa Ana, California, and now particularly described on Exhibit A, which together with all improvements located thereon is referred to in this Assumption Agreement as the "Incluslonary Unit". 13, The Owner wishes to transfer and convey to the Transferee the Inclusionary Unit, and C. The fnclusionary, Unit is subject to the restrictions applied by the InCIUSlonary Housing Covenants, Resale Restrictions and City's Option to Purchase Agreement recorded on , 20—, as Document No. , in the Official Records of Orange County, California (the "Inclusionary Housing Covenants Declaration") that imposes resale controls on the Inclusionary Unit; and InclWonary Housing Govononts Dorhraiion Page I Assumption Agreornarl I January 2015 75C-1 57 D. The obligations set forth in the Inclusionary Housing Covenants Declaration are secured by a Deed of Trust recorded against the Inclusionary Unit on 20_, as Document No. in the Official Records of Orange County, California (the "City Deed of Trust"), and E. The Transferee is acquiring, the Inclusionary Unit and will assume the obligations of an Owner under the Inclusionary Housing Covenants Declaration and as Trustor under the City Deed of Trust. Capitalized terms used herein, and not defined In this Assumption Agreement, shall have the meanings set forth in the Inclusionary Housing Covenants Declaration and the City Deed of Trust. The parties to this Assumption Agreement agree to the following: The Transferee hereby acknowledges and agrees to the following: The Inclusionary Unit is subject to the Inclusionary Housing Covenants Declaration that are secured by the City Deed of Trust. The Transferee acknowledges that it has received a copy of the Incluslonary Housing Covenants Declaration, and agrees to be bound by all the conditions and covenants contained therein. The Transferee shall occupy and continually use the Inclusionary Unit as the Transferee's Primary Residence during the Affordability Period as defined in the Inclusionary Housing Covenants Declaration. C. The Transferee's right to resell the Inclusionary Unit at the Fair Market Value is very limited, and in certain instances, the City will have the option to purchase the Inclusionary Unit from the Transferee at the Affordable Sales Price: Under a Permitted Sale, the Inclusionary Unit must be sold at the Affordable Sales Price. The Inclusionary Unit will not necessarily appreciate in value during the duration of its ownership, iL In the event that the Inclusionary Unit is sold for the Fair Market Value, either through an Extraordinary Sale or p Covenants Decimation Page 2 Assumption Agreement January 2015 75C-1 58 pursuant to a foreclosure sale, the Transferee must pay to the City the City Share of Excess Proceeds, which is set at fifty percent (50%) of the difference between the Affordable Sales Price and the Not Resale Proceeds received from the sale of the Incluslonary Unit. III, Any resale or transfer of the I nclusionary Unit In violation of the Incluslonary Housing Covenants Declaration shall be voidable by the City, The Transferee Is not permitted to refinance a Senior Loan that is secured by the Property for more than the outstanding principal amount of that Senior Loan plus the customary fees and costs associated with obtaining the new Senior Loan. e. The Incluslonary Unit is subject to the Project CC&Rs, The Transferee acknowledges and agrees that it is obligated to comply with all of the terms, conditions, covenants and restrictions set forth in the Project CC&Rs. 3. The City hereby consents to the transfer of the I ncluslonary Unit to the Transferee under a Permitted Transfer as defined in the Incluslonary Housing Covenants Declaration, 4. All questions with respect to the Interpretation of this Assumption Agreement, and the rights and liabilities of the parties hereto, shall be governed by the laws of the State of California. 5. This Assumption Agreement shall Inure to the benefit of, and shall be binding upon, the assigns, successors in interest, personal re prose ntatives, estates, heirs and legatees of each of the parties hereto, 6, The Transferee hereby grants to the City an irrevocable power of attorney coupled with an Interest to act on Buyer's behalf to execute, acknowledge and deliver any and all docurnents relating to the City's Purchase Option under Article 3 — Section II of the Inclusionary Housing Covenants Declaration. Executed on 20_, at Santa Ana, California. [Signatures on Following Pages] holksionary Hoiminq CavenmU Dodagafon Page 3 Assumption Agreemeni January 2015 75C-1 59 By: 0 m Its: By: SIGNATURE PAGE TO ASSUMPTION AGREEMENT Owner: Date: Transferee. Gate: Hm Date: Attest: Inolumonary Housing Coannarts Dodd (Ioik Assnmpton AOreomerd Page 4- January 2015 75C-160 ATm9F:jw., LEGAL DESCRIPTION [To Be Inserted,] page imumption Agrapmoni - Lagat Doscription Junuary 2015 75C-1 61 EXHIBIT' NOTICE OF INTENT TO SELL -- Pnclueianary Housing Cavanantc t}ectaratlon Notice of Intent to soil Jarmwy 2018 75C-162 Date To: City Manager City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 The undersigned_ -, Owner of the Incluslonary Unit located at --, Santa Ana, California, hereby notifies you of its intent to resell the Inclusionary Unit in compliance with the requirements imposed by Article 3 of the Inclusionary Housing Covenants Declaration- The undersigned acknowledges that all applicable time periods under the Incluslonary Housing Covenants Declaration commence only upon the City's receipt of this notice. Owner Caven-onts Doctantion Page I Nofico of Intent to soil Januar/ 2015 75C-1 63 Inclusianary hlousinI7 Covenants Doclara(inn Notloo of 6xtraivthnary Salt) January 2015 75C-164 The undersigned____ , is the Owner of the Inclusionary Unit located at Santa Fan@, California. On 20_, Owner provided City with written notice of its intent to sell the Inclusionary Unit. owner has failed to identify an Eligible Purchaser In accordance with Article 3 -- Section I of the Inclusionary Housing Covenants Declaration, and the City has failed to exercise the City's Purchase Option pursuant to Article 3 — Section 11. Accordingly, Owner hereby notices the City of its intent to make an Extraordinary Sale of the Inclusionary Unit in accordance with Article 3 — Section) III of the Inclusionary Housing Covenants Declaration. Attached herewith is the estimate of the Fair Market Value for the Inclusionary Unit as defined in the Inclusionary Housing Covenants Declaration. Owner hereby acknowledges that the City shall retain City's Purchase Option until the time that Owner has accepted In writing an offer to purchase the Inclusionary Unit from a buyer, and that all applicable time periods for an Extraordlnary Sale under the Agreement commence only upon City's receipt of this Notice, Owner Innluslonary Hm ing Gaannants Declaration pa" I Node- of ExlraordInary ua1+0 January 2015 75C-165 FOUNNUM Inolusionary HousingAgreernent - Ownership Project City of Santa Ana 75C-166 �1�`i• l Via: �. f�tr "..M '.li '_ r. City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: City Clerk -- - ---- Tu he recorded as*thaut fna- (Space Move This Line For Racnrdar sUse Only) (Government Code, %6163 and 27383) DEED OF TRUST AND SECURITY AGREEMENT There are restrictions on the sate of the Property encumbered by this City peed of Trust, as contained in that certain Inclusionary Housing Covenants, Resale Restrictions and City's Caption to Purchase Agreement ("Inclusionary Housing Covenants Declaration"). Except for a Transfer to the City of Santa Ana ("City") or City's assignee following the City's exercise of the City' Purchase Caption, this Property may only be sold to an Eligible Purchaser at a price not to exceed the defined Affordable Sales Price. The Inclusionary Housing Covenants Declaration also restricts the extent to which this Property may be encumbered by junior financing and limits the Trustor's rights to refinance Senior Loans, THIS GEED OF TRUST AND SECURITY AGREEMENT ("City deed of Trust") is made this ____,dayof 20__, among jinsertrra eof Trustor ("Trustor"), whose address is i}need address of Truster), tfnsert name of tine comxaanv7 ("Trustee"), whose address is [insert address of title company and the City of Santa Ana (referred to variously as "City"or "Beneficiary")whose address is 20 Civic Center Plaza, California 92701 as Beneficiary, Truster irrevocably grants, conveys, transfers and assigns to Trustee in trust, with power of sale and right of entry and possession, all of Trustor's right, title and interest now awned or hereafter acquired In and to the real