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HomeMy WebLinkAbout FULL PACKET_2020-09-15DRAFT MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA August 4, 2020 SPECIAL CLOSED SESSION MEETING SPECIAL CLOSED SESSION AND OPEN SESSION MEETING OF THE CITY COUNCIL - AUGUST 4, 2020, 4:00 P.M. CALL TO ORDER - Mayor PULIDO -A Mayor Pulido called the Closed Session to order at 4:04 p.m. Councilmember Mendoza joined the Closed Session meeting at 4:08 p.m Councilmembers BACERRA, MENDOZA, PENALOZA, SARMIENTO, SOLORIO AND VILLEGAS PUBLIC COMMENTS - None. ilk CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: CONFERENCE WITH LEGAL COUNSEL --EXISTING LITIGATION pursuant to paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: Ross Berrera, et al. v. City of Santa Ana, Orange County Superior Court Case No.: 30-2015-00771129-CU-WM-CJ C 2. CONFERENCE WITH LEGAL COUNSEL - ANTICIPATED INITIATION OF LITIGATION PURSUANT TO SECTION 54956.9(d) OF THE GOVERNMENT CODE: One case - Request to file civil nuisance abatement lawsuit against property located at 2600 N. Main Street (doing business as Red Roof Inn). Property Owner: RR Santa Ana LP, a California Limited Partnership CLOSED SESSION REPORT - The City Attorney will report on any action(s) to be taken at the Regular Meeting which will begin immediately following the Closed Session Meeting. ADJOURN CLOSED SESSION AND CONVENE TO THE REGULAR OPEN SESSION. Mayor Pulido adjourned Closed Session meeting at 5:40 p.m. DRAFT CITY COUNCIL MINUTES 104-1 AUGUST 4, 2020 SPECIAL OPEN SESSION MEETING CALL TO ORDER - Mayor Pulido called the Special Open meeting to order at 5:44 p.m. Clerk of the Council Daisy Gomez made a brief announcement, provided public comment instructions prior to roll call. COUNCILMEMBERS Present: BACERRA, MENDOZA, PENALOZA, SARMIENTO, SOLORIO AND VILLEGAS COUNCILMEMBERS Absent: None PUBLIC COMMENTS - Members of the public may address the City Council only on items on the Special Meeting Agenda, Open Session portion. Clerk of the Council Daisy Gomez provided instructions on providing public comment. IIl1:]I[+ZK61JAIJi1:1►1051 Joe Adams, Discovery Cube CEO, spoke regarding allocating CARES Act funding to non- profit organizations. Dale Helvig expressed gratitude towards City Council and spoke regarding allocation of CARES Act funding. Lisa Gonzales Solomon spoke regarding allocating CARES Act funding towards distance learning, businesses and various other topics. Thai Phan spoke in support of Item 60A, urges Council to re -hire Service Employees International Union (SIEU) part-timers that have been laid off, encourages the city hire employees that speak Vietnamese to ensure community COVID-19 outreach, spoke in support of funding relief for businesses and non-profit organizations and various other topics. Yoselinda spoke regarding the allocation of CARES Act funding to the Eviction Defense Fund and Rental Relief Fund. Juan Gonzalez spoke regarding allocating funds towards the un-housed community of Santa Ana. Venacio Chavez spoke regarding an increase in the number of crimes in his neighborhood; he believes the Police Department has not acted accordingly and spoike on various other topics. DRAFT CITY COUNCIL MINUTES 1 O z _w AUGUST 4, 2020 Valeria Amezcua, Vice President of Santa Ana Unified School Board (SAUSD), spoke regarding a partnership between SAUSD and the City to help provide citywide WiFi and various other topics. Maria Ceja encourages council to allocate funds for the Rental Relief Fund, the Eviction Defense Fund and spoke on various other topics. Nathaniel Greensides spoke in opposition of the allocation of funds as presented in the item and various other topics. Clerk of the Council Daisy Gomez reported out on eComments received for Item 50A. Mayor Pulido led the Pledge of Allegiance. CLOSED SESSION REPORT - City Attorney will report and action from the Closed Session, if any. ADMINISTRATIVE MATTERS - BUSINESS 60A. APPROPRIATE $28.6 MILLION OF FEDERAL CARES ACT MONEY ALLOCATED FROM THE STATE AND APPROVE THE PROPOSED CARES SPENDING PLAN - City Manager's Office Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2021-008 - Approve an appropriation adjustment to allocate the full $28,580,208 of state -allocated funding from the federal Coronavirus Aid, Relief, & Economic Security (CARES) Act for various expenditures to respond to COVID-19. 2. Approve the proposed CARES spending plan. 3. Authorize the City Manager to move the appropriation between departments, within the CARES special revenue fund, to adjust as needed for residents' actual use of each program. Mayor Pulido thanked council and fellow Mayors for their collaborative efforts. City Manager Kristine Ridge provided a brief presentation. Council discussion ensued and provided direction to staff. Mayor Pro Tern Villegas provided direction regarding funding assistance to business, and WiFi. City Manager Kristine Ridge spoke regarding collaborative efforts with SAUSD as it pertains to WiFi, along with potential grants that may assist. DRAFT CITY COUNCIL MINUTES 1 Off,-3 AUGUST 4, 2020 Councilmember Penaloza spoke regarding outdoor dining, social media, hotspots, outreach efforts, and hotel vouchers. City Manager Kristine Ridge shared that all dense areas in the city will be visited. Mayor Pulido spoke regarding lack of information from the County and the City's plans to obtain data. Councilmember Sarmiento requested adjustments in the rental assistance, re - purposing part-time employees that were laid off to assist in COVID-19 related tasks, mobile hand -washing stations, distance -learning and WiFi to augment school district's efforts, mobile testing, and the eviction defense fund. Councilmember Bacerra spoke regarding prioritizing part-timers to assist in COVID-19 related tasks; enhancing testing and sanitation; and rental assistance program. City Manager Kristine Ridge spoke regarding best ways to implement rental assistance program. Councilmember Mendoza inquired about deadline to expend funds and status on selection of COVID-19 testing vendor. City Manager Kristine Ridge addressed council regarding deadline, required status report, and selection of vendor for COVID-19 testing. Councilmember Solorio encouraged re -hiring of part-timers, rental and business assistance, and citywide WiFi. Requested high -risk outreach in assisted -living facilities and senior centers; partner with school districts and non-profit organization for WiFi outreach, programming in libraries, rental assistance, legal defense funds, nurse hotline, childcare, arts in the parks, outreach on outdoor dining throughout the city, touchless technology, and request a monthly update to council. Mayor Pulido thanked council and city staff for their input and efforts. Spoke regarding testing and contact tracing. Motion to Adopt as amended as indicated below: 1) Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2021-008 - Approve an appropriation adjustment to allocate the full $28,580,208 of state -allocated funding from the federal Coronavirus Aid, Relief, & Economic Security (CARES) Act for various expenditures to respond to COVID-19. DRAFT CITY COUNCIL MINUTES 1 O Q _4 AUGUST 4, 2020 2) Approve the proposed CARES spending plan with the amended language to include the additional direction that was provided by Council at tonight's meeting and include weekly progress reports on the results. 3) Authorize the City Manager to move the appropriation between departments, within the CARES special revenue fund, to adjust as needed for residents' actual use of each program with the amended language to notify the City Council. Agreement No. 2020-158 Mayor Pro Tern Villegas motioned to adopt as amended, seconded by Councilmember Solorio. MOTION: Mayor Pro SECOND: Councilmember Solorio Tern Villegas VOTE: AYES: Councilmember Bacerra, Councilmember Mendoza, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio, Mayor Pro Tern Villegas, Mayor Pulido (7) NOES: 'None (0) ABSTAIN: None (0), ABSENT: None (0) ADJOURNMENT - The next meeting of the City Council is scheduled for Tuesday, August 18, 2020 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. by Teleconference. Mayor Pulido adjourned the City Council meeting at 7:45 p.m. Adjourn Meeting in Memory of Rob Richardson, Former Councilmember and Eugene Harbrecht, Orange County Register Editor DRAFT CITY COUNCIL MINUTES 1 O $, _5 AUGUST 4, 2020 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED ❑ As Recommended ADOPT A RESOLUTION OF INTENTION TO ❑ Amended ❑ OOrrdinance on 1 Reading ESTABLISH THE SANTA ANA TOURISM ❑ Ordinance on 2nd Reading MARKETING DISTRICT ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Adopt a Resolution of Intention to establish the Santa Ana Tourism Marketing District (SATMD) and the levy of assessments on lodging businesses. 2. Establish a time and place for a public meeting to be held by the City Council on October 6, 2020 to hear and consider all public testimonies. 3. Establish a time and place for a public hearing to be held by the City Council on November 17, 2020 regarding the proposed formation of the Santa Ana Tourism Marketing District. DISCUSSION Since 2019, representatives from the Santa Ana Chamber of Commerce, Main Place Mall, City staff, and members of the local hotel industry, have explored the merits of implementing a Tourism Marketing District in Santa Ana. As City funding for promotion and marketing of the City has been limited over the years, this proposed district will augment and enhance the City's current marketing and promotional efforts by providing much needed revenue to develop the City as a tourism destination. These efforts are anticipated to lead to an increase in overnight lodging stays and more visitors to the City of Santa Ana. The City has received signed petitions from a majority of hotels that pay 50 percent or more of the assessment indicating that they wish to initiate proceedings to form the Tourism Marketing District (Exhibit 3). Similar to the City's current Downtown Business Improvement District, the Santa Ana Tourism Marketing District (SATMD) is a benefit assessment district proposed to create a revenue source to help fund marketing and sales promotion efforts for Santa Ana lodging businesses. This approach has been used successfully in other destination areas throughout the state to improve tourism and drive additional room nights to assessed lodging businesses. The established SATMD includes all lodging businesses with 70 rooms or more located within the boundaries of the City of Santa Ana. There are a total of 18 such lodging businesses. 12A-1 Resolution to Establish SATMD September 15, 2020 Page 2 Lodging business owners decided to pursue the establishment of the SATMD in order to create a revenue source devoted to marketing Santa Ana as a tourism, meeting, and event destination. If established, the SATMD would generate approximately $2,400,000 (Pre-COVID estimate) on an annual basis to be used for promotion of travel and tourism specific to Santa Ana. These funds would be solely controlled by the Travel Santa Ana Board of Directors, a non-profit that will be established to administer this new marketing district. TOURISM MARKETING DISTRICT BACKGROUND Tourism Marketing Districts (TMDs) utilize the efficiencies of private sector operation in the market - based promotion of tourism. These special assessment districts allow lodging business owners to organize their efforts to increase tourism. Funding for the TMD is providing by member lodging business owners, and those funds are used to provide services that are desired by and benefit the lodging businesses in return. TMD Benefits • Funds cannot be diverted to other City government programs • Customized to fit the needs of each destination • Allow for a wide range of services including: destination marketing, tourism promotion, and sales lead generation • Designed, created, and governed by those who will pay for the assessment • Provide a stable funding source for tourism promotion In California, TMDs are primarily formed pursuant to the Property and Business Improvement District Law of 1994 (94 Law). This law allows for the creation of a special benefit assessment district to raise funds within a specific geographic area. The key difference between TMDs and other special benefit assessment districts is that funds raised are returned to the private non-profit corporation governing the TMD. MANAGEMENT DISTRICT PLAN The Management District Plan (Exhibit 2) includes the proposed boundary of the SATMD, a service plan and budget, and a proposed means of governance. The SATMD will include all lodging businesses with 70 rooms or more, existing and in the future, available for public occupancy within the boundaries of the City of Santa Ana. The established SATMD will have a five-year term, from January 1, 2021 through December 31, 2025. The assessment will be implemented beginning January 1, 2021. Once per year beginning on the anniversary of SATMD establishment, there is a 30-day period in which business owners paying 50 percent or more of the assessment may protest and begin proceedings to terminate the SATMD. The annual assessment rate is two percent of gross short-term room rental revenue. The City of Santa Ana will be responsible for collecting the assessment on a monthly basis (including any delinquencies, penalties, and interest) from each assessed lodging business located in the boundaries of the SATMD. The City shall take all reasonable efforts to collect the assessments from each assessed lodging business. The City will then disburse the assessment amounts to the Travel Santa Ana non-profit organization, which will have the responsibility of 12A-2 Resolution to Establish SATMD September 15, 2020 Page 3 managing the SATMD as provided in the Management District Plan. The City will have one City Manager designated director position on the Travel Santa Ana Board of Directors. Each year, Travel Santa Ana will present an annual report to City Council identifying the activities of the Tourism Marketing District. The City Council will not be required to take further action on the Tourism Marketing District after the final Public Hearing in November 2020, unless the City receives written petitions from lodging businesses that pay 50% or more of the assessment to disestablish the district. Lodging businesses will have this opportunity to petition each year (for a period of 30 days) after the establishment of the SATMD. SATMD ESTABLISHMENT SCHEDULE September 15, 2020 RESOLUTION OF INTENTION HEARING Upon the submission of a written petition, signed by the business owners in the established district who will pay more than 50 percent of the assessments proposed to be levied, the City Council may initiate proceedings to establish a district by the adoption of a resolution expressing its intention to establish a district. Petition Status: Petitions in favor of SATMD establishment were submitted by seven lodging businesses, which represent 58 percent of the total SATMD assessment. This majority petition allows the Council to initiate proceedings for SATMD establishment at the September 15, 2020 City Council meeting. September 16, 2020 NOTICE The 94 Law requires the City to mail written notice to the owners of all businesses proposed to be within the SATMD. Mailing the notice begins a mandatory 45-day period in which owners may protest SATMD establishment. October 6, 2020 PUBLIC MEETING Allow public testimony on the establishment of the SATMD and levy of assessments. No City Council action is required. November 17, 2020 FINAL PUBLIC HEARING If written protests are received from the owners of businesses in the established SATMD who will pay more than 50 percent of the assessments proposed to be levied, and protests are not withdrawn so as to reduce the protests to less than 50 percent, no further proceedings to levy the proposed assessment against such businesses shall be taken for a period of one year from the date of the finding of a majority protest by the City Council. At the conclusion of the public hearing to establish the SATMD, the City Council may adopt, revise, change, reduce, or modify the proposed 12A-3 Resolution to Establish SATMD September 15, 2020 Page 4 assessment or the type(s) of improvements and activities to be funded with the revenues from the assessments. Proposed assessments may only be revised by reducing any or all of them. If the City Council, following the public hearing, decides to establish the SATMD, the City Council shall adopt a resolution of formation. FISCAL IMPACT The City will receive a fee of two percent of the amount collected to cover its costs of administration. As the SATMD programs are intended to increase visitation to the City, there may be an increase in transient occupancy tax and sales tax collections. Additional account information and estimates will be provided at the future public hearing meetings. Submitted By: Steven A. Mendoza, Executive Director — Community Development Agency Exhibits: 1. Resolution of Intention to Establish SATMD 2. Santa Ana Tourism Management District Plan 3. Signed Hotel petitions 12A-4 EXHIBIT I EXHIBIT 1 RESOLUTION NO. 2020- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA DECLARING ITS INTENTION TO ESTABLISH THE SANTA ANA TOURISM MARKETING DISTRICT ("SATMD") AND FIXING THE TIME AND PLACE OF A PUBLIC MEETING AND A PUBLIC HEARING THEREON AND GIVING NOTICE THEREOF 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 Property and Business Improvement Law of 1994, Streets and Highways Code §36600, et seq., authorizes the City to establish business improvement districts for the purposes of promoting tourism; and B. Lodging business owners and representatives from the City of Santa Ana have met to consider the formation of the Santa Ana Tourism Marketing District ("SATMD"); and C. Travel Santa Ana, a new non-profit entity formed to manage the proposed SATMD, has drafted a Management District Plan ("Plan"), which sets forth the proposed boundary of the SATMD, a service plan and budget, and a proposed means of governance; and D. Lodging businesses that will pay more than fifty percent (50%) of the assessment under the SATMD have petitioned the City Council to establish the SATMD. Section 2. The recitals set forth herein are true and correct. Section 3. The City Council finds that lodging businesses that will pay more than fifty percent (50%) of the assessment proposed in the Plan have signed and submitted petitions in support of the formation of the SATMD, per Streets and Highways Code §36621. The City Council accepts the petitions and adopts this Resolution of Intention to establish the SATMD and to levy an assessment on certain lodging businesses within the SATMD boundaries in accordance with the Property and Business Improvement District Law of 1994. Resolution No. 2020-XXX Page 1 of 5 12A-5 Section 4. The City Council finds that the Plan satisfies all requirements of Streets and Highways Code §36622. Section 5. The City Council declares its intention to establish the SATMD and to levy and collect assessments on lodging businesses with seventy (70) rooms or more within the SATMD boundaries pursuant to the Property and Business Improvement District Law of 1994. Section 6. The SATMD shall include all lodging businesses with seventy (70) rooms or more, existing and in the future, located within the boundaries of City of Santa Ana, as shown in the District Boundaries map attached hereto as Exhibit A and incorporated herein by reference. Section 7. The name of the district shall be the Santa Ana Tourism Marketing District ("SATMD"). Section 8. The annual assessment rate is two percent (2%) of gross short-term room rental revenue, which is estimated to be approximately $2,400,000 annually. Based on the benefit received, assessments will not be collected on: stays of more than thirty (30) consecutive days; stays of any officer or employee of a foreign government who is exempt by reason of express provision of federal law or international treaty; stays pursuant to contracts executed prior to January 1, 2021; and stays by any federal or state officer or employee while on official business only and when payment for such occupancy is made directly to the operator by duly authorized voucher payment from a governmental accounting office. This exemption does not exempt a transient who is employed by the United States government or the state or their respective instrumentalities from payment of the assessment when the payment is later to be reimbursed by the United States government or the state or their respective instrumentalities. Section 9. The assessments levied for the SATMD shall be applied toward marketing and sales programs to market assessed lodging businesses in Santa Ana as tourist, meeting, and event destinations, as described in the Plan. Funds remaining at the end of any year may be used in subsequent years in which SATMD assessments are levied as long as they are used consistent with the requirements of this resolution and the Plan. Section 10. The established SATMD will have a five (5) year term, beginning January 1, 2021, through December 31, 2025, unless renewed pursuant to Streets and Highways Code §36660, or disestablished per Streets and Highways Code §36670. Section 11. Bonds shall not be issued. Resolution No. 2020-XXX Page 2 of 5 12A-6 Section 12. The time and place for the public meeting to hear testimony on establishing the SATMD and levying assessments are set for October 6, 2020, at 5:45 PM, or as soon thereafter as the matter may be heard, at the Council Chambers located at 22 Civic Center Plaza, Santa Ana, CA 92701, or online due to the declaration of state and local emergency, as detailed in the public meeting notice issued by the Clerk of the Council. Section 13. The time and place for the public hearing to establish the SATMD and the levy of assessments are set for November 17, 2020, at 5:45 PM, or as soon thereafter as the matter may be heard, at the Council Chambers located at 22 Civic Center Plaza, Santa Ana, CA 92701, or online due to the declaration of state and local emergency, as detailed in the public meeting notice issued by the Clerk of the Council. The Clerk of the Council is directed to provide written notice to the lodging businesses subject to assessment of the date and time of the meeting and hearing, and to provide that notice as required by Streets and Highways Code §36623. Section 14. At the public meeting and the public hearing, the testimony of all interested persons for or against the formation of the SATMD may be received. If at the conclusion of the public hearing, there are of record written protests by the owners of the lodging businesses within the established SATMD that will pay more than fifty percent (50%) of the estimated total assessment of the entire SATMD, no further proceedings to establish the SATMD shall occur for a period of one (1) year. Section 15. The complete Plan is on file with the Clerk of the Council and may be reviewed upon request. Section 16. 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. Resolution No. 2020-XXX Page 3 of 5 12A-7 ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By Ryan C). H'cdge Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT Councilmembers Councilmembers Councilmembers Councilmembers 2020. Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2020-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Resolution No. 2020-XXX Page 4 of 5 Clerk of the Council City of Santa Ana 12A-8 EXHIBIT 1 09MIT A DISTRICT BOUNDARIES �SN•Matse e•Ave---�— �i.. Santa Ana TM D '. w �MpmmnA, Orange ^' C in.an Are j W AIAW ITIZT dyn TM •]Wal. ar n-nq. Garden Grove --. I ...' 'I $aR[a Alta _—W•Bx$1 - rl. n I ' I.. atnm-Avn_ —�_ ---- m Tua - CIA C..m .t waa Ar:S 1 a Ir: .a - an�plrgnlF wYtfyp n �� Irvir •..L SvHOF :d rilwa �•A 0 _aGntly rime y ♦.m y �'��; a E•l4rr Si � • I ..veld r}ram�. ECIVITASI rally Ife rmaMy r I LPle1 Ma �} i4YPUl �`:. Resolution No. 2020-XXX Page 5 of 5 12A-9 EXHIBIT 2 SANTA ANA TOURISM MARKETING DISTRICT MANAGEMENT DISTRICT PLAN Prepared pursuant to the Propertv and Business ImprovernentDistrict Law of 1994, Streets and Highways Code sect"3A60q seq. CONTENTS I. OVERVIEW........................................................................................................................................3 II. BACKGROUND................................................................................................................................4 III. BOUNDARY.......................................................................................................................................5 IV. BUDGET AND SERVICES.............................................................................................................6 A. Annual Service Plan............................................................................................................ 6 B. Annual Budget.................................................................................................................... 8 C. California Constitutional Compliance................................................................................ 8 D. Assessment..........................................................................................................................9 E. Penalties and Interest........................................................................................................ 10 F. Time and Manner for Collecting Assessments................................................................. 11 V. GOVERNANCE...............................................................................................................................12 A. Owners' Association......................................................................................................... 12 B. Brown Act and California Public Records Act Compliance ............................................ 12 C. Annual Report ................................................................................................................... 12 APPENDIX1 — LAW....................................................................................................................................13 APPENDIX 2 — ASSESSED BUSINESSES.............................................................................................24 Prepared by Civitas CIVITAS PARTNERSHIPS • PROGRESS • PROSPERITY (800)999-7781 www.eivitasadvisors.com 12A-11 I. OVERVIEW Developed by Travel Santa Ana (TSA), a non profit organization, the Santa Ana Tourism Marketing District (SATMD) is an assessment district proposed to provide specific benefits to payors, by funding marketing and sales promotion efforts for assessed businesses. This approach has been used successfully in other destination areas throughout the country to provide the benefit of additional room night sales directly to payors. Location: The proposed SATMD includes all lodging businesses with seventy (70) rooms or more located within the boundaries of City of Santa Ana, as shown on the map in Section III. Services: The SATMD is designed to provide specific benefits directly to payors by increasing room night sales. Marketing and sales promotions will increase overnight tourism and market payors as tourist, meeting and event destinations, thereby increasing room night sales. Budget: The total SATMD annual budget for the initial year of its five (5) year operation is anticipated to be approximately $2,400,000. Cost: The annual assessment rate is two percent (2%) of gross short-term room rental revenue. Based on the benefit received, assessments will not be collected on: stays of more than thirty (30) consecutive days; stays of any officer or employee of a foreign government who is exempt by reason of express provision of federal law or international treaty; stays pursuant to contracts executed prior to January 1, 2021; and stays by any federal or state officer or employee while on official business only and when payment for such occupancy is made directly to the operator by duly authorized voucher payment from a governmental accounting office. This exemption does not exempt a transient who is employed by the United States government or the state or their respective instrumentalities from payment of the assessment when the payment is later to be reimbursed by the United States government or the state or their respective instrumentalities. Collection: The City will be responsible for collecting the assessment on a monthly basis (including any delinquencies, penalties and interest) from each lodging business located in the boundaries of the SATMD. The City shall take all reasonable efforts to collect the assessments from each lodging business and remit collections to the Owners' Association. Duration: The SATMD will have a five (5) year life, beginning January 1, 2021 through December 31, 2025. Once per year, beginning on the anniversary of SATMD renwal, there is a thirty (30) day period in which owners jointly paying fifty percent (50%) or more of the total assessment may protest and initiate a City Council hearing on SATMD termination. Management: Travel Santa Ana will serve as the SATMD's Owners' Association. The Owners' Association is charged with managing funds and implementing programs in accordance with this Plan, and must provide annual reports to the City Council. SATMD Management District Plan 3 March 19, 2020 12A-12 II. BACKGROUND TMDs are an evolution of the traditional Business Improvement District. The first TMD was formed in West Hollywood, California in 1989. Since then, over 100 California destinations have followed suit. In recent years, other states have begun adopting the California model — Montana, South Dakota, Washington, Colorado, Texas and Louisiana have adopted TMD laws. Several other states are in the process of adopting their own legislation. The cities of Wichita, Kansas and Newark, New Jersey used an existing business improvement district law to form a TBID. And, some cities, like Portland, Oregon and Memphis, Tennessee have utilized their home rule powers to create TMDs without a state law. Number of TIDs Operating Nationwide 200 150 100 50 California's TMDs collectively raise over $275 million annually for local destination marketing. With competitors raising their budgets, and increasing rivalry for visitor dollars, it is important that Santa Ana lodging businesses invest in stable, lodging -specific marketing programs, and promote Santa Ana as a tourist destination. 