properly in the City of Inchisionary Housing Cavanrinfs G7eclara9ri7n - page 1 Pssumption Agreement August 11, 2014 75C-167 Santa Ana, Orange County, California, described on Exhibit 1 attached hereto and incorporated herein by this reference, together with the Improvements constructed thereon and all other property and interests of any kind or character that may be reasonably necessary or desirable to promote the present and future beneficial use and enjoyment of such real property and improvements. A. Truster Is the owner of the Property located at Santa Ana, California and more particularly described in the attached Exhibit A. B. The Trustor's predecessor in interest developed the Property pursuant to the City's Housing Opportunity Ordinance ("Ordinance"), which regulations require developers of ownership housing to construct within their projects units that are affordable to Moderate Income Households. These regulations require the Property to be subjected to restrictions on resale that ensure that the Property remains affordable. C, In connection with the Ordinance, Beneficiary and Trustor entered into a Inclusionary Housing Covenants Declaration dated as of and recorded in the Official Records of Orange County substantially concurrently herewith (capitalized terms used without definition herein have the meaning ascribed to such terms In the Inclusionary Housing Covenants Declaration), D. Pursuant to the Inclusionary Housing Covenants Declaration, the Trustor is obligated, among other requirements, to sell the Property only to Eligible Purchasers at a price not in excess of the Affordable Sales Price. E, The Inclusionary Housing Covenants Declaration also provides that: Trustor Is obligated to notify the Beneficiary of the Truster's intent to sell the Property in order to enable Beneficiary to exercise the City's Purchase Option at the Affordable Sales Price; The Beneficiary may exercise the City's Purchase Option if the Trustor defaults under the Inclusionary Housing Covenants Declaration; and —Ii—dusonwy Houa[Flocov,-,oaiiti OF-W.Wition Assumption Agreement 75C-1 68 --P�IQ12 August 11, 2014 There are restrictions on Trustor's ability to encumber the Property and to refinance the Senior Loans secured by the Property. h�cfinin+urq+I-latrsin� C7rik�snienis [7eckseead€on -- A�s�mnptiskn Agreerneirt RHi,1p � Au9usk 11, 2014 75C-169 #1 :19 ILI I I Ill ZIPTAUMM As used in this City Deed of Trust, the terms set forth below, shall have the following meanings: Administrative Procedures means the Affordable Ownership Housing Administrative Procedures promulgated by the Executive Director pursuant to the Ordinance, Affordable Housing Cost means the maximum price of an Inclusionary Unit, as calculated under the requirements imposed by H&SC Section 50052.5, The calculation methodology is described In Section VI of the Affordable Ownership Housing Administrative Procedures Manual, Affordability Gap is equal to the difference between the Fair Market Value of the Inclusionary Unit and the Affordable Sales Price for the Inclusionary Unit at the time of acquisition by the Homebuyer. Affordable Sales Price means the maximum price that can be charged for an Inclusionary Unit. The Affordable Sales Price Is equal to the lesser of: The sum of the Supportable Mortgage plus the Benchmark Down Payment; or 2. The purchase price prospective buyers are willing to pay In return for purchasing a home that is subject to restrictive covenants. The statutorily set Affordable Sales Prices for the initial sale of each Inclusionary Unit are shown in Exhibit 8 to the Inclusionary Housing Agreement. The Affordable Sales Prices for Inclusionary Units shall be adjusted quarterly. Benchmark Down Payment is a component of the Affordable Sales Price calculations, For the purposes of the Administrative Procedures, the Benchmark Down Payment is set at 5% of the total Affordable Sales Price, Beneficiary refers to the City as the provider of the City Shared Appreciation Loan, and otherwise defined as the Subordinate Lender, Truster means the person or persons described as the Truster In the introductory paragraph of this City Deed of Trust. Inclusionary Homili a pit s rieciaFet I —on-- Page 4 &-sumption AgreoniLnt August 11, 2014 75C-1 70 City means the City of Santa Arta, California. City Deed of Trust means a dead of trust„ that secures the Owner's obligation to comply with the obligations imposed by the Inclusionary Housing Covenant Declaration. City's Purchase Option means the irrevocable option that the Owner must offer to the City under the circumstances defined in Article 3 — Section 11 of the InclusionM Housing Covenants Declaration, Eligible Purchaser shall mean a Homebuyer who meets the eligibility crl'teria set forth in the Administrative Procedures, Exempt Transfer means the following: A transfer resulting from the death of the Owner; 1. A transfer by the Owner where the spouse or domestic partner becomes a co-owner of the Inclusionary Unit: A transfer of title to a spouse or domestic partner as part of divorce or dissolution proceedings; and A transfer by the Owner into a trust in which the Owner or Owners are beneficiaries, provided that the Owner or Owners continue to maintain the Inclusionary Unit as their Primary Residence, 4, A transfer by the Owner of a non -possessory interest in the Property, such as an easement or license for utilities or other like purposes; the granting of ingress or egress rights over or across the Property or a portion thereof; or a modification to the non-exclusive common area rights of any Owner located in a common interest subdivision development. 5. A condemnation, or conveyance in lieu of condemnation, that does: not preclude the Owner's continued use and occupancy of the Incluslonary Unit, such as a street widening or other Incidental taping that does not preclude continued occupancy of the Inclusionary Unit, or a taking of an Interest In a portion of the common area appurtenant to any Inclusionary Unit located In a common interest development. Extraordinary Sale means a sale of the Inclusionary Unit to a buyer who is not an Eligible Purchaser,: when an Eligible Purchaser has not been secured within h7r.143slonar¢ Housing Coven7ntn r7c+ulnrzWtion Assumption Agroameart �page5 Aug i,sf '11, 2014 75C-171 the timeframes required by this Inciusionary Housing Covenants Declaration, and the City has opted not to exercise the City's Purchase Option within the timeframes allowed pursuant to this Inciusionary Housing Covenants Declaration Fair Market Value means the value of the Inciusionary Unit under normal circumstances in which the seller and the buyer freely negotiate the terms of the transfer of ownership. The Fair Market Value must be established by a licensed Real Estate agent based on three comparable properties. H&SG shall mean the California Health and Safety Code Inciusionary Housing Covenants Declaration means the Declaration of Inciusionary Housing Covenants, Conditions and Restrictions. Inciusionary Unit means the completed affordable owner -occupied housing unit, that is being purchased by the Truster. Moderate Income refers to Households whose Incomes meet the standard's defined by the H&SC Section 50093, Generally, Moderate Income means household Income that does noit exceed 120% of the County Median Income, as adjusted for Household size. The maximum household Income amount for Moderate Income Households shall be set at the amount published by HCD annually. Moderate Income Household shall mean individuals or Households who have an adjusted Gross Income that does not exceed Moderate Income. Ordinance means the Housing Opportunity Ordinance adopted by the City Council on November 7, 2011, which Is codified in Article XVIIIA Section 41- 1900 at seq. of the City's Municipal Code. Owner means the current owner of the Inciusionary Unit, Primary Residence is defined as the only home that may be owned by the Owner. The Owner must reside In the Inciusionary Unit for not less than 10 out of every 12 months. Property means the real property on which the Project is to be developed, for which the legal description is provided In Exhibit 1 to this City Geed of Trust. Rents means all rents, issues, profits, royalties, revenues, income and other benefits derived from the Property. IncluaSnnary rlaaising i.',�2vsoanps f?eclsraban PA90 Ej Assumption Agreement August 11, 2014 75C-172 Senior Lender means a bank, savings and loan association, Insurance company, pension fund, publicly traded real estate investment trust, governmental agency„ charitable organization or other governmentally regulated entity regularly engaged in making residential real estate loans. Senior Loan means a purchase money loan of funds to be used by the Homebuyerfor financing the acquisition of the Inclusionary Unit, or a refinancing approved by the City, which loan Is in a lien position prior to the Inclusionary Housing Covenants Declaration, Supportable Mortgage Means the mortgage amount that can be supported by a Moderate Income Household basedon the Affordable Housing Cost calculations. The mortgage calculation is based on the prevailing market interest rate for a 30- year fully amortizing mortgage with a fixed Interest rate, See Section VI-B of the Administrative Procedures Manual for an explanation of the calculation methodology. Trustee means the title company that insures title for the Inclusionary Unit that is subject to the City Deed of Trust. Trustor means the Trustor that enters into the City Deed of Trust that secures the City Shared Appreciation Loan, htcluslnna y Housing Covenants Dedararwin Assumption Agrecrnont 75C-173 -- Page i August 11, 2014 ARTICLES 1. Grant in Trust. Trustor, in consideration of the promises herein recited and the trust herein created, hereby irrevocably and unconditionally grants, transfers, conveys and assigns to Trustee, in trust for the benefit of Beneficiary, with power of sale, all estate, right title and interest which Trustor now has or may later acquire the Property together with all of the following: all improvements now or hereafter located or constructed on the Property and all replacements and additions thereto; all easements, rights of way, appurtenances and other rights used In connection with the Property or as a means of access thereto; all fixtures now or hereafter attached to or used in and about the Property or the improvements located thereon or hereafter located or constructed on the Property, and all renewals or replacements thereof or articles in substitution therefor, whether or not the same are, or shall be attached to the improvements in any manner; and all leases, subleases, licenses and other agreements relating to use or occupancy of the Property„ and all rents or other payments that may now or hereafter accrue or otherwise become payable to or for the benefit of Trustor (whether or not such teases and Rents are permitted by the Inclusionany Housing Covenants Declaration). All of the above -referenced Property, improvements, appurtenance, fixtures and equipment, leases and rents are herein referred to collectively as the "Security" 2. Secured Obligations. Trustor makes the grant, conveyance, transfer and assignment herein for the purpose of securing payment and performance of the following: (a) the City Share of Excess Proceeds in the event of an Extraordinary Sale or a foreclosure sate; and (b) Trustor's obligations under the term of the Inclusionary Housing Covenants Declaration. 3. Maintenance and Repair. Truster shall (a) keep the Property in good condition and repair and not remove or demolish any building; (b) complete or restore promptly and in goad and workmanlike manner any building which may be constructed, damaged or destroyed; (c) pay when due all claims for Labor performed and materials furnished; (d) comply with all laws affecting the Property or requiring any alterations or improvements to be made; (a) not commit or permit waste; and (f) cultivate, irrigate, fertilize, fumigate, prune and do all other acts which from the character or use of the Property may be reasonably necessary. Inrluslo ix9ry Wuu9inq Ceverwa.n45 C7eolE3ra2ton Assumption Agreement August 11, 2014 75C-174 4, Insurance. Trustor shall maintain hazard Insurance against loss by fire, hazards included with the term "extended coverage," and any other hazards for which Beneficiary requires insurance, and liability insurance. The Insurance carrier and the insurance policies and amounts of coverage shall set at the full replacement value of the Inclusionary Unit based on the then current City Building Code. The liability policy shall name Beneficiary as an additional insured, and shall require 30 days' prior notice to Beneficiary before the policy is modified or terminated. 5. Defense of Security. Trustor shall appear in and defend any action or proceeding purporting to affect the security or the rights or powers of Beneficiary or Trustee. Trustor shall pay all costs and expenses, including costs of evidence of title and attorneys' fees, in any such, action or proceeding in which Trustee or Beneficiary may appear, and in any suit brought by Beneficiary to foreclose this City Deed of Trust. 6. Payment of Taxes and Liens. Trustor shall pay (a) at least 10 days before delinquency, all taxes and assessments affecting the Property, including water stock assessments; (b) when due, all encumbrances, charges and liens, with interest, on the Property, which are or appear to be prior or superior to this City Deed of Trust; and (d) upon demand all costs, fees and expenses of this City Deed of Trust. If Trustor falls to make any payment or to do any act provided for in this City Deed of Trust, then Beneficiary or Trustee may, without obligation to do so, and with or without notice to or demand upon Trustor, and without releasing Trustor from any obligation under this City Deed of Trust: (i) make or do the same in such manner and to such extent as either may deem necessary to protect the security, Beneficiary or Trustee being authorized to enter upon the Property for such purposes; (ii) appear in or commence any action or proceeding purporting to affect the security, or the rights or powers of Beneficiary or Trustee; (M) pay, purchase, contest or settle any encumbrance, charge or lien which in the judgment of either appears to be senior to this City Creed of Trust; and (Iv) in exercising any such powers, pay allowable expenses, including attorneys' fees. 7. Re!mbursement of Costs. Trustor shall pay upon demand all sums expencled by Beneficiary or Trustee provided for In this City Deed of Trustor allowed by law, with interest from date of expenditure at the maxi --mum rate allowed by law. Ind iOoflary iiOWIlIg CeveWnts DedaraEion Assumption Agreement. --i5ad: 9 August I!, 201d 75C-175 8, No Waiver. By accepting payment of any sum after its due date, Beneficiary does net waive its right either to require prompt payment when due of all other sums or declare a default for failure to pay. 9. Reconveyance, That upon written request of Beneficiary stating that the Secured Obligations have been fulfilled, and upon surrender of this City [deed of Trust, Trustee shall reconvey, without warranty, the property then held hereunder. The recitals of such reoonveyance of any matters or facts shall be conclusive proof of the truthfulness thereof. The grantee in such reconveyance may be described as "the person or persons legally entitled thereto." 10, default and Foreclosure. Upon default by Trustor in performance of any Secured Obligation, Beneficiary may deliver to Trustee a declaration of default and demand for sale and of a notice of default and a notice of sale, which notice Trustee shall cause to be filed for record, Beneficiary also shall deposit with Trustee this City Deed of Trust and all documents evidencing the Secured Obligations and expenditures, if any, secured by this City feed of Trust. Upon default of any obligation secured by this City Deed of Trust and acceleration of all sums due, if any, Beneficiary may instruct Trustee to proceed with a sale of the Property under the power of sale granted in this City Deed of Trust, noticed and held in accordance with California Civil Code Sections 2924, at sect., as such statutes may be amended from time to time. Trustor waives all rights it may have to require marshaling of assets or to require sales of assets in any particular order, including any rights under California Civil Code Sections 2899 and 3433, 11. Substitution of Trustee. Beneficiary, or any successor beneficiary of the Secured Obligations or of any indebtedness secured hereby, may from time to time, by instrument in writing, substitute a successor or successors to any Trustee named herein or acting hereunder, which instrument executed by the Beneficiary and duly acknowledged and recorded in the office of the recorder of the county or counties where the Property is situated, shall be conclusive proof of proper substitution of such successor Trustee or Trustees, who shall, without conveyance from the Trustee predecessor, succeed to all its title, estate, rights, powers and duties. Said instrument must contain the name of the original Trustor; Trustee and Beneficiary hereunder, the book and page where this City deed of Trust is recorded and the name and address of the new Trustee. __— IncWsienTry'Hotisinca Covenants l7aclantlon Assumption Agronianl Range 10 August 11, 2014 75C-176 12, Successors and Assigns. This City Deed of Trust applies to, Inures to the benefit of, and binds all parties hereto„ their heirs, legatees, devisees, administrators, executers, successors and .assigns. The term "Beneficiary" shall mean the holder, including pledgees, of the covenants set forth in the Incluslonary Housing Covenants Declaration whether or not named as Beneficiary herein. 