0 TMDs utilize the efficiencies of m m$$$$ o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 private sector OPPSa'YSOn In the market -based promotion of tourism districts. TMDs allow lodging business owners to organize their efforts to increase room night sales and overall tourism. Lodging business owners within the TMD pay an assessment and those funds are used to provide services that increase room night sales. In California, TMDs are formed pursuant to the Property and Business Improvement District Law of 1994. This law allows for the creation of a benefit assessment district to raise funds within a specific geographic area. The key difference between TMDs and other bent assessment districts is that funds raised are returned to the brivate non ro zt co42oration governing the district. There are many benefits to TMDs: • Funds must be spent on services and improvements that provide a specific benefit only to those who pay; • Funds cannot be diverted to general government programs; • They are customized to fit the needs of payors in each destination; • They allow for a wide range of services; • They are designed, created and governed by those who will paythe assessment; and • They provide a stable, long-term funding source for tourism promotion. SATMD Management District Plan 4 March 19, 2020 12A-13 III. BOUNDARY The SATMD will include all lodging businesses with seventy (70) rooms or more, existing and in the future, available for public occupancy within the boundaries of City of Santa Ana. Lodging business means: any structure, or any portion of any structure, which is occupied or intended or designed for occupancy by transients for dwelling, lodging or sleeping purposes, and includes any hotel, inn, tourist home or house, motel, studio hotel, bachelor hotel, lodging house, rooming house, apartment house, dormitory, public or private club, mobile home or house trailer at a fixed location, or other similar structure or portion thereof. The boundary, as shown in the map below, currently includes eighteen (18) lodging businesses. A complete listing of lodging businesses within the SATMD can be found in Appendix 2. WKMARA-AA_ G Santa Ana TMD Y W '_R Grnn Arvry aaC �n.mlAm (aPdAC YV NnnM qvv S � 11a v'1 uNRl�pl �n�A f La Garden Grwe mre 9Gn k Fw9 ri.nxam a� la:a a✓ L nmr n.a ) AQlply� PYI .. us Squw 1 rM, - -�. __. 11 Wuwre.~ A [ �.ei��u rf woS.wPpYN 0 gddv� PwI �'�u 3 4dkn-51 t4F,` 4 • - + N anM. rvnnr C M TAS i } r sa PYYY cm..M SATMD Management District Plan March 19, 2020 12A-14 5 IV. BUDGET AND SERVICES A. Annual Service Plan Assessment funds will be spent to provide specific benefits conferred or privileges granted directly to the assessed lodging businesses. These specific benefits or privileges granted to assessed lodging businesses are not provided to non -assessed businesses and do not exceed the reasonable cost to the City of conferring the specific benefits or granting the privileges. The privileges and services provided with the SATMD funds are sales and marketing programs available only to assessed businesses. A service plan budget has been developed to deliver services that benefit the assessed businesses. A detailed annual budget will be developed and approved by TSA. The table below illustrates the initial annual budget allocations. The total initial budget is $2,400,000. Contingency/R $192,000.00 Administration, $480,000.00 , 201, Initial Annual Budget - $2,400,000 City Fee, <aR nnn nn ��u & Marketing, 580,000.00 , 70% Although actual revenues will fluctuate due to market conditions, the proportional allocations of the budget shall remain the same. However, the City and the TSA board shall have the authority to adjust budget allocations between the categories by no more than fifteen percent (15%) of the total budget per year. For example, the City and TSA may fluctuate the SATMD's budget allocation for the Sales and Marketing category from its current seventy percent (70%) to a maximum budget allocation of eighty-five percent (85%) or down to a minimum budget allocation of fifty-five percent (55%). A description of the proposed improvements and activities for the initial year of operation is below. The same activities are proposed for subsequent years. In the event of a legal challenge against the SATMD, any and all assessment funds may be used for the costs of defending the SATMD. In the first year of operation, the costs of creating the SATMD may be repaid by deducting repayment funds proportionally from budget categories. Each budget category includes all costs related to providing that service, in accordance with Generally Accepted Accounting Procedures (GAAP). For example, the sales and marketing budget includes the cost of staff time dedicated to overseeing and implementing the sales and marketing program. Staff time dedicated purely to administrative tasks is allocated to the administrative portion of the budget. The costs of an individual staff member may be allocated to multiple budget categories, as appropriate. SATMD Management District Plan March 19, 2020 12A-15 The staffing levels necessary to provide the services below will be determined by TSA on an as -needed basis. Sales and Marketing A sales and marketing program will promote assessed businesses and Santa Ana as tourist, meeting, and event destinations. The sales and marketing program will have a central theme of promoting Santa Ana as a desirable place for overnight visits. The program will have the goal of increasing overnight visitation and room night sales at assessed businesses, and may include the following activities: • Internet marketing efforts to increase awareness and optimize internet presence to drive overnight visitation and room sales to assessed businesses; • Print ads in magazines and newspapers, television ads, and radio ads targeted at potential visitors to drive overnight visitation and room sales to assessed businesses; • Attendance of trade shows to promote overnight visitation to assessed businesses; • Sales blitzes for assessed businesses; • Familiarization tours of assessed businesses; • Preparation and production of collateral promotional materials such as brochures, flyers and maps featuring assessed businesses as well as all events, attractions, and reasons to visit (Stay, Shop, Dine, Play); • Attendance of professional industry conferences and affiliation events to promote assessed businesses; • Lead generation activities designed to attract tourists and group events to assessed businesses; • Director of Sales and General Manager meetings to plan and coordinate tourism promotion efforts for assessed businesses; and • Development and maintenance of a website designed to promote overnight visitation to the city and promote Santa Ana as a tourism destination highlighting the assessed businesses, as well as all events, attractions, and reasons to visit (Stay, Shop, Dine, Play) to increase overnight visitation at assessed lodging businesses. Administration and Operations The administration and operations portion of the budget shall be utilized for administrative staffing costs, office costs, advocacy, and other general administrative costs such as insurance, legal, and accounting fees. City Administration Fee The City of Santa Ana shall be paid a fee equal to two percent (2%o) of the amount of assessment collected, to cover its costs of collection and administration. Contingency/Reserve The budget includes a contingency line item to account for uncollected assessments, if any. If there are contingency funds collected, they may be held in a reserve fund or utilized for other program, administration or renewal costs at the discretion of the TSA Board. Policies relating to contributions to the reserve fund, the target amount of the reserve fund, and expenditure of monies from the reserve fund shall be set by the TSA Board. Contingency/reserve funds may be spent on District programs or administrative and renewal costs in such proportions as determined by the TSA Board. The reserve fund may be used for the costs of renewing the SATMD. SATMD Management District Plan March 19, 2020 12A-16 B. Annual Budget The total five (5) year improvement and service plan budget is projected at approximately $2,400,000 annually, or $12,000,000 through 2025. This amount may fluctuate as sales and revenue increase at assessed businesses, but is not expected to change significantly over the term. C. California Constitutional Compliance The SATMD assessment is not a property -based assessment subject to the requirements of Proposition 218. Courts have found Proposition 218 limited the term `assessments' to levies on real property.' Rather, the SATMD assessment is a business -based assessment, and is subject to Proposition 26. Pursuant to Proposition 26 all levies are a tax unless they fit one of seven exceptions. Two of these exceptions apply to the SATMD, a "specific benefit' and a "specific government service." Both require that the costs of benefits or services do not exceed the reasonable costs to the City of conferring the benefits or providing the services. 1. Specific Benefit Proposition 26 requires that assessment funds be expended on, "a specific benefit conferred or privilege granted directly to the payor that is not provided to those not charged, and which does not exceed the reasonable costs to the local government of conferring the benefit or granting the privilege." z The services in this Plan are designed to provide targeted benefits directly to assessed businesses, and are intended only to provide benefits and services directly to those businesses paying the assessment. These services are tailored not to serve the general public, businesses in general, or parcels of land, but rather to serve the specific businesses within the SATMD. The activities described in this Plan are specifically targeted to increase room night sales for assessed lodging businesses within the boundaries of the SATMD, and are narrowly tailored. SATMD funds will be used exclusively to provide the specific benefit of increased room night sales directly to the assessees. Assessment funds shall not be used to feature non -assessed lodging businesses in SATMD programs, or to directly generate sales for non -assessed businesses. The activities paid for from assessment revenues are business services constituting and providing specific benefits to the assessed businesses. The assessment imposed by this SATMD is for a specific benefit conferred directly to the payors that is not provided to those not charged. The specific benefit conferred directly to the payors is an increase in room night sales. The specific benefit of an increase in room night sales for assessed lodging businesses will be provided only to lodging businesses paying the district assessment, with marketing and sales programs promoting lodging businesses paying the SATMD assessment. The marketing and sales programs will be designed to increase room night sales at each assessed lodging businesses. Because they are necessary to provide the marketing and sales programs that specifically benefit the assessed lodging businesses, the administration and contingency services also provide the specific benefit of increased room night sales to the assessed lodging businesses. Although the SATMD, in providing specific benefits to payors, may produce incidental benefits to non-paying businesses, the incidental benefit does not preclude the services from being considered a specific benefit. The legislature has found that, "A specific benefit is not excluded from classification as a `specific benefit merely because an indirect benefit to a nonpayor occurs incidentally and without cost to the payor as a consequence of providing the specific benefit to the payor."' 'Jarvis v. the City of San Diego 72 Cal App. 4' 230 z Cal. Const. art7GIII C § 1(e)(1) 'Government Code § 53758(a) SATMD Management District Plan 8 March 19, 2020 12A-17 2. Specific Government Service The assessment may also be utilized to provide, "a specific government service or product provided directly to the payor that is not provided to those not charged, and which does not exceed the reasonable costs to the local government of providing the service or product."' The legislature has recognized that marketing and promotions services like those to be provided by the SATMD are government services within the meaning of Proposition 26'. Further, the legislature has determined that "a specific government service is not excluded from classification as a `specific government service' merely because an indirect benefit to a nonpayor occurs incidentally and without cost to the payor as a consequence of providing the specific government service to the payor.116 3. Reasonable Cost SATMD services will be implemented carefully to ensure they do not exceed the reasonable cost of such services. The full amount assessed will be used to provide the services described herein. Funds will be managed by TSA, and reports submitted on an annual basis to the City. Only assessed lodging businesses will be featured in marketing materials, receive sales leads generated from SATMD-funded activities, be featured in advertising campaigns, and benefit from other SATMD-funded services. Non -assessed lodging businesses will not receive these, nor any other, SATMD-funded services and benefits. The SATMD-funded programs are all targeted directly at and feature assessed businesses. It is, however, possible that there will be a spill over benefit to non -assessed businesses. If non -assessed lodging businesses receive incremental room nights, that portion of the promotion or program generating those room nights shall be paid with non-SATMD funds. SATMD funds shall only be spent to benefit the assessed businesses, and shall not be spent on that portion of any program which directly generates incidental room nights for non -assessed businesses. D. Assessment The annual assessment rate is two percent (2%) of gross short-term room rental revenue. Based on the benefit received, assessments will not be collected on: stays of more than thirty (30) consecutive days; stays of any officer or employee of a foreign government who is exempt by reason of express provision of federal law or international treaty; stays pursuant to contracts executed prior to January 1, 2021; and stays by any federal or state officer or employee while on official business only and when payment for such occupancy is made directly to the operator by duly authorized voucher payment from a governmental accounting office. This exemption does not exempt a transient who is employed by the United States government or the state or their respective instrumentalities from payment of the assessment when the payment is later to be reimbursed by the United States government or the state or their respective instnunentalities The term "gross room rental revenue" as used herein means: the total consideration charged to transients as shown on the guest receipt for the occupancy of space in a hotel, including charges for equipment (such as rollaway beds, cribs and television set, etc.), and in -room services (such as movies and other services not subject to state taxes), valued in money, whether received or to be received in money, goods, labor or otherwise. It shall include all receipts, cash, credit, property and services of any kind or nature without any deduction therefrom whatsoever. The costs of additional goods and services, which are not "rent," but which may be sold as a package with the room (such as meals, excursions, and recreational services), must be accounted for in accordance with the rules and Cal. Const. artXIII C § 1(e)(2) s Government Code § 53758(b) 'Government Code § 53758(b) SATMD Management District Plan 9 March 19, 2020 12A-18 regulations promulgated by the City. Gross room rental revenue shall not include any federal, state or local taxes collected, including but not limited to transient occupancy taxes. The assessment is levied upon and a direct obligation of the assessed lodging business. However, the assessed lodging business may, at its discretion, pass the assessment on to transients. The amount of assessment, if passed on to each transient, shall be disclosed in advance and separately stated from the amount of rent charged and any other applicable taxes, and each transient shall receive a receipt for payment from the business. If the SATMD assessment is identified separately it shall be disclosed as the "Tourism Marketing Assessment" As an alternative, the disclosure may include the amount of the SATMD assessment and the amount of the assessment imposed pursuant to the California Tourism Marketing Act, Government Code §13995 et seq. and shall be disclosed as the "Tourism Assessment" The assessment is imposed solely upon, and is the sole obligation of the assessed lodging business even if it is passed on to transients. The assessment shall not be considered revenue for any purpose, including calculation of transient occupancy taxes. TSA shall not issue debt of any kind; and shall only fund expenses with recurring assessment revenue collected or the reserve balance. E. Penalties and Interest The SATMD shall reimburse the City of Santa Ana for any costs associated with collecting unpaid assessments. If sums in excess of the delinquent SATMD assessment are sought to be recovered in the same collection action by the City, the SATMD shall bear its pro rata share of such collection costs. Assessed businesses which are delinquent in paying the assessment shall be responsible for paying: 1. Original De§nquency Penally: Any lodging business which fails to remit any assessment within the time required shall pay a penalty of ten percent (10%) of the amount of the assessment in addition to the amount of the assessment. 