13. Trustee Acceptance, Trustee accepts this trust when this City Deed of Trust, duly executed and, acknowledged, is made a public record as provided by law. Trustee is not obligated to notify any party hereto of pending sale under any other deed of trust or of any action or proceeding in which Trustor, Beneficiary or Trustee shall be a party unless brought by Trustee. 1.4. Further Assurances. 'Trustor shall, at its awn cost and expense, do, execute, acknowledge, and deliver all and every such further acts, deeds, conveyances, mortgages, assignments, notices of assignments, transfers, and assurances as Trustee or Beneficiary shall from time to time require, for better assuring, conveying, assigning, transferring, and confirming unto'Trustee the Property and rights hereby conveyed or assigned or intended now or hereafter sea to be, or which Trustor may be or may hereafter became bound to convey or assign to Trustee, or for carrying out the intention or facilitating the performance of the terms of this City deed of Trust, or for filing, registering, or recording this City Deed of Trust. Trustor shall„ on demand, execute ,and deliver, and hereby authorizes Trustee and Beneficiary, or either of them, to execute in the name of Trustor, to the extent it may lawfully do so, one or more financing statements, chattel mortgages, or comparable security instruments„ to evidence more effectively the lien hereof. Immediately upon the execution and delivery of this City Deed of Trust, and thereafter from time to time, Trustor shall cause this City Deed of Trust, and any security instruments creating a lien or evidencing the lien hereof upon any personal property and each instrument of further assurance, to be filed, registered, or recorded in such manner and in such places as may be required by any present or future law in order to publish notice of and fully to protect the Bien hereof upon, and the title of Trustee to, the Property encumbered hereby. 15. Condemnation and Insurance Proceeds. Immediately upon obtaining knowledge of the institution of any proceedings for the condemnation or other taking of all or any portion of the Property, or knowledge of any casualty damage to the Property, or damage In any other manner, Trustor shall immediately notify Beneficiary thereof. Trustor hereby authorizes and h�lustrnaey Fkau�inr� GtSVa?nrltlSB raciarziFon Assumption Agmenteiirt 75C-177 Page I August41,2014 empowers Beneficiary as attorney -in -fact for Truster to make proof of loss, to adjust and compromise any claim under the insurance policies covering the Property, to appear in and prosecute any action arising from such insurance policies, to collect and receive insurance proceeds, and to deduct therefrom Beneficiary's expenses incurred in the collection of such proceeds; provided, however, that nothing contained in this Section shall require Beneficiary to incur any expense or take any action hereunder. Trustor hereby authorizes and empowers Beneficiary, at Beneficiary's option, as attorney -in -fact for Trustor, to commence, appear in and prosecute, in Beneficiary's or Truster's name, any action or proceeding relating to any condemnation or other taking of all or any pert of the Property, whether direct or indirect, and to settle or compromise any claim In connection with such condemnation or other taking. The proceeds of any award payment or claim for damages, direct or consequential, in connection with any condemnation or other taking, whether direct or Indirect, of the Property, or any part thereof, or for conveyances in lieu of the Property, or any part thereof, shall be paid to Beneficiary. The foregoing powers of attorney are coupled with an Interest and are irrevocable. Trustor hereby authorizes Beneficiary to apply such awards, payments, proceeds or damages relating to condemnation of the Property and insurance covering the Property, after the deduction of Beneficiary's expenses incurred in the collection of such amounts, at Beneficiary's option, subject to the requirements of applicable taw and the provisions hereof, to restoration or repair of the Property or to payment of the sums secured by this City Deed of Trust. Beneficiary shall be under no obligation to question the amount of any compensation, awards, proceeds, damages, claims, rights of action, and payments relating to condemnation or other taking of the Property or insured casualty affecting the Property, and may accept the same in the amount in which the same shall be paid, Trustor shall execute such further evidence of assignment of any awards, proceeds damages or claims arising in connection with such condemnation or taking or such insurance as Beneficiary may require. 16. Seuerabitity. If any one or more of the provisions contained in this City Deed of Trust shall for any reason be held to be Invalid, illegal, or unenforceable in any respect, such invalidity, illegality, or unenforceability shall not affect any other provisions of this City geed of Trust, but this City Deed of Trust shall be construed as if such invalid„ illegal, or unenforceable provision had never been contained herein or therein, but only to the extent of such invalidity. .. __�..- -- fncluglnnary Hatsinp Ce+;e—nanls C7pcleratien Assumption Agreement Pape 12 August 11, 2014 75C-178 17. Estoppel Certificate, Trustor shall, within ten ('Ili) days of a written request from Beneficiary, furnish Beneficiary with a written statement, duly acknowledged, setting forth the sums secured by this City peed of Trust and any right of set-off, counterclaim or other defense which exists against such sums and the obligations of this City Deed of Trust. 18. Clue -On -Sale or Encumbrance. Except for Exempt Transfers approved by the Clty, if all or any part of the Property, or any interest therein, or any beneficial interest in Trustor (if Trustor is not a natural person or persons but is a corporation, partnership, trust, limited liability company or other legal entity), is sold, transferred, mortgaged, assigned', pledged, or further encumbered, whether directly or indirectly, whether voluntarily or involuntarily or by operational law, Beneficiary may, at Beneficiary's option invoke any remedies permitted by this City Deed of Trust. 19. Subordination. This City Dead of Trust shall be subordinate to the Senior Loan, so long as the Senior Lender agrees to the default and foreclosure provisions set forth in the Inclusionary Housing Covenants Declaration, or other alternative provisions proposed by the Senior Lender„ and acceptable to the City in its sole discretion. In the event the City fails to timely cure a default under such Senior Loan, and the Senior Lender proceeds with foreclosure, or deed in lieu of foreclosure, of such Senior Loan, then any provisions herein or in any other collateral agreement restricting the use of the Inclusionary Unit to Moderate income households or otherwise restricting the Senior Lender's ability to sell the Inclusionary Unit based upon Income qualification of the purchaser shall terminate and shall have no further force or effect on subsequent owners or purchasers of the Inclusionary Unit. In that event, any person, including the Senior Lender's successors and assigns, receiving title to the Inclusionary Unit through foreclosure, or deed in lieu of foreclosure, of such Senior Loan shall receive title to the Property free and clear from such restrictions. The City shall promptly execute, acknowledge and deliver for recordation such subordination documents or agreements as necessary to confirm the foregoing subordination. -- Inclllslonary 7-lou5e rg Czavanantt Dewlarafiun ..