2. Continued Delinquency Compounding Penalty: Any lodging business which fails to remit any delinquent remittance on or before a period of thirty (30) days following the date on which the remittance first became delinquent shall pay an additional delinquency penalty of ten percent (10%) of the amount of the assessment and the ten percent (10%) penalty first imposed. Any lodging business which fails to remit any delinquent remittance on or before a period of sixty (60) days following the date on which the remittance first became delinquent shall pay an additional delinquency penalty of ten percent (10%) of the amount of the assessment and the ten percent (10%) penalty first imposed together with the additional ten percent (10%) penalty imposed. 3. Audit Deficiency Compounding Penalty: If, upon audit by the City, a lodging business is found to be deficient in either its return or its remittance or both, the City shall immediately assess the lodging business the amount of the net deficiency plus an audit deficiency penalty of ten percent (10%) of the amount of the net deficiency. If said lodging business's remittance was deficient for a period of greater than thirty (30) days following the date on which remittance was first delinquent, said lodging business shall pay an additional audit deficiency penalty of ten percent (10%) of the net deficiency and the ten percent (10%) penalty first imposed. If said lodging business's remittance was deficient for a period of greater than sixty (60) days following the date on which the remittance first became delinquent, said lodging business shall pay an additional audit deficiency penalty of ten percent (10%) of the amount of the assessment and the ten percent (10%) penalty first imposed together with the additional ten percent (10%) penalty imposed SATMD Management District Plan 10 March 19, 2020 12A-19 4. Fraud: If the City determines that the nonpayment of any remittance due under this article is due to fraud, a penalty of twenty-five percent (25%) of the amount of the assessment shall be added thereto in addition to the penalties stated in subparagraphs (1) and (2) of this section. 5. Interest: In addition to the penalties imposed, any lodging business who fails to remit any assessment imposed by this article shall pay interest at the rate of one and one-half percent (1.50%) per month or fraction thereof on the amount of the assessment, exclusive of penalties, from the date on which the remittance first became delinquent until paid. 6. Penalties Merged nith Assessment: Every penalty imposed and such interest as accrues under the provisions of this section shall become a part of the assessment herein required to be paid. F. Time and Manner for Collecting Assessments The SATMD assessment will be implemented beginning January 1, 2021 and will continue for five (5) years through December 31, 2025. The City shall be responsible for collecting the assessment on a monthly basis (including any delinquencies, penalties and interest) from each lodging business. The City shall take all reasonable efforts to collect the assessments from each lodging business. The City shall forward the assessments collected to the Owners' Association. SATMD Management District Plan I I March 19, 2020 12A-20 V. GOVERNANCE A. Owners' Association The City Council, through adoption of this Plan, has the right, pursuant to Streets and Highways Code 536651, to identify the body that shall implement the proposed program, which shall be the Owners' Association of the SATMD as defined in Streets and Highways Code 536612. By adoption of this Plan, the City Council has determined that the non-profit organization Travel Santa Ana (TSA) will serve as the Owners' Association for the SATMD and the City will contract with TSA for providing the SATMD improvements and services. B. Brown Act and California Public Records Act Compliance An Owners' Association is a private entity and may not be considered a public entity for any purpose, nor may its board members or staff be considered to be public officials for any purpose. The Owners' Association is, however, subject to government regulations relating to transparency, namely the Ralph M. Brown Act and the California Public Records Act. These regulations are designed to promote public accountability. The Owners' Association acts as a legislative body under the Ralph M. Brown Act (Government Code �54950 et seq.). Thus, meetings of the TSA board and certain committees must be held in compliance with the public notice and other requirements of the Brown Act. The Owners' Association is also subject to the record keeping and disclosure requirements of the California Public Records Act. Accordingly, the Owners' Association shall publicly report any action taken and the vote or abstention on that action of each member present for the action. C. Annual Report TSA shall present an annual report at the end of each year of operation to the City Council pursuant to Streets and Highways Code �36650 (see Appendix 1). The annual report shall include: • Any proposed changes in the boundaries of the improvement district or in any benefit zones or classification of businesses within the district. • The improvements and activities to be provided for that fiscal year. • An estimate of the cost of providing the improvements and the activities for that fiscal year. • The method and basis of levying the assessment in sufficient detail to allow each business owner to estimate the amount of the assessment to be levied against his or her business for that fiscal year. • The estimated amount of any surplus or deficit revenues to be carried over from a previous fiscal year. • The estimated amount of any contributions to be made from sources other than assessments levied pursuant to this part. SATMD Management District Plan 12 March 19, 2020 12A-21 APPENDIX 1— LAW *** THIS DOCUMENT IS CURRENT THROUGH THE 2018 SUPPLEMENT *** (ALL 2017 LEGISLATION) STREETS AND HIGHWAYS CODE DIVISION 18. PARKING PART 7. PROPERTY AND BUSINESS IMPROVEMENT DISTRICT LAW OF 1994 CHAPTER 1. General Provisions ARTICLE 1. Declarations 36600. Citation of part This part shall be known and may be cited as the "Property and Business Improvement District Law of 1994." 36601. Legislative findings and declarations; Legislative guidance The Legislature finds and declares all of the following: (a) Businesses located and operating within business districts in some of this state's communities are economically disadvantaged, are underutilized, and are unable to attract customers due to inadequate facilities, services, and activities in the business districts. (b) It is in the public interest to promote the economic revitalization and physical maintenance of business districts in order to create jobs, attract new businesses, and prevent the erosion of the business districts. (c) It is of particular local benefit to allow business districts to fund business related improvements, maintenance, and activities through the levy of assessments upon the businesses or real property that receive benefits from those improvements. (d) Assessments levied for the purpose of conferring special benefit upon the real property or a specific benefit upon the businesses in abusiness district are not taxes for the general benefit of a city, even ifproperty, businesses, or persons not assessed receive incidental or collateral effects that benefit them. (e) Property and business improvement districts formed throughout this state have conferred special benefits upon properties and businesses within their districts and have made those properties and businesses more useful by providing the following benefits: (1) Crime reduction. A study by the Rand Corporation has confirmed a 12-percent reduction in the incidence of robbery and an 8-percent reduction in the total incidence of violent crimes within the 30 districts studied. (2) Job creation. (3) Business attraction. (4) Business retention. (5) Economic growth. (6) New investments. (t) With the dissolution of redevelopment agencies throughout the state, property and business improvement districts have become even more important tools with which communities can combat blight, promote economic opportunities, and create a clean and safe environment (g) Since the enactment of this act the people of California have adopted Proposition 218, which added Article XIII D to the Constitution in order to place certain requirements and restrictions on the formation of, and activities, expenditures, and assessments by property -based districts. Article XIII D of the Constitution provides that property -based districts may only levy assessments for special benefits. (h) The act amending this section is intended to provide the Legislature's guidance with regard to this act its interaction with the provisions of Article XIII D of the Constitution, and the determination of special benefits in property -based districts. (1) The lack of legislative guidance has resulted in uncertainty and inconsistent application of this act which discourages the use of assessments to fund needed improvements, maintenance, and activities in property -based districts, contributing to blight and other underutilization of property. (2) Activities undertaken for the purpose of conferring special benefits upon property to be assessed inherently produce incidental or collateral effects that benefit property or persons not assessed. Therefore, for special benefits to exist as a separate and distinct category from general benefits, the SATMD Management District Plan 13 March 19, 2020 12A-22 incidental or collateral effects of those special benefits are inherently part of those special benefits. The mere fact that special benefits produce incidental or collateral effects that benefit property or persons not assessed does not convert any portion of those special benefits or their incidental or collateral effects into general benefits. (3) It is of the utmost importance that property -based districts created under this act have clarity regarding restrictions on assessments they may levy and the proper determination of special benefits. Legislative clarity with regard to this act will provide districts with clear instructions and courts with legislative intent regarding restrictions on property -based assessments, and the manner in which special benefits should be determined. 36602. Purpose of part The purpose of this part is to supplement previously enacted provisions of law that authorize cities to levy assessments within property and business improvement districts, to ensure that those assessments conform to all constitutional requirements and are determined and assessed in accordance with the guidance set forth in this act. This part does not affect or limit any other provisions of law authorizing or providing for the furnishing of improvements or activities or the raising of revenue for these purposes. 36603. Preemption of authority or charter city to adopt ordinances levying assessments Nothing in this part is intended to preempt the authority of a charter city to adopt ordinances providing for a different method of levying assessments for similar or additional purposes from those set forth in this part A property and business improvement district created pursuant to this part is expressly exempt from the provisions of the Special Assessment Investigation, Limitation and Majority Protest Act of 1931 (Division 4 (commencing with Section 2800)). 36603.5. Part prevails over conflicting provisions Any provision of this part that conflicts with any other provision of law shall prevail over the other provision of law, as to districts created under this part 36604. Severability This part is intended to be construed liberally and, if any provision is held invalid, the remaining provisions shall remain in full force and effect. Assessments levied under this part are not special taxes. ARTICLE 2. Definitions 36606. "Activities" "Activities" means, but is not limited to, all of the following that benefit businesses or real property in the district: (a) Promotion of public events. (b) Furnishing of music in any public place. (c) Promotion of tourism within the district. (d) Marketing and economic development, including retail retention and recruitment. (e) Providing security, sanitation, graffiti removal, street and sidewalk cleaning, and other municipal services supplemental to those normally provided by the municipality. (0 Other services provided for the purpose of conferring special benefit upon assessed real property or specific benefits upon assessed businesses located in the district. 36606.5. "Assessment' "Assessment" means a levy for the purpose of acquiring, constructing, installing, or maintaining improvements and providing activities that will provide certain benefits to properties or businesses located within a property and business improvement district. 36607. "Business" SATMD Management District Plan 14 March 19, 2020 12A-23 "Business" means all types of businesses and includes financial institutions and professions. 36608. "City" "City" means a city, county, city and county, or an agency or entity created pursuant to Article 1 (commencing with Section 6500) of Chapter 5 of Division 7 of Title 1 of the Government Code, the public member agencies of which includes only cities, counties, or a city and county, or the State of California. 36609. "City council" "City council" means the city council of a city or the board of supervisors of a county, or the agency, commission, or board created pursuant to a joint powers agreement and which is a city within the meaning of this part. 36609.4. "Clerk" "Clerk" means the clerk of the legislative body. 36609.5. "General benefit" "General benefit" means, for purposes of a property -based district any benefit that is not a "special benefit" as defined in Section 36615.5. 36610. "Improvement" "Improvement" means the acquisition, construction, installation, or maintenance of any tangible property with an estimated useful life of five years or more including, but not limited to, the following: (a) Parking facilities. (b) Benches, booths, kiosks, display cases, pedestrian shelters and signs. (c) Trash receptacles and public restrooms. (d) Lighting and heating facilities. (e) Decorations. (t) Parks. (g) Fountains. (h) Planting areas. (i) Closing, opening, widening, or narrowing of existing streets. 0) Facilities or equipment, or both, to enhance security of persons and property within the district. (k) Ramps, sidewalks, plazas, and pedestrian malls. (1) Rehabilitation or removal of existing structures. 36611. "Management district plan"; "Plan" "Management district plan" or "plan" means a proposal as defined in Section 36622. 