-----'�Pago 93 Assumplfon AgroEment 75C-179 Aups8 11, 2014 The undersigned Trustor requests that a copy of any Notice of Default and of any Notice of Sale hereunder be mailed to Trustor at Trustor's address hereinbefore set forth. TRUSTOR: By: Name: By: Name: Incl4isionn�y Noising Cnr�nants C1crAaratiorr Pngo 14 Asnamptlon Acpreement August 11, 2014 75C-180 EXHI BIT I LEGAL DESC Situated in the State of California, City of Sang Ana, County of Orange, and described as follows; (,Insert legal description] Dew] of Trusi - L"11 IJescriptwn - - gaga F City of Santa Ana 75C-181 fAdd NotarvAcknowledpmentsi Deed of Trust -- Notary Acknoadedynrnnnts Pa f] a 1 City of Santa Ana 75C-182 Inciusionaty Hooslng Agrnorn4nl - Cnnnnrsi�ip Prajecs City & Sama Ana 75C-183 AFfORDARLE SALES PRICE CALCULATIONS MODISRATE INCOME HOUSEHOLDS SECTION 50052.5 CALCULATIONS; 2016 HOUSING OPPORTUNITIES ORDINANCE SANTA ANA, CALIFORNIA 1-Rdrm 2-Rdrrn 3-8firm 4-Ddnn Income Rencbmark Household Size 2 3 4 5 Household Income $76,725 $E6,150 $95,920 $103,620 % of Income Allocated to(lousing 35% 35% 35% 35% Income Allotted to l Lousing $2o050 $301220 $33,570 $,46,270 OnuolnR Expenses utilities(orange County Hou5ing Authority l/if20161 S1,1L4 $1,248 $1,776 $1,992 Maintenance & Insurance 2,10u 2,,400 2,700 3,000 Property Taxes Ca 1.167; of Affordable Price 3,968 4,458 4,888 5,25E Total Expenses $1,272 $8,i06 59,364 $LW48 Income Available for Mortgage $19,678 S22,114 $24,206 $26,022 A#fordable bloustne Price Supportable Mtg @ 3.15%Interest $354,100 5397,900 $435,000 $468,200 Home Buyer Down Pynet Cal 5%Affordable Price 17XV 19,200 21,100 22,.700 Maximum Purchase Price $371,200 $417,300 $4%,700 $490,900 Updated April 2016 Prepared bp=Keyser Nar9ion Associa lr. 5, In(. File name; 1-190 Affordable. Sale Prim u icuarinn TamplzTF- t)poated April 2D16; 201G 15l 4h Own SA (21 PaEe 1 of 1 75C-184 DEVELOPER'S PHASING MAP Inclusfonnry Housing Agreement- ov+nurshlp project City of Santa Ana 75C-185 A Wi ffl 6�� �nNnAV DIJIDVJ Yj u 0 0) 4 75C-1 86 LEGAL DESCRIPTION OF INCLUSIGNARY UNITS Inrtuaianary hluutir+g P.groe+tt er7t—Ciwnar,hip F}mgecl City of Santa Any 75C-187 75C-188 LS 3,31.16 RESOLUTION NO. 2016-XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING MITIGATED NEGATIVE DECLARATION AND MITIGATION MONITORING AND REPORTING PROGRAM, ENVIRONMENTAL REVIEW NO. 2015-09, GENERAL PLAN AMENDMENT NO. 2016-02 AND TENTATIVE TRACT MAP NO. 2016-02 FOR THE PROPERTIES LOCATED AT 1506 THROUGH 1548 WEST FIRST STREET BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The Olson Company is requesting the approval of General Plan Amendment No. 2016-02 to amend the General Plan land use designation from General Commercial (GC) to Urban Neighborhood (UN) and Tentative Tract Map No. 2016-02 to allow the construction of the First and Pacific townhome development project that would include 62 for -sale townhomes on a 2.47- acre parcel of land. B. The Olson Company is proposing to construct the 62-unit project subject to the City's Housing Opportunity Ordinance, which will require the assignment of 9.3 townhomes as affordable units. C. On April 11, 2016, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council: (1) adopt a resolution approving the Mitigation Monitoring and Reporting Program, (2) adopt a resolution approving General Plan Amendment No. 2016-02, and (3) adopt a resolution approving Tentative Tract Map No. 2016-02 for the proposed project. D. On May 3, 2016, the City Council of the City of Santa Ana held a duly noticed public hearing to consider all testimony, written and oral, related to Environmental Review No. 2015-09, General Plan Amendment No. 2016- 02, and Tentative Tract Map No. 2016-02, at which time all persons wishing to testify were heard, the project was fully considered, and all other legal prerequisites to the adoption of this Resolution occurred. EXHIBIT E Resolution No. 2016-XXX Page 1 of 9 75C-189 E. General Plan Amendment No. 2016-02 has been filed to amend the General Plan to change the land use designation from General Commercial (GC) to Urban Neighborhood (UN). Currently, the land use designation for this site is General Commercial (GC), which allows commercial developments and uses. This project will require amendments to the Land Use Element, including amending the General Plan Land Use designation to Urban Neighborhood (UN) with a General Plan floor area ratio of 1.0. 2. The proposed project will support several goals and policies of the Housing Element. First, the project would be consistent with Goal 2, which encourages diversity of quality housing, affordability levels, and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels and age groups to foster an inclusive community. Second, the project would support Goal 4, to provide adequate rental and ownership housing opportunities and supportive services. Further, the project would be consistent with several Housing Element policies: Policy HE-2.4 to facilitate diverse types, prices and sizes of housing; and Policy HE-2.6 to provide an affordable component within eligible ownership housing projects. 3. The City Council has weighed and balanced the General Plan's policies, both new and old, and has determined that based upon this balancing that General Plan Amendment No. 2016-02 is consistent with the purpose of the general plan. F. Tentative Tract Map No. 2016-02 has been filed seeking approval of a tentative tract map to allow a single lot subdivision for condominium purposes to allow the townhomes to be for individual sale. To adopt a Tentative Tract Map, California Government Code Section 66474 requires the following findings: Resolution No. 2016-XXX Page 2 of 9 The proposed project, as conditioned, and its design and improvements are consistent with the District Center designation on the General Plan and are otherwise consistent with all other elements of the General Plan, The proposed subdivision, Tentative Tract Map No. 2016-02, will be consistent with the proposed Urban Neighborhood land use designation and density prescribed and all other elements of the General Plan, 75C-190 Land Use Element Policy No. 1.4 promotes the maintenance and fostering of a variety of residential land uses In the City. Further, Housing Element Policy HE-2.4 encourages projects that facilitate diverse types, prices and sizes of housing and Policy HE-2.6 supports projects that provide an affordable component within eligible ownership housing projects The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. The proposed subdivision conforms to the requirements and intent of the provisions of the State of California Subdivision Map Act. Further, the map is in keeping with the Site Plan Review (Development Project No. 2015-3) and Chapter 34 and 41 of the Santa Ana Municipal Code. Covenants, Conditions and Restrictions (CC&Rs) are required for the project, which need to be approved by the City prior to City Council approval of the final map. iii. The project site is physically suitable for the type and density of the proposed project. There are no physical constraints on the site that would preclude development. The proposed site consists of approximately 2.47 acres of land and is physically suitable for the development as proposed. Access to the site will be relocated from First Street, a major arterial, to Walnut Street, a secondary street.. iv. The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat. A mitigated negative declaration was prepared pursuant to the California Environment Quality Act for the project. The project site is located in an urbanized area, and there are no known fish or wildlife populations existing on the project site. Therefore, Resolution No. 2016-XXX Page 3 of 9 75C-191 the proposed subdivision will not cause any substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. V. The design or improvements of the proposed project will not cause serious public health problems. The proposed subdivision will not have any detrimental effects upon the general public. The short-term and long-term impacts identified in the mitigated negative declaration as it pertains to air quality, cultural resources, soils and liquefaction, hazardous materials and noise can be mitigated to a level of less than significant through the adoption and implementation of specific mitigation measures. vi. The design or improvements of the proposed project will not conflict with the easements acquired by the public at large for access through or use of property within the proposed project. There is no easement for public access currently existing on this property.. Therefore, the proposed project will not conflict with easements necessary for public access through or use of the property. Section 2. The City Council has reviewed and considered the information contained in the Initial study and the mitigated negative declaration (MND) and Mitigation Monitoring and Reporting Program, Environmental Review No. 2015-09, prepared with respect to this project. The City Council has, as a result of its consideration and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act (CEQA) and the State CEQA Guidelines, an MND and Mitigation Monitoring and Reporting Program adequately addresses the expected environmental impacts of this project. On the basis of this review, the City Council finds that there is no evidence from which it can be fairly argued that the project will have a significant adverse effect on the environment. The City Council hereby certifies and approves the MND and Mitigation Monitoring and Reporting Program and directs that the Notice of Determination be prepared and filed with the County Clerk of the County of Orange in the manner required by law. Pursuant to Title XIV, California Code of Regulations (CCR) § 735.5(c)(1), the City Council has determined that, after considering the record as a whole, there is no evidence that the proposed Project will have the potential for any significant adverse effect on wildlife resources or the ecological habitat upon which wildlife resources Resolution No. 2016-XXX Page 4 of 9 75C-192 depend. The proposed Project exists in an urban environment characterized by paved concrete, roadways, surrounding buildings and human activity. Mitigation measures in the Mitigation Monitoring and Reporting Program will prevent any significant adverse effects resulting from removal of existing trees on the project site on wildlife resources or ecological habitats. However, pursuant to Fish and Game Code § 711.2 and Title XIV, CCR § 735.5, the payment of Fish and Game Department filing fees in conjunction with this project is at the discretion of the State of California Department of Fish and Wildlife. Section 3. Pursuant to Public Resources Code section 21081.6, the City Council hereby adopts the Mitigation Monitoring and Reporting Program attached hereto as Exhibit A and incorporated herein by this reference as a condition of approval of the project. The City finds that Mitigation Monitoring and Reporting Program is designed to ensure that, during the implementation of the Project, the City and any other responsible parties implement the components of the Project and comply with the mitigation measures identified in the Mitigation Monitoring and Reporting Program. Section 4. The City Council of the City of Santa Ana after conducting the public hearing hereby approves: A. Mitigated Negative Declaration and Mitigation Monitoring and Reporting Program, Environmental Review No. 2015-09. B. General Plan Amendment No. 2016-02. C. Tentative Tract Map No. 2016-02 as conditioned (Exhibit B). These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated May 3, 2016, and exhibits attached hereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Section 5. This Resolution shall not be effective unless and until Ordinance No. NS- (AA No. 2016-02) becomes effective. If said ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise do not go into effect for any reason, then this resolution shall be null and void and have no further force and effect. Section 6. 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 sole negligence of the City of Santa Ana. Resolution No. 2016-XXX Page 5 of 9 75C-193 Section 7. These decisions rendered by the City Council of the City of Santa Ana are final and are subject to judicial review pursuant to California Code of Civil Procedure section 1094.6, The Planning and Building Agency shall give direct notice to the applicant of the City Council's decisions and these findings. ADOPTED this ____ day of 2016. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2016-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on 2016. Date: Resolution No. 2016-XXX Page 6 of 9 Clerk of the Council City of Santa Ana 75C-194 Exhibit A California Environmental Quality Act Mitigation and Monitoring Program Resolution No. 2016-XXX Page 7 of 9 75C-195 Lead Agency: City of Santa Ana Planning and Building Agency 20 Civic Center Plaza Santa Ana, CA 92701 (714)667-2713 Project Proponent: The Olson Company 3010 Old Ranch Parkway, Suite 100 Seal Beach, CA 90740 (562)596-4770 Environmental Consultant: Phil Martin & Associates 4860 Irvine Boulevard, Suite 203 Irvine, California 92620 (949)454-1800 March 31, 2016 EXHIBIT A 75C-196 1.0 MITIGATION MONITORING AND REPORTING PLAN 1.1 Introduction This is the Mitigation Monitoring and Reporting Plan (MMRP) for the First and Pacific residential project. It has been prepared pursuant to the requirements of Public Resources Code §21081.6 which, among other things, states that when a governmental agency adopts or certifies a CEQA document that contains the environmental review of a proposed project, "The public agency shall adopt a reporting or monitoring program for the changes made to the project or conditions of project approval, adopted in order to mitigate or avoid significant effects on the environment. The reporting or monitoring program shall be designed to ensure compliance during project implementation." The City of Santa Ana is the lead agency for the project, and is therefore, responsible for administering and implementing the MMRP. The decision -makers must define specific reporting and/or monitoring requirements to be enforced during project implementation prior to final approval of the proposed project. 1.2 Project Overview The project applicant proposes the development of 62 three-story attached for -sale residential units in eleven separate buildings on a 2.47 acre site. The project includes four 2-bedroom units and fifty-eight 3-bedroom units at a density of 25.83 units/acre. The existing vacant commercial buildings on the site will be demolished to allow the development of the proposed residential units. 1.3 Monitoring and Reporting Procedures This MMRP includes the following information: (1) mitigation measures that will either eliminate or lessen the potential impact from the project; (2) the monitoring milestone or phase during which the measure should be compiled with or carried out; (3) the enforcement agency responsible for monitoring mitigation measure compliance; and (4) the Initials of the person verifying the mitigation measure was completed and the date of verification. The MMRP will be in place through all phases of a project including project design (preconstruction), project approval, project construction, and operation (both prior to and post - occupancy). The City will ensure that monitoring is documented through periodic reports and that deficiencies are promptly corrected. The designated environmental monitor will track and document compliance with mitigation measures, note any problems that may result, and take appropriate action to rectify problems. Each mitigation measure is listed and categorized by Impact area, with an accompanying discussion of: The phase of the project during which the measure should be monitored; ❑ Project review and prior to project approval o During grading or building plan check review and prior to issuance of a grading or building permit ❑ On -going during construction ❑ Throughout the life of the project The enforcement agency; and First and Pacific Residential Project - Mitigated Negative Declaration March 31. 2016 Mitigation Monitoring and Reporting Plan Page t 75C-197 The initials of the person verifying completion of the mitigation measure and date. The MMP is provided as Table 1 (Mitigation and Monitoring Reporting Program). First and Pacific Residential Project— Mitigated Negative Declaration March 31, 2016 Mitigation Monitoring and Reporting Plan Page 2 75C-198 c E m (D .C� E C p O 'w N L y ' 0 O w C N G 'C7 ftf � 61 � rt.r ! C O ` 145 (D � cr U U 0 Lu a a�� m a am o G) U u -5 E (L O a a `c C C !0 O c D o N D C o t O) O L. R E y O:5 U 5 _ W. h- D 'a d1 =. p O O CL U 0 U UG1 4 _ >.:t' Vt pNp77 N N L ?, .0 .0 L� "' C O O Ol C N = N tU N tU G G U -O @ .N ro U N 6) O cU N O D N .`- d E a Q E O N `) .0 0 N "O w O >, (o N .QU U (D a ro 'S 4. N N O m ,.�"i W 4-'O CL O Gi � N y, p N C m 0,-,- N N .'G-' N. > 0) 0 CD Q (6 U T O N 'a w. _ .@ M O O D G 4 �. - C 0_ -0 O N C N m C 0 C _ ti N E C .-. C [6 0.9 T„4) .L. Q N N C B N C N m` ro N N N (U 4 - ,�-+ Q D. O qO E m 4 O g v E 4 En D q UQ'o nroS N "O> 4 D mro o DcvU N ro i o m �Uv E O r • r r e 0m IL 4 w N oa a Z 4 E2 75C-199 E 0 0 r_ U) 0) co tm '10iti O. r ! C .2 0. -0'0 0 ".— c Q 0 > . . . . . ....... CL 0 m E 2 C C 0 =) 0 0— aCc 2 :3 iE5 tm LL 0 2 w (D Er cl. 