36612. "Owners' association" "Owners' association" means a private nonprofit entity that is under contract with a city to administer or implement improvements, maintenance, and activities specified in the management district plan. An owners' association may be an existing nonprofit entity or a newly formed nonprofit entity. An owners' association is a private entity and may not be considered a public entity for any purpose, nor may its board members or staff be considered to be public officials for any purpose. Notwithstanding this section, an owners' association shall comply with the Ralph M. Brown Act (Chapter 9 (commencing with Section 54950) of Part 1 of Division 2 of Title 5 of the Government Code), at all times when matters within the subject matter of the district are heard, discussed, or deliberated, and with the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Division 7 of Title I of the Government Code), for all records relating to activities of the district 36614. "Property" "Property" means real property situated within a district. SATMD Management District Plan 15 March 19, 2020 12A-24 36614.5. "Property and business improvement district"; "District' "Property and business improvement district," or "district," means a property and business improvement district established pursuant to this part. 36614.6. "Property -based assessment' "Property -based assessment" means any assessment made pursuant to this part upon real property. 36614.7. "Property -based district' "Property -based district" means any district in which a city levies a property -based assessment. 36615. "Property owner"; "Business owner"; "Owner" "Property owner" means any person shown as the owner of land on the last equalized assessment roll or otherwise known to be the owner of land by the city council. `Business owner" means any person recognized by the city as the owner of the business. "Owner" means either a business owner or a property owner. The city council has no obligation to obtain other information as to the ownership of land or businesses, and its determination of ownership shall be final and conclusive for the purposes of this part. Wherever this part requires the signature of the property owner, the signature of the authorized agent of the property owner shall be sufficient Wherever this part requires the signature of the business owner, the signature of the authorized agent of the business owner shall be sufficient. 36615.5. "Special benefit' "Special benefit" means, for purposes of a property -based district, a particular and distinct benefit over and above general benefits conferred on real property located in a district or to the public at large. Special benefit includes incidental or collateral effects that arise from the improvements, maintenance, or activities of property -based districts even if those incidental or collateral effects benefit property or persons not assessed. Special benefit excludes general enhancement of property value. 36616. "Tenant' "Tenant" means an occupant pursuant to a lease of commercial space or a dwelling unit, other than an owner ARTICLE 3. Prior Law 36617. Alternate method of financing certain improvements and activities; Effect on other provisions This part provides an alternative method of financing certain improvements and activities. The provisions of this part shall not affect or limit any other provisions of law authorizing or providing for the furnishing of improvements or activities or the raising of revenue for these purposes. Every improvement area established pursuant to the Parking and Business Improvement Area Law of 1989 (Part 6 (commencing with Section 36500) of this division) is valid and effective and is unaffected by this part CHAPTER 2. Establishment 36620. Establishment of property and business improvement district A property and business improvement district may be established as provided in this chapter. 36620.5. Requirement of consent of city council A county may not form a district within the territorial jurisdiction of a city without the consent of the city council of that city. A city may not form a district within the unincorporated territory of a county without the consent of the board SATMD Management District Plan 16 March 19, 2020 12A-25 of supervisors of that county. A city may not form a district within the territorial jurisdiction of another city without the consent of the city council of the other city. 36621. Initiation of proceedings; Petition of property or business owners in proposed district (a) Upon the submission of a written petition, signed by the property or business owners in the proposed district who will pay more than 50 percent of the assessments proposed to be levied, the city council may initiate proceedings to form a district by the adoption of a resolution expressing its intention to form a district. The amount of assessment attributable to property or a business owned by the same property or business owner that is in excess of 40 percent of the amount of all assessments proposed to be levied, shall not be included in determining whether the petition is signed by property or business owners who will pay more than 50 percent of the total amount of assessments proposed to be levied. (b) The petition of property or business owners required under subdivision (a) shall include a summary of the management district plan. That summary shall include all of the following: (1) A map showing the boundaries of the district. (2) Information specifying where the complete management district plan can be obtained. (3) Information specifying that the complete management district plan shall be furnished upon request. (c) The resolution of intention described in subdivision (a) shall contain all of the following: (1) A brief description of the proposed improvements, maintenance, and activities, the amount of the proposed assessment, a statement as to whether the assessment will be levied on property or businesses within the district, a statement as to whether bonds will be issued, and a description of the exterior boundaries of the proposed district, which may be made by reference to any plan or map that is on file with the clerk. The descriptions and statements do not need to be detailed and shall be sufficient if they enable an owner to generally identify the nature and extent of the improvements, maintenance, and activities, and the location and extent of the proposed district. (2) A time and place for a public hearing on the establishment of the property and business improvement district and the levy of assessments, which shall be consistent with the requirements of Section 36623. 36622. Contents of management district plan The management district plan shall include, but is not limited to, all of the following: (a) If the assessment will be levied on property, a map of the district in sufficient detail to locate each parcel of property and, if businesses are to be assessed, each business within the district. If the assessment will be levied on businesses, a map that identifies the district boundaries in sufficient detail to allow a business owner to reasonably determine whether a business is located within the district boundaries. If the assessment will be levied on property and businesses, a map of the district in sufficient detail to locate each parcel of property and to allow a business owner to reasonably determine whether a business is located within the district boundaries. (b) The name of the proposed district. (c) A description of the boundaries of the district, including the boundaries of benefit zones, proposed for establishment or extension in a manner sufficient to identify the affected property and businesses included, which may be made by reference to any plan or map that is on file with the clerk. The boundaries of a proposed property assessment district shall not overlap with the boundaries of another existing property assessment district created pursuant to this part. This part does not prohibitthe boundaries of a district created pursuant to this part to overlap with other assessment districts established pursuant to other provisions of law, including, but not limited to, the Parking and Business Improvement Area Law of 1989 (Part 6 (commencing with Section 36500)). This part does not prohibit the boundaries of a business assessment district created pursuant to this part to overlap with another business assessment district created pursuant to this part. This part does not prohibit the boundaries of a business assessment district created pursuant to this part to overlap with a property assessment district created pursuant to this part. (d) The improvements, maintenance, and activities proposed for each year of operation of the district and the maximum cost thereof If the improvements, maintenance, and activities proposed for each year of operation are the same, a description of the first year's proposed improvements, maintenance, and activities and a statement that the same improvements, maintenance, and activities are proposed for subsequent years shall satisfy the requirements of this subdivision. SATMD Management District Plan 17 March 19, 2020 12A-26 (e) The total annual amount proposed to be expended for improvements, maintenance, or activities, and debt service in each year of operation of the district. If the assessment is levied on businesses, this amount may be estimated based upon the assessment rate. If the total annual amount proposed to be expended in each year of operation of the district is not significantly different the amount proposed to be expended in the initial year and a statement that a similar amount applies to subsequent years shall satisfy the requirements of this subdivision. (0 The proposed source or sources of financing, including the proposed method and basis of levying the assessment in sufficient detail to allow each property or business owner to calculate the amount of the assessment to be levied against his or her property or business. The plan also shall state whether bonds will be issued to finance improvements. (g) The time and manner of collecting the assessments. (h) The specific number of years in which assessments will be levied. In a new district, the maximum number of years shall be five. Upon renewal, a district shall have a term not to exceed 10 years. Notwithstanding these limitations, a district created pursuant to this part to finance capital improvements with bonds may levy assessments until the maximum maturity of the bonds. The management district plan may set forth specific increases in assessments for each year of operation of the district. (i) The proposed time for implementation and completion of the management district plan. 0) Any proposed rules and regulations to be applicable to the district. (k) (1) A list of the properties or businesses to be assessed, including the assessor's parcel numbers for properties to be assessed, and a statement of the method or methods by which the expenses of a district will be imposed upon benefited real property or businesses, in proportion to the benefit received by the property or business, to defray the cost thereof. (2) In a property -based district, the proportionate special benefit derived by each identified parcel shall be determined exclusively in relationship to the entirety of the capital cost of a public improvement, the maintenance and operation expenses of a public improvement, or the cost of the activities. An assessment shall not be imposed on any parcel that exceeds the reasonable cost of the proportional special benefit conferred on that parcel. Only special benefits are assessable, and a property -based district shall separate the general benefits, if any, from the special benefits conferred on a parcel. Parcels within a property -based district that are owned or used by any city, public agency, the State of California, or the United States shall not be exempt from assessment unless the governmental entity can demonstrate by clear and convincing evidence that those publicly owned parcels in fact receive no special benefit. The value of any incidental, secondary, or collateral effects that arise from the improvements, maintenance, or activities of a property -based district and that benefit property or persons not assessed shall not be deducted from the entirety of the cost of any special benefit or affect the proportionate special benefit derived by each identified parcel. (1) In a property -based district, the total amount of all special benefits to be conferred upon the properties located within the property -based district. (m) In a property -based district, the total amount of general benefits, if any. (n) In a property -based district, a detailed engineer's report prepared by a registered professional engineer certified by the State of California supporting all assessments contemplated by the management district plan. (o) Any other item or matter required to be incorporated therein by the city council. 36623. Procedure to levy assessment (a) If a city council proposes to levy a new or increased property assessment, the notice and protest and hearing procedure shall comply with Section 53753 of the Government Code. (b) If a city council proposes to levy a new or increased business assessment, the notice and protest and hearing procedure shall comply with Section 54954.6 of the Government Code, except that notice shall be mailed to the owners of the businesses proposed to be assessed. A protest may be made orally or in writing by any interested person. Every written protest shall be filed with the clerk at or before the time fixed for the public hearing. The city council may waive any irregularity in the form or content of any written protest A written protest may be withdrawn in writing at any time before the conclusion of the public hearing. Each written protest shall contain a description of the business in which the person subscribing the protest is interested sufficient to identify the business and, if a person subscribing is not shown on the official records of the city as the owner of the business, the protest shall contain or be accompanied by written evidence that the person subscribing is the owner of the business or the authorized representative. A written protest that does not comply with this section shall not be counted in determining a majority protest. If written protests are received from the owners or authorized representatives of businesses in the proposed district that will pay SATMD Management District Plan 18 March 19, 2020 12A-27 50 percent or more of the assessments proposed to be levied and protests are not withdrawn so as to reduce the protests to less than 50 percent, no further proceedings to levy the proposed assessment against such businesses, as contained in the resolution of intention, shall be taken for a period of one year from the date of the finding of a majority protest by the city council. (c) If a city council proposes to conduct a single proceeding to levy both a new or increased property assessment and a new or increased business assessment, the notice and protest and hearing procedure for the property assessment shall comply with subdivision (a), and the notice and protest and hearing procedure for the business assessment shall comply with subdivision (b). If a majority protest is received from either the property or business owners, that respective portion of the assessment shall not be levied. The remaining portion of the assessment may be levied unless the improvement or other special benefit was proposed to be funded by assessing both property and business owners. 