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Q) -0 co a) l) Q 0 a Ei u 4Q 1 '0 1 f� U) 0 a) 0 -Z 'n 0 (D ct� 0 C5 -0 — 0 C6 q) Z,—.cu a) 0 Q) .9z C4 a z CO 0 0 Ei z '0 Q) rz Z, GO) 0 U.co '5 m a m �z 2 — � 0, �ID (U 0 CD Z3 'U m T Z3 Q) C qU 'o U,— E Q) r Co Q) 0) �m 'OD -�4 CZ CU -lZ Im t3 co 10 Cj 7E 0 a) q) N m x� rn 0 tz S: q Q, -Z I- .0 L" ICUQl> 0 E 0 z Zjz a 0 75C-202 0 U y o c 0 N 'y m m Q N o < U a N 0. O G c C c C C O O 03 CL O :p O ''U 61 Win' �m am O G Q. v � O ( b •( O @ O (Q (D 4) p p U k E� — p U roc G. O C U LL I'•' 2 C C O .LC ~ U m Mom .o c -o ,.., '` .0 O` a � N m e OL c Co OJ N O N L.v C q O O.'O 05 E. M �QO} to N O O >1 C c.fl C 0.��' ~ C Ti N O E C ,... "O c N 07 C O U N r O t0 u C OJ O p c o N� o m c E' �. m 'O <'w ro OU N N 0 ti N LL `- N C O c C 0 N. O N C f.) X �• 01 > 'O O� N N° E (cn"o c° o,= o "m o m m c C3 N o a c4 ar E N u C a O 4� EtV M m Z — m z 75C-203 1y7.\,IlSl VII Tentative Tract Map No. 2016-02 Conditions of Approval Tentative Tract Map No. 2016-02 (County Map No. 17979) is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this vesting tentative tract map. The applicant must remain in compliance with all conditions listed below throughout the life of the tentative tract map. Failure to comply with each and every condition may result in the revocation of the vesting tentative tract map. A. Planning Division Comply with all conditions and requirements from the Development Review Committee (DRC) for the development project (DP No. 2015-03). 2. The Covenants, Conditions and Restrictions (CC&Rs) for this project must be reviewed and approved prior to approval of the final tract map. 3. All real estate signage must be removed from the site within one year from the date of installation. An extension of time may be granted as determined by the Planning Manager. 4. The final map must be approved and recorded prior to issuance of building permits. 5. The final map and all improvements required to be made or installed by the subdivider must be in accordance with the design standards and specifications of the Santa Ana Municipal Code and the requirements of the State Subdivision Map Act. 6. Development within the area of the map is subject to development and permit fees in effect at the time of permit issuance. 7. Development within the area of the map is subject to design and development standards in effect at the time of permit issuance. Resolution No, 2016-XXX Page 8 of 9 75C-204 8. Two copies of the recorded final map and CC&Rs shall be submitted each to the Planning Division, Fire Department, Building Division, and Public Works Agency within 10 days of recordation. 9. A detailed landscape plan must be reviewed and approved prior to issuance of any building permits. In addition to the landscaping palette, the plan shall include details on the hardscape design, lighting concepts and outdoor furniture. At a minimum, the project shall incorporate the amount and size of landscaping as shown on the preliminary landscaped plans dated March 16, 2016. The exact specifications for these items are subject to the review and approval of the Planning Division. 10. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy as required by the approved plans. 11, Development, operational and maintenance standards shall be established for the number, style and location of outdoor seating. The seating shall be made of a durable material such as concrete or painted iron and be designed to minimize effects from vandalism, skateboarding and weather. This seating shall be reviewed and approved in conjunction with the landscape plan and must be submitted prior to building plan check. 12. The project shall be in compliance with all mitigation measures identified in the mitigated negative declaration. B. PUBLIC WORKS AGENCY 1. Prior to submittal into building plan check, submit and receive approval of a Trash Operations Plan and obtain a will serve letter from the City's trash hauler. Resolution No. 2016-XXX Page 9 of 9 75C-205 75C-206 LS 4.1.16 ORDINANCE NO, NS-XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REZONING FOUR PROPERTIES LOCATED AT 1506 THROUGH 1548 WEST FIRST STREET FROM GENERAL COMMERCIAL (C-2) AND SINGLE FAMILY RESIDENCE (R-1) TO SPECIFIC DEVELOPMENT NO. 90 (SD-90) (AA NO. 2016-02) AND ADOPTING SPECIFIC DEVELOPMENT NO, 90 (SD-90) FOR SAID PROPERTIES THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana does hereby find, determine and declare as follows: A. Amendment Application No. 2016-02 has been filed with the City of Santa Ana to change the zoning district designation of certain real properties located at 1506, 1534 and 1548 West First Street from General Commercial (C-2) and Single -Family Residence (R-1) to Specific Development No. 90 (SD-90). Further, the City is proposing to change the zoning of a parcel located at 1526 West First Street from General Commercial (C-2) to Specific Development No. 90 (SD- 90). The Specific Development No. 90 zoning district (SD-90) would allow the development of the First and Pacific townhome development project, which would include 62 townhomes on a 2.47 acre parcel of land and allow the existing single-family residence to remain. B. The Planning Commission of the City of Santa Ana held a duly noticed public hearing on April 11, 2016, on Amendment Application No. 2016-02 and recommended that the City Council adopt an ordinance approving Amendment Application No. 2016-02, which is consistent with the General Plan, as amended by General Plan Amendment No. 2016-02. C. This City Council, prior to taking action on this ordinance, held a duly noticed public hearing on May 3, 2016. D. The City Council also adopts as findings all facts presented in the Request for Council Action dated May 3, 2016 accompanying this matter. Exhibit F 75C-207 LS 4.1.16 E. For these reasons, and each of them, Amendment Application No. 2016-02 is hereby found and determined to be consistent with the General Plan of the City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. Section 2, The City Council has reviewed and considered the information contained in the Mitigated Negative Declaration and Mitigation Monitoring and Reporting Program (Environmental Review No. 2015-09) prepared with respect to this project. The City Council has, as a result of its consideration of the record as a whole and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act (CEQA) and the State CEQA Guidelines, Environmental Review No. 2015-09 meets all requirements of CEQA. Section 3. The real properties located at 1506 through 1548 West First Street in Santa Ana are hereby reclassified from General Commercial (C-2) and Single Family Residence (R-1) to Specific Development No. 90 (SD-90). An amended Sectional District Map, showing the above described change in use district designation, is hereby approved and attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. Section 4. Specific Development No. 90 (SD-90) attached hereto as Exhibit B and incorporated by this reference as though fully set forth herein is approved and adopted in its entirety. Section 5. This ordinance shall not be effective unless and until Resolution No. 2016- (Environmental Review No. 2015-09 and GPA No. 2016-02) and Ordinance No. 2016- (Amendment Application No. 2016-02) are adopted and become effective. If said resolution and ordinance are for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise does not go into effect for any reason, then this ordinance shall be null and void and have no further force and effect. Section 6. 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. 