36624. Changes to proposed assessments At the conclusion of the public hearing to establish the district, the city council may adopt, revise, change, reduce, or modify the proposed assessment or the type or types of improvements, maintenance, and activities to be funded with the revenues from the assessments. Proposed assessments may only be revised by reducing any or all of them. At the public hearing, the city council may only make changes in, to, or from the boundaries of the proposed property and business improvement district that will exclude territory that will not benefit from the proposed improvements, maintenance, and activities. Any modifications, revisions, reductions, or changes to the proposed assessment district shall be reflected in the notice and map recorded pursuant to Section 36627. 36625. Resolution of formation (a) If the city council, following the public hearing decides to establish a proposed property and business improvement district, the city council shall adopt a resolution of formation that shall include, but is not limited to, all of the following: (1) A brief description of the proposed improvements, maintenance, and activities, the amount of the proposed assessment, a statement as to whether the assessment will be levied on property, businesses, or both within the district, a statement on whether bonds will be issued, and a description of the exterior boundaries of the proposed district, which may be made by reference to any plan or map that is on file with the clerk. The descriptions and statements need not be detailed and shall be sufficient if they enable an owner to generally identify the nature and extent of the improvements, maintenance, and activities and the location and extent of the proposed district. (2) The number, date of adoption, and title of the resolution of intention. (3) The time and place where the public hearing was held concerning the establishment of the district. (4) A determination regarding any protests received. The city shall not establish the district or levy assessments if a majority protest was received. (5) A statement that the properties, businesses, or properties and businesses in the district established by the resolution shall be subject to any amendments to this part (6) A statement that the improvements, maintenance, and activities to be conferred on businesses and properties in the district will be funded by the levy of the assessments. The revenue from the levy of assessments within a district shall not be used to provide improvements, maintenance, or activities outside the district or for any purpose other than the purposes specified in the resolution of intention, as modified by the city council at the hearing concerning establishment of the district. Notwithstanding the foregoing, improvements and activities that must be provided outside the district boundaries to create a special or specific benefit to the assessed parcels or businesses may be provided, but shall be limited to marketing or signage pointing to the district (7) A finding that the property or businesses within the area of the property and business improvement district will be benefited by the improvements, maintenance, and activities funded by the proposed assessments, and, for a property -based district, that property within the district will receive a special benefit. (8) In a property -based district, the total amount of all special benefits to be conferred on the properties within the property -based district. (b) The adoption of the resolution of formation and, if required, recordation of the notice and map pursuant to Section 36627 shall constitute the levy of an assessment in each of the fiscal years referred to in the management district plan. SATMD Management District Plan 19 March 19, 2020 12A-28 36626. Resolution establishing district If the city council, following the public hearing, desires to establish the proposed property and business improvement district, and the city council has not made changes pursuant to Section 36624, or has made changes that do not substantially change the proposed assessment, the city council shall adopt a resolution establishing the district. The resolution shall contain all of the information specified in Section 36625. 36627. Notice and assessment diagram Following adoption of the resolution establishing district assessments on properties pursuant to Section 36625 or Section 36626, the clerk shall record a notice and an assessment diagram pursuant to Section 3114. No other provision of Division 4.5 (commencing with Section 3100) applies to an assessment district created pursuant to this part. 36628. Establishment of separate benefit zones within district; Categories of businesses The city council may establish one or more separate benefit zones within the district based upon the degree of benefit derived from the improvements or activities to be provided within the benefit zone and may impose a different assessment within each benefit zone. If the assessment is to be levied on businesses, the city council may also define categories of businesses based upon the degree of benefit that each will derive from the improvements or activities to be provided within the district and may impose a different assessment or rate of assessment on each category of business, or on each category of business within each zone. 36628.5. Assessments on businesses or property owners The city council may levy assessments on businesses or on property owners, or a combination of the two, pursuant to this part. The city council shall structure the assessments in whatever manner it determines corresponds with the distribution of benefits from the proposed improvements, maintenance, and activities, provided that any property - based assessment conforms with the requirements set forth in paragraph (2) of subdivision (k) of Section 36622. 36629. Provisions and procedures applicable to benefit zones and business categories All provisions of this part applicable to the establishment, modification, or disestablishment of a property and business improvement district apply to the establishment, modification, or disestablishment of benefit zones or categories of business. The city council shall, to establish, modify, or disestablish a benefit zone or category of business, follow the procedure to establish, modify, or disestablish a property and business improvement district. 36630. Expiration of district; Creation of new district If a property and business improvement district expires due to the time limit set pursuant to subdivision (h) of Section 36622, a new management district plan may be created and the district may be renewed pursuant to this part. CHAPTER 3. Assessments 36631. Time and manner of collection of assessments; Delinquent payments The collection of the assessments levied pursuant to this part shall be made at the time and in the manner set forth by the city council in the resolution levying the assessment. Assessments levied on real property may be collected at the same time and in the same manner as for the ad valorem property tax, and may provide for the same lien priority and penalties for delinquent payment. All delinquent payments for assessments levied pursuant to this part may be charged interest and penalties. 36632. Assessments to be based on estimated benefit; Classification of real property and businesses; Exclusion of residential and agricultural property (a) The assessments levied on real property pursuant to this part shall be levied on the basis of the estimated benefit to the real property within the property and business improvement district. The city council may SATMD Management District Plan 20 March 19, 2020 12A-29 classify properties for purposes of determining the benefit to property of the improvements and activities provided pursuant to this part. (b) Assessments levied on businesses pursuant to this part shall be levied on the basis of the estimated benefit to the businesses within the property and business improvement district. The city council may classify businesses for purposes of determining the benefit to the businesses of the improvements and activities provided pursuant to this part. (c) Properties zoned solely for residential use, or that are zoned for agricultural use, are conclusively presumed not to benefit from the improvements and service funded through these assessments, and shall not be subject to any assessment pursuant to this part 36633. Time for contesting validity of assessment The validity of an assessment levied under this part shall not be contested in any action or proceeding unless the action or proceeding is commenced within 30 days after the resolution levying the assessment is adopted pursuant to Section 36626. Any appeal from a final judgment in an action or proceeding shall be perfected within 30 days after the entry of judgment. 36634. Service contracts authorized to establish levels of city services The city council may execute baseline service contracts that would establish levels of city services that would continue after a property and business improvement district has been formed. 36635. Request to modify management district plan The owners' association may, at any time, request that the city council modify the management district plan. Any modification of the management district plan shall be made pursuant to this chapter. 36636. Modification of plan by resolution after public hearing; Adoption of resolution of intention (a) Upon the written request of the owners' association, the city council may modify the management district plan after conducting one public hearing on the proposed modifications. The city council may modify the improvements and activities to be funded with the revenue derived from the levy of the assessments by adopting a resolution determining to make the modifications after holding a public hearing on the proposed modifications. If the modification includes the levy of a new or increased assessment, the city council shall comply with Section 36623. Notice of all other public hearings pursuant to this section shall comply with both of the following: (1) The resolution of intention shall be published in a newspaper of general circulation in the city once at least seven days before the public hearing. (2) A complete copy of the resolution of intention shall be mailed by first class mail, at least 10 days before the public hearing, to each business owner or property owner affected by the proposed modification. (b) The city council shall adopt a resolution of intention which states the proposed modification prior to the public hearing required by this section. The public hearing shall be held not more than 90 days after the adoption of the resolution of intention. 36637. Reflection of modification in notices recorded and maps Any subsequent modification of the resolution shall be reflected in subsequent notices and maps recorded pursuant to Division 4.5 (commencing with Section 3100), in a manner consistent with the provisions of Section 36627. CHAPTER 3.5. Financing 36640. Bonds authorized; Procedure; Restriction on reduction or termination of assessments (a)The city council may, by resolution, determine and declare that bonds shall be issued to finance the estimated cost of some or all of the proposed improvements described in the resolution of formation adopted pursuant to Section 36625, if the resolution of formation adopted pursuant to that section provides for the issuance of bonds, under the Improvement Bond Act of 1915 (Division 10 (commencing with Section 8500)) SATMD Management District Plan 21 March 19, 2020 12A-30 or in conjunction with Marks -Roos Local Bond Pooling Act of 1985 (Article 4 (commencing with Section 6584) of Chapter 5 of Division 7 of Title 1 of the Government Code). Either act, as the case may be, shall govern the proceedings relating to the issuance of bonds, although proceedings under the Bond Act of 1915 maybe modified by the city council as necessary to accommodate assessments levied upon business pursuant to this part. (b) The resolution adopted pursuant to subdivision (a) shall generally describe the proposed improvements specified in the resolution of formation adopted pursuant to Section 36625, set forth the estimated cost of those improvements, specify the number of annual installments and the fiscal years during which they are to be collected. The amount of debt service to retire the bonds shall not exceed the amount of revenue estimated to be raised from assessments over 30 years. (c) Notwithstanding any other provision of this part, assessments levied to pay the principal and interest on any bond issued pursuant to this section shall not be reduced or terminated if doing so would interfere with the timely retirement of the debt CHAPTER 4. Governance 36650. Report by owners' association; Approval or modification by city council (a) The owners' association shall cause to be prepared a report for each fiscal year, except the first year, for which assessments are to be levied and collected to pay the costs of the improvements, maintenance, and activities described in the report. The owners' association's first report shall be due after the first year of operation of the district. The report may propose changes, including, but not limited to, the boundaries of the property and business improvement district or any benefit zones within the district the basis and method of levying the assessments, and any changes in the classification of property, including any categories of business, if a classification is used. (b) The report shall be filed with the clerk and shall refer to the property and business improvement district by name, specify the fiscal year to which the report applies, and, with respect to that fiscal year, shall contain all of the following information: (1) Any proposed changes in the boundaries of the property and business improvement district or in any benefit zones or classification of property or businesses within the district. (2) The improvements, maintenance, and activities to be provided for that fiscal year. (3) An estimate of the cost of providing the improvements, maintenance, and activities for that fiscal year. (4) The method and basis of levying the assessment in sufficient detail to allow each real property or business owner, as appropriate, to estimate the amount of the assessment to be levied against his or her property or business for that fiscal year. (5) The estimated amount of any surplus or deficit revenues to be carried over from a previous fiscal year. (6) The estimated amount of any contributions to be made from sources other than assessments levied pursuant to this part. (c) The city council may approve the report as filed by the owners' association or may modify any particular contained in the report and approve it as modified. Any modification shall be made pursuant to Sections 36635 and 36636. The city council shall not approve a change in the basis and method of levying assessments that would impair an authorized or executed contract to be paid from the revenues derived from the levy of assessments, including any commitment to pay principal and interest on any bonds issued on behalf of the district. 36651. Designation of owners' association to provide improvements, maintenance, and activities The management district plan may, but is not required to, state that an owners' association will provide the improvements, maintenance, and activities described in the management district plan. If the management district plan designates an owners' association, the city shall contract with the designated nonprofit corporation to provide services. CHAPTER 5. Renewal 36660. Renewal of district; Transfer or refund of remaining revenues; District term limit SATMD Management District Plan 22 March 19, 2020 12A-31 (a) Any district previously established whose term has expired, or will expire, may be renewed by following the procedures for establishment as provided in this chapter. (b) Upon renewal, any remaining revenues derived from the levy of assessments, or any revenues derived from the sale of assets acquired with the revenues, shall be transferred to the renewed district. If the renewed district includes additional parcels or businesses not included in the prior district, the remaining revenues shall be spent to benefit only the parcels or businesses in the prior district. If the renewed district does not include parcels or businesses included in the prior district, the remaining revenues attributable to these parcels shall be refunded to the owners of these parcels or businesses. (c) Upon renewal, a district shall have a term not to exceed 10 years, or, if the district is authorized to issue bonds, until the maximum maturity of those bonds. There is no requirement that the boundaries, assessments, improvements, or activities of a renewed district be the same as the original or prior district. CHAPTER 6. Disestablishment 36670. Circumstances permitting disestablishment of district; Procedure (a) Any district established or extended pursuant to the provisions ofthis part, where there is no indebtedness, outstanding and unpaid, incurred to accomplish any of the purposes of the district, may be disestablished by resolution by the city council in either of the following circumstances- (1) If the city council finds there has been misappropriation of funds, malfeasance, or a violation of law in connection with the management of the district, it shall notice a hearing on disestablishment. (2) During the operation of the district there shall be a 30-day period each year in which assessees may request disestablishment of the district. The first such period shall begin one year after the date of establishment of the district and shall continue for 30 days. The next such 30-day period shall begin two years after the date of the establishment of the district Each successive year of operation of the district shall have such a 30-day period. Upon the written petition of the owners or authorized representatives of real property or the owners or authorized representatives of businesses in the district who pay 50 percent or more of the assessments levied, the city council shall pass a resolution of intention to disestablish the district. The city council shall notice a hearing on disestablishment. (b) The city council shall adopt a resolution of intention to disestablish the district prior to the public hearing required by this section. The resolution shall state the reason for the disestablishment, shall state the time and place of the public hearing, and shall contain a proposal to dispose of any assets acquired with the revenues of the assessments levied within the property and business improvement district. The notice of the hearing on disestablishment required by this section shall be given by mail to the property owner of each parcel or to the owner of each business subject to assessment in the district as appropriate. The city shall conduct the public hearing not less than 30 days after mailing the notice to the property or business owners. The public hearing shall be held not more than 60 days after the adoption of the resolution of intention. 36671. Refund of remaining revenues upon disestablishment or expiration without renewal of district; Calculation of refund; Use of outstanding revenue collected after disestablishment of district (a) Upon the disestablishment or expiration without renewal of a district any remaining revenues, after all outstanding debts are paid, derived from the levy of assessments, or derived from the sale of assets acquired with the revenues, or from bond reserve or construction funds, shall be refunded to the owners of the property or businesses then located and operating within the district in which assessments were levied by applying the same method and basis that was used to calculate the assessments levied in the fiscal year in which the district is disestablished or expires. All outstanding assessment revenue collected after disestablishment shall be spent on improvements and activities specified in the management district plan. (b) If the disestablishment occurs before an assessment is levied for the fiscal year, the method and basis that was used to calculate the assessments levied in the immediate prior fiscal year shall be used to calculate the amount of any refund. SATMD Management District Plan 23 March 19, 2020 12A-32 APPENDIX 2 - ASSESSED BUSINESSES ASSESSED BUSINESS NAME ADDRESS Embassy Suites 1325 E Dyer Rd Santa Ana, CA 92705-5615 Doubletree Hotel Santa Ana 201 E Macarthur Blvd Santa Ana, CA 92707 La Quinta Inn #2006 2721 S Hotel Terrace Dr Santa Ana, CA 92705-5603 Santa Ana California Lodge 2909 S Bristol St Santa Ana, CA 92704-6206 Country Inn and Suites John Wayne Airport 2701 S Hotel Terrace Dr Santa Ana, CA 92705 Holiday Inn 2726 S Grand Ave Santa Ana, CA 92705-5404 Doubletree Club Hotel 7 Hutton Centre Dr Santa Ana, CA 92707-5794 Holiday Inn Express & Suites Santa Ana 1600 E 1St St Santa Ana, CA 92701-6316 Courtyard by Marriott Santa Ana 8 E Macarthur PI Santa Ana, CA 92707 South Coast Metro Courtyard 3002 S Harbor Blvd Santa Ana, CA 92704-6430 Motel 6 #1256 1717 E Dyer Rd Santa Ana, CA 92705 Best Western OC Airport North 2700 S. Hotel Terrace Dr., Sana Ana, CA 92705 Comfort Inn & Suites OC John Wayne Airport 2620 S Hotel Terrace Dr Santa Ana, CA 92705 Red Roof Inn 2600 N Main St Santa Ana, CA 92705-6601 Candlewood Suites 2600 S Red Hill Ave Santa Ana, CA 92705 Hampton Inn & Suites 2720 S Hotel Terrace Dr Santa Ana, CA 92705 Budget Inn & Suites of Santa Ana 1108 N. Harbor Blvd., Santa Ana, CA 92703-1605 Motel 6 #738 1623 E 1St St Santa Ana, CA 92701-6316 SATMD Management District Plan 24 Marc" 19, 2020 1 2A-33 EXHIBIT 3 EXHIBIT 3 PETITION TO THE CITY OF SANTA ANA TO FORM THE SANTA ANA TOURISM MARKETING DISTRICT We petition you to initiate proceedings to form a Tourism Marketing District in accordance with the Property and Business Improvement District Law of 1994, Streets and Highways Code section 36600 et seq., for the purpose of providing services as described in the summary of the Management District Plan attached hereto as Exhibit A. Lodging Establishment ram. 1,L /'.'..I � Ili •■ � I 11, � EM KAWK Owner Name (printed) Signature Business Owner IDA Ojapl fa Title 0 A complete copy of the Management District Plan will be furnished upon request. Requests for a complete copy of the Management District Plan should be made to: Dave Elliott Santa Ana Chamber of Commerce 1631 W. Sunflower Ave., Suite C-35 Santa Ana, CA 92704 (714) 541-5353 ext. 121 12A-34 IWAIM110-11961 PETITION TO THE CITY OF SANTA ANA TO FORM THE SANTA ANA TOURISM MARKETING DISTRICT We petition you to initiate proceedings to form a Tourism Marketing District in accordance with the Property and Business Improvement District Law of 1994, Streets and Highways Code section 36600 et seq., for the purpose of providing services as described in the summary of the Management District Plan attached hereto as Exhibit A. Lodging Establishment "S.-I J µ1 �2� Ji, -L Business Owner 4; LA ri Or��Cs.R C 90 �S - t. V^^ Owner Representative/Owner Name (printed) Title Owner/Representative Signature Date A complete copy of the Management District Plan will be furnished upon request. Requests for a complete copy of the Management District Plan should be made to: Dave Elliott Santa Ana Chamber of Commerce 1631 W. Sunflower Ave., Suite C-35 Santa Ana, CA 92704 (714) 541-5353 ext. 121 12A-35 EXHIBIT 3 PETITION TO THE CITY OF SANTA ANA TO FORM THE SANTA ANA TOURISM MARKETING DISTRICT We petition you to initiate proceedings to form a Tourism Marketing District in accordance with the Property and Business Improvement District Law of 1994, Streets and Highways Code section 36600 et seq., for the purpose of providing services as described in the summary of the Management District Plan attached hereto as Exhibit A. Lodging Establishment -Vt2 z ��� � A&t ✓.... �� �e�vvroiy �i,'lyg✓�' j� Owner V• G••,i.c.. Business Owner G"`( . kO� (printed) Title '7I"�7-& A complete copy of the Management District Plan will be furnished upon request. Requests for a complete copy of the Management District Plan should be made to: Dave Elliott Santa Ana Chamber of Commerce 1631 W. Sunflower Ave., Suite C-35 Santa Ana, CA 92704 (714) 541-5353 ext. 121 Lt- C 12A-36 EXHIBIT 3 PETITION TO THE CITY OF SANTA ANA TO FORM THE SANTA ANA TOURISM MARKETING DISTRICT We petition you to initiate proceedings to form a Tourism Marketing District in accordance with the Property and Business Improvement District Law of 1994, Streets and Highways Code section 36600 et seq., for the purpose of providing services as described In the summary of the Management District Plan attached hereto as Exhibit A. Lodging Establishment __ t � � ♦ sue• Business Owner IAc. new\ LPC. ACV\NV� Owner Representative/Owner Name (printed) Title O epresentative Signature bate A complete copy of the Management District Plan will be furnished upon request. Requests for a complete copy of the Management District Plan should be made to: Dave Elliott Santa Ana Chambe r of Commerce 1631 W. Sunflower Ave., Suite C-35 Santa Ana, CA 92704 (714) 541-5353 ext. 121 12A-37 EXHIBIT 3 PETITION TO THE CITY OF SANTA ANA TO FORM THE SANTA ANA TOURISM MARKETING DISTRICT We petition you to initiate proceedings to form a Tourism Marketing District in accordance with the Property and Business Improvement District Law of 1994, Streets and Highways Code section 36600 et seq., for the purpose of providing services as described in the summary of the Management District Plan attached hereto as Exhibit A. Lodging Establishment Owner Representative/Owner Name (printed) Owner/Representative Signature Business Owner c7Pw"YP17, G GG �� K s; Title Date A complete copy of the Management District Plan will be furnished upon request. Requests for a complete copy of the Management District Plan should be made to: Dave Elliott Santa Ana Chamber of Commerce 1631 W. Sunflower Ave., Suite C-35 Santa Ana, CA 92704 (714) 541-5353 ext. 121 12A-38 IW:/:ILy11c3 PETITION TO THE CITY OF SANTA ANA TO FORM THE. SANTA ANA TOURISM MARKETING DISTRICT We petition you to initiate proceedings to form a Tourism Marketing District in accordance with the Property and Business Improvement District Law of 1994, Streets and Highways Code section 36600 et seq., for the purpose of providing services as described in the summary of the Management District Plan attached hereto as Exhibit A. Lodging Establishment Business Owner W�l��t�cu� .1-nn �xOte55 '56-n -t 'Am, CP 1 R7D 0wnerAepr#se?gtative/Qwjer Name (printed) A complete copy of the Management District Plan will be furnished upon request. Requests for a complete copy of the Management District Plan should be made to: Dave Elliott Santa Ana Chamber of Commerce 1631 W. Sunflower Ave., Suite C-35 Santa Ana, CA 92704 (714) 541-5353 ext. 121 12A-39 IW:/:ILy11c3 PETITION TO THE CITY OF SANTA ANA TO FORM THE SANTA ANA TOURISM MARKETING DISTRICT We petition you to initiate proceedings to form a Tourism Marketing District in accordance with the Property and Business Improvement District Law of 1994, Streets and Highways Code section 36600 et seq., forthe purpose of providing services as described In the summary of the Management District Plan attached hereto as Exhibit A. Lodging Establishment Owner '/ 7-9,r- Name (printed) Owner/Representative Signature Business Owner — 'k . W�k A r-- r/ 7-/z0 Date A complete copy of the Management District Plan will be furnished upon request. Requests fora complete copy of the Management District Plan should be made to: Dave Elliott Santa Ana Chamber of Commerce 1631 W. Sunflower Ave., Suite C-35 Santa Ana, CA 92704 (714) 541-5353 ext. 121 12A-40 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPOINT DAVID ELLIOTT, MARJORIE KNITTER, PATRICK KORTHUIS, AND MARIA ROSA LOPEZ TO THE WORKFORCE DEVELOPMENT BOARD FOR A FOUR YEAR TERM EXPIRING MAY 31, 2024 CLERK OF COUNCIL USE ONLY: •e• O, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Reappoint David Elliott, Marjorie Knitter, and Patrick Korthuis to the Santa Ana Workforce Development Board representing the private sector and economic development for a four- year term expiring May 31, 2024. 2. Appoint Maria Rosa Lopez to the Santa Ana Workforce Development Board, nominated by the Orange County Labor Federation, to represent Labor (replacing Luviano) for a full four- year term expiring May 31, 2024. DISCUSSION On May 17, 2016, the Santa Ana City Council adopted Resolution 2016-031 establishing the Santa Ana Workforce Development Board (WDB) and appointed 25 members. In accordance with the federal Workforce Innovation and Opportunity Act (WIOA) Section 107(b)(2)(A-D), a local WDB board is to be composed of representatives from specific categories and the number of WDB members in the categories is to be proportional to the total membership, while maintaining a greater than 50 percent representation from the business sector. WDB Board members are to be appointed by Council under the categories of membership, prescribed by law, as follows: Representatives from local businesses 13 members Representative from labor, labor registered 5 members apprenticeship, and/or community based organization Representatives from local education institutions 3 members Representatives from government entities 4 members (Department of Rehabilitation, Social Services Agency, Employment Development Department, and Economic Development) 13A-1 Appoint Board Members to the Santa Ana Workforce Development Board September 15, 2020 Page 2 Presently, there are three members representing the private sector whose terms expired May 2020 and are being recommended for reappointment for a full four-year term - David Elliott, President and CEO of the Santa Ana Chamber of Commerce, Marjorie Knitter, President of Moote Group, and Patrick Korthuis, Owner of Sir Speedy Printing (Exhibit 1). Workforce Development Board member Priscilla Luviano, representing organized labor, has resigned. The Orange County Labor Federation is nominating Maria Rosa Lopez, from the United Food and Commercial Workers Union, Local 324, to represent labor on the WDB (Exhibit 2). All reappointments are active and committed to the goals of the City of Santa Ana and of the Workforce Development Board. FISCAL IMPACT There is no fiscal impact associated with this item. Submitted By: Steven A. Mendoza, Executive Director — Community Development Agency Exhibits: 1. Resumes — David Elliott, Marjorie Knitter, Patrick Korthuis 2. Nomination Letter— Maria Rosa Lopez 13A-2 EXHIBIT 1 DAVID L. ELLIOTT Relationship Builder and Connector of People Core Life Purpose: "Make a difference by serving God in building relationships, connecting people and being an influence" "Engaging, Aligning and Connecting baby boomer professionals in their 3`d quarter quest in making a difference by changing lives" BE a CATALYST Mantra: "Anything I can do?" "Just do Good" We are only successful and significant by the people we surround ourselves with. Professional Qualities: Non Profit and For Profit Businesses/Organizations Leadership, visionary, people and team -oriented, energetic and goal driven. Skills in: business development, sales/marketing, public/community relations and fund development. Education: Master of Arts Azusa Pacific University Graduate work in Educational Administration Biola University Bachelor of Science in Education University of Arizona Certificate in Fundraising Management, The Fundraising School, Indiana University Professional Affiliations: Board member of the Costa Mesa Chamber of Commerce Board member of the Hispanic Chamber of Cormmerce Board member of the Orange County YMCA Association 13A-3 EXHIBIT 1 Board member of the Saddleback Community College Foundation ProVisors Network Member The Barnabas Group American Association for Senior Executives Professional Experience: Santa Ana Chamber of Commerce 2010-present President and CEO Vanguard University of Southern California, 1994-2009 - Associate VP for University Relations 2000-2009 * Annually raised 125-150k in sponsorships for Christmas Fantasia and golf tournament * Recruited 20 of the 35 member Business Advisory Council for the School of Business * Represented and connected the university throughout the Orange County business community developing key strategic relationships * Provided leadership of Christmas Fantasia the premiere university event starting 10 years ago with 250 participants to this past year of over 2500 participants and performance at Segerstrom Hall * Directed all major university marketing buys and supervised publication of Vanguard magazine (2000-2003) Executive Director University Foundation 2007-2009 * added to my portfolio 2.8 million endowment * Personally recruited 12 of the current board members * Assisted the establishment of the Professional Advisory Council for planned giving - Director/Dean School for Professional Studies 1994-2000 * Started the degree completion program from scratch with 2 staff and 20k marketing budget. 