75C-208 LS 4.1.16 ADOPTED this ____ day of APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: deeea C-- Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: NOT PRESENT: Councilmembers Councilmembers 2016, Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2016, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 75C-209 LS 4.1.16 Sectional District Map 75C-210 Santa Ana J1 Community Commercial GC Government Center RE Residential Estate .! ,I -MD Community Commercial -Museum District M1 Light Industrial SD Specific Development 2 General Commercial M2 Heavy industrial SP Specific. Plan C4 Planned Shopping Center 0 Open Space TV Transit Village C5 Aderial Commercial P Professional UC Urban Center ; ,,OR Corridor Ri Single -Family Residence UN7 Urban Neighborhood l `+ OR Commercial Residential R2 Twc-Family Residence UN2 Urban Neighborhood PSM South Main Street Commercial District R3 Multiple -Family Residence n as c G 0 500 EXHIBITA Feet '31.asaci s �,�s^a x a a 75C-211 LS 4.1.1 B r C Specific Development No. 90 (SD-90) 75C-212 SPEC IPIC DEV E L O PNI ENT STANDARDS SPECIFIC DEVELOPMENT PLAN NO. 90 First and Pacific Project SECTION 1— ADDlicability of Ordinance The Specific Development Zoning District No, 90 (SD-90), as authorized by Chapter 41, Division 26, Section 41-593 et seq., of the Santa Ana Municipal Code, is subject to the standards and regulations contained in this plan for the express purpose of establishing land use regulations and standards. All other applicable chapters, articles, and sections of the Santa Ana Municipal Cade shall apply unless expressly waived or superseded by this ordinance. SECTION 2—Purpose The Specific Development Plan No. 90 for the First and Pacific Project consists of standards and regulations established for the purpose of protecting the health, safety, and general welfare of the people of the City of Santa Ana by promoting and enhancing the value of property and encouraging the orderly development of the property. SECTION 3 — Uses Permitted in Specific Development Plan No. 90 The following uses are peinritted in the SD-90 zoning district: a. One -family dwellings b. Multiple -family dwellings not exceeding a density of 26 dwelling units/acre. c. Accessory buildings and structures d. Community buildings e. One (1) temporary real estate office devoted to the sale of real estate in the tract in which it is located, which shall be used until all units close escrow, f. Home occupations, pursuant to section 41-192.1 et. seq. of the Santa Ana Municipal Code SECTION 4 • Uses Subject to a Conditional Use Permit in Specific. Development Plan No, 90 Any use which may be permitted in the R-2 district subject to the issuance of a conditional use permit pursuant to section 41-247.5 may likewise be permitted in the Specific Development Plan No. 90 subject to a conditional use permit SECTION 5 — Minimum Parcel Area in Specific Development Plan No. 90 The minimum parcel area is 2 acres. Existing parcels of land less than 2 acres in size will retain their legal nonconforming status. SECTION 6 — Minimum Street Frontage in Specific Development Plan No. 90 The Project (parcel) shall have a minimum street frontage of at least 200 feet. Existing parcels of land less than 2 acres in size will retain their legal nonconforming status. EXHIBIT B 75C-213 T STAA'DAROS SECTION 7—Building Height in Specific Development Plan No. 90 No primary structure shall exceed forty (40) feet or three (3) stories in height, as measured from the lowest adjacent grade of the structure to the top of the structure. SECTION 8 — Maximum Floor Area Ratio (FAR) in Specific Development Plan No. 90 The maximum FAR in Specific Development Plan No. 90 is 1.0. SECTION 9 —First Street setbacks in Specific Development Plan No. 90 There shall be a setback of not less than ten (10) feet as measured from the property line. Porches and architectural features may encroach no more than 50 percent into the required setback with a minimum distance of five (5) feet from the property line. SECTION 10 — Pacific Avenue setbacks in Specific Development Plan No. 90 There shall be a setback of not less than five (5) feet as measured from the property line. Cornices, eaves, chimneys, and similar architectural features may extend into the required setback a distance not to exceed three (3) feet. SECTION 11— Walnut Street setbacks in Specific Development Plan No. 90 There shall be a setback of not less than tan (10) feet as measured from the property line. Porches and architectural features may encroach no more than 50 percent into the required setback with a minimum distance of five (5) feet from the property line. SECTION 10 —Side vard setbacks in Specific Development Plan No. 90 A setback of not less than five (5) feet is required as measured from the property line. Cornices, eaves, chimneys, and similar architectural features may extend into the required side yard setbacks a distance not to exceed three (3) feet. SECTION 12 — Development Standards in Specific Development Plan No. 90 Lots in the SD-90 district shall comply with the following standards a. Front- and street -oriented side yards shall be landscaped, with the exception of approved driveways, utilities, sidewalks, and other hardscape features. b. The perimeter fencing for the structures cannot exceed six (6) feet in height, exclusive of pilasters and any retaining condition, unless otherwise approved by the Planning Division. SECTION 13 — Parking Requirements in Specific Development Plan No. 90 a, The minimum parking requirements for the multifamily dwelling units is two (2) enclosed parking spaces per unit. These spaces shall be in an enclosed garage, either in a side -by -side or tandem. orientation. 75C-214 b. Each parking stall in a two -car garage shall not be less than twenty (20) feet long and nine (9) feet wide. c. A minimum of fifteen (15) guest parking spaces must be provided. Any reduction in guest parking that is due to safety, circulation or other purposes is subject to the approval of the Planning Division. d. All other parking uses shall be pursuant to Santa Ana Municipal Code Chapter 41, Article XV, SECTION 14 — Open Space Standard for Specific Development Plan No. 90 1. The combined common open space provided shall be a minimum of 18,000 square feet. a. Open spaces within the project shall include, at a minimum, the following: 1) BBQs 2) Outdoor seating 3) General landscaping 4) Any other recreational amenities as permitted by the Planning Division 2. Private open space shall be provided for each unit; the total private open space per unit shall be a minimum of seventy-five (75) square feet. 3. If minor modifications are required, increases or reductions in the amount of private or common open space are subject to the approval of the Planning Division. SECTION 15 — Landscape Standards for Specific Development Plan No. 90 In the SD-90 district, all yards shall be landscaped, All landscaping shall be installed pursuant to a landscaping plan approved by the Planning Division. 1, Project Landscaping: a. Landscaping must be compliant with the City of Santa Ana's Landscape Water Conservation Ordinance and local California Water Regulations (AB t 981). b. Irrigation Systems: Landscaping shall have a filly automatic irrigation system, irrigation (including spray and/or drip) shall be provided and installed per California Water regulations and City standards. 2. All meters shall be appropriately screened from public view with trellis work and vines or a hedge -type shrub, or be incorporated into the residential structure. 3. Maintenance: a. All plant material shall be maintained per Section 41-609 of the Santa Ana Municipal Code, 3 75C-215 75C-216 RESOLUTION IN SUPPORT OF DESALINATION AS A LOCAL, RELIABLE SUPPLY OF CLEAN SAFE DRINKING WATER Whereas, the citizens of the city of Santa Ana expect and deserve safe, clean and reliable drinking water in order to protect their health and safety; and Whereas, the city of Santa Ana is dedicated to providing clean safe and reliable drinking water for its citizens; and Whereas, the State of California is subject to periodic drought conditions and is currently in the fifth year of the most recent drought; and Whereas, the policy of the state of California is to reduce its dependence on the Sacramento -San Joaquin Delta; and Whereas, the competing demands for traditional water resources has demonstrated that new drinking water supply options need to be added to support the California economy and the public health and safety of all Californians; and Whereas, it is becoming more clear that in order to provide clean safe reliable drinking water a diversified water portfolio must be developed that includes water conservation, recycled water, stormwater capture, brackish groundwater desalination and ocean water desalination in addition to more traditional water supply options; and Whereas, Governor Jerry Brown's California Water Action Plan calls for all local communities to diversify their local water supply options to meet their specific needs including using brackish groundwater desalination and ocean water desalination, if appropriate; and Therefore be it resolved, that the city of Santa Ana supports desalinated water as an important and reliable source for meeting total water demand, but in particular for drinking water demand. Furthermore the continued and expanded production and distribution of desalinated water for beneficial and permitted uses can improve regional self-reliance by meeting a portion of future increased total drinking water demands. 85A-1 85A-2