100k profit after first year 13A-4 EXHIBIT 1 * Seven years later 18 staff, 300 students 3 million budget with 1.5 million profit margin * Served for 2 years as president of the South Coast Higher Education Council which included all community colleges and 4 year colleges and universities in Orange County * Served as a founding member of the Consortium for Southern California Colleges and Universities serving the Adult Learner (50 members) David Elliott and Associates, Inc. President and Founder 2004-present * Business development consulting/connecting for clients including: Exit Retirement Strategies, Al Frank Asset Management. Facilitator of the BOAT (Business Owner's Advisory Team) Client Advocate Network Managing Director 2008-present Clients include: Passkeys Foundation, Capata and Co., Summit Payroll, New York Life, Cross Media, Spyglass Realty, DGWB, Partners Bank, Coneybeare, Horizon Law and DocuSource UPG Sports, Inc. President and Founder 1993-2004 * Started this business providing youth and high school girl's basketball teams, tournament to participate in. Sold in 2004 and recognized as one of the premiere basketball tournament programs in the area serving over 1000 girls in its seven annual tournaments. Consultant Fundraising and administrative Consultant 1989-93 * Worked with area youth programs (Boys and Girls clubs, youth football and basketball programs and high school athletic teams) on various fund raising programs Mariners Church Director of Music 1984-88 13A-5 EXHIBIT 1 * Started the first music program including choirs, special groups, musical productions etc Cedar Mill Church Director of Administration and Music 1981-84 * Created the "Sing Christmas" musical outreach program hosted at local hotels reaching over 2000 people El Cajon Christian High School Principal/Vice Principal 1978-81 * Considered the youngest high school principal in the southwest with responsibility for 900 students and 50 faculty * Started Christian Community Theater with first production drawing over 6000 in attendance. Palo Verde Christian High School Principal/Athletic Director 1974-78 * Started the first athletic program * First high school principal starting with 9 students and growing in 3 years to 135 students * State small school division basketball championship (coach) * First ever fund raiser (Bike-a-thon) raised over $9,000 enough to purchase football uniforms and equipment for the first football team in school history 13A-6 11VIOOTE GROUP Land Management Specialists Marjorie A. Knitter is the inspirational president of Paul A. Moote & Associates, Inc., dba The Moore Group, a full -service construction management firm providing land development solutions to developers, builders, municipalities and lenders in all aspects of land development and infrastructure programs from entitlement through finished lots. She is well known in the Southern California construction industry, with more than 25 years of experience in land management and active leadership roles in numerous related associations. Marjorie oversees all aspect of business planning, development and management for the Santa Ana, Calif. - based firm of 22 employees that specializes in engineering feasibility, land development cost estimates and all phases of construction management. She has personally been the bid/contract administrator for both public and private developments representing more than $500 million in construction specifications and contract documents as well as manages their core business of due diligence support providing finished lot cost estimates. Since assuming leadership of The Moore Group during the economic recession in 1990, Knitter has grown the family business from seven employees to 22 and expanded the firm's expertise from civil estimating and construction management to include bid solicitation, negotiations, contract preparation and administration, utility consulting and coordination, expert witness and litigation support, risk assessment, land use permitting and entitlement, and Construction Reimbursement Support for both public and private projects throughout California, Arizona and Nevada. Diversification helped The Moore Group not only to survive, but to thrive, even in the cyclical real estate and construction industry. Knitter has industry connections that run deep, developed over years of leadership and active participation in numerous construction associations, and is the current chair of the Development Trends and Strategies Conference for the Orange County Building Industry Association. She is a regular speaker at universities and industry conferences on the topic of construction and development management. She also volunteers her time and expertise to Home Aide, Habitat for Humanity and the United Way Women's Philanthropy Fund. 1516 Brookhollow Drive, Santa Ana, CA 92705 Office:714-751-5557 Fax:714-751-4552 www.moote.com Paul A. Moote R Associates, Inc. 13A-7 Summary of Qualifications and • Marketing and public relations • Bid /contract administrator for both public and private developments • Written and administrated over $500,000,000 public construction specifications and contract documents • Field management, cost estimating, quantity takeoffs, project representation • Extensive project and construction management experience • Budget negotiation and compliance adherence • Pro -Forma Building and Due Diligence Services • Staffing recruitment for project -specific personnel • Strong knowledge of industry specifics, global and local developments • Developed computer designs, proprietary spreadsheets and computer support teams • Review pre -bid activities, reporting formats, presentations and the contract award activities • Direct company operations and management • Provide company -wide report analysis CONSTRUCTION ASSOCIATION MEMBERSHIPS Home Builders Council of the Orange County Building Industry Association — 1999 Volunteer of the Year, 2000 President— Member since 1989 • Building Industry Association / OC — 2006 -2009 Chairperson • National Association of Home Builders —Member since 1989 Environmental Management Association — Licensed Member since 1992 • Association of Construction Inspectors — Licensed Member since 1993 American Association of Cost Engineering — Certified Member since 1996 National Association of Women in Construction — Member Organization • Urban Land Institute, Orange County — Member • California Receivers Forum —Member • National Association California Bankruptcy Trustees - Member ED UCATION & PROFESSIONAL AFFILIATIONS • Instructor: Construction Management, Cost Estimating & Bid Administration — Orange Coast College, University of California, Irvine • Regular Guest Speaker for the Light Construction and Development Management Program — University of California, Irvine • HBC Design Build Competition (1988 to 1999) - Chairman for a competition of high school, R.O.P. and junior colleges construction technology students. Students design and build an 8' x 10' structure to code over a two-day period, judged by city building officials, architects and home builders. • BIS Building Industry - Program Committee, Program Speaker • PCBC Pacific Coast Building Conference - Program Committee, Program Speaker • Crittenden Real Estate Conference, Program Speaker GROUP Land Management Specialists Paul A. Moote & Associates, Inc. 13A-8 COMMUNITY SERVICE INVOLVEMENT American Business Women's Association (ABWA provides education scholarships to women who wish to enhance their careers through education) - 1990 Woman of the Year, 1991 President • United Way, Women's Philanthropy Fund— Active member since 2005 • Orange County Business Journal - 1995 Woman in Business Candidate • Home Aide Project Playhouse - Committee, Sponsor a Habitat for Humanity - Active participant for In -kind Sponsorship CURRENT • Schleisman Joint Development Agreement. Representing a consortium of builders, (Shea Homes, D.R. Horton, Lennar Homes). As an independent third party, Marjorie has provided the initial budget of shared improvements, established the fair share analysis between the consortium, and is managing the construction funding, cash -flow scheduling, bid administration and construction contracts. 2007 to present. Construction value $9.700,000. • Audie Murphy Ranch. 2,200 residential lots, 580 acres. Partially completed master planned community. Cost to complete estimate for Bank of America during pre -foreclosure event. May 2009. Cost -to -complete value $130,000,000. Etiwanda Residential Tract. 130 Finished Lots. Provided the cost to complete for the lender and assisted in the negotiations of the purchase price with the buyer. August 2009. :MOME GROUP Land Management Specialists Paul A. Moote & Associates, Inc. 13A-9 EXHIBIT 1 Patrick Korthuis Biography Sir Speedy Printing Phone: 714.574,5674 1540 S, Lyon Street Fax: 714,547,0167 Santa Ana, CA, 92705 Office Email: ss eedy112 n,eartbJiak,net Personal Email: pk.sirspeedy@eartlnlink,net Patrick was born in Bellflower, California in 1964 to a Dutch couple, Betty and Bob Kortbuls, Mr. and Mrs. Korthuis arrived in the USA a few years before Patrick was born. He considers it a blessing to be able to be raised knowing two different cultures, the Dutch and the American culture, Patrick has an older brother, Edward and a younger sister Yvonne. Patrick was very fortunate to have been able to go to Holland several times during his youth and spend tine with his Ditch relatives, The visits to Holland and the influence of his parents gave Patrick tlne opportunity to learn Dutch. Patrick learned the value of entrepreneurship at the age of nine whom he acquired his own newspaper route, delivering for the Harold Examiner, and then moved to the Independent. Press Telegram. He graduated from Gahr High School in Cerritos, He was accepted at Universal Teclmical Institute, where lie graduated with a Diesel Mechanic degree, He worked as a Mechanic for 18 years before he and Ids wife decided to venture into having their own business. After some research they bought a Sir Speedy Printing, They have had their business since 1999. In 2006 they were able to purchase a building for the business which allows them to continue to grow. The business has been in Santa Ana since 1974 and at the same location until they recently moved into their new facility at I540 S. Lyon Street in Santa Ana. Patrick is a member of the Santa Ana Chamber and Hispanic Ciianrbor of Commerce and. is past President the Santa Ana Kiwanis club. In his free time 11e enjoys working in the garden, His hobbies are motorcycle riding, water skiing, and snow skiing, His dream would be to one day drive a race car. Patrick has been blessed with three boys, Brandon 19, Jason 18 and Nathaniel 6wks, Brandon is in his second year of college attending LBSU and plans to attend Chiropractic College. Jason is a senior in High School and would like to be an lunosthesiologist. The youngest is Nathaniel and we don't know what he wants to be because lie is only 6 weeks old and doing great. Patrick and Christy have been married for nine yoars and enjoy traveling, camping, golfing and walking in their neighborhood after dinner. 13A-10 r.►:cu:�:�a It range County Labor Federation, AFL-CIO 309 N. RAMPART STREET, SUITE A - ORANGE, CALIFORNIA 92868 (714) 385-1534 - FAX: (714) 385-1544 - E-MAIL: info@oclabor.org August 28, 2020 Santa Ana Workforce Investment Board Santa Ana, CA 92701 RE: SANTA ANA WDB NOMINATION FOR MARIA ROSA LOPEZ To Whom It May Concern, The Orange County Labor Federation, AFL-CIO would like to nominate Maria Rosa Lopez for appointment to the Santa Ana Workforce Development Board. Ms. Lopez is currently an organizer for the United Food & Commercial Workers Local 324 (UFCW 324). UFCW Local 324 members are from many backgrounds and walks of life, but come together as the UFCW for the shared goal of achieving the American Dream. Ms. Lopez is a 30 year Santa Ana resident and is an active community member working on issues affecting residents such as immigration, workers' rights and domestic violence. She was named a Santa Ana Unified School District Parent of the Year and has worked with parents to increase parent participation within the SAUSD. The Orange County Labor Federation, AFL-CIO currently represents more than 93 unions in Orange County who represent more than 250,000 union members in the county. We ask for your cooperation and speedy action on this nomination. Sincer AJ Gloria Alvarado Executive Director WWWiIVY. 0Tg IW:C11:31111ra MARIA ROSA LOPEZ m ri lopez@ ufcw324.o rc1 (714)920-5452 -WORK EXPERIENCE — United Food and Commercial Workers Union Local 324 (UFCW) 05/2001 to Present —Union Organizer • Informed workers about their rights in the workplace and how they can change their lives by joining a union in order to have better wages, job security, pension, sick leave and more. • Recruited members to get support to improve union contracts. • Recruited members to walk precincts for different campaigns in Orange County. • Involved in Measure "L" campaign to improve the lives of workers in Anaheim, fighting for a living wage of $15/hour • Involved in May 1st Rallies in Santa Ana and Anaheim, fighting for justice for the immigrant community in Orange County. • Co -organized the 2006 Santa Ana "May Day" March with over 20,000 participants Hermandad Mexicana 01/1986 to 04/2001 Community Organizer • Actively participated in the Amnesty Program of 1986, recruiting thousands of immigrants to apply for this program and citizenship classes in Santa Ana. • Developed a women's group program to help victims of Domestic Violence, and Rape in Santa Ana. 13A-12 • Participated in the Census Program of 1990 and 2000 in Santa Ana. • Recruited and trained parents in the subject of Parents Rights and Responsibilities to increase participation in the Santa Ana Unified School District • Spoke twice before the Sacramento State Board in behalf of English Learners. better wages. • Organized 500 families in Santa Ana in a mass Rent Strike due to deplorable inhumane living conditions. EDUCATION 1977 —Bachelor's Degree in Architecture -National Autonomous University of Mexico with Minor in Mathematics. 1979- Master's Degree in Human Relations- National School of Pentathletes. AWARDS AND ACKNOWLEDGEMENTS 2020 Executive Board Member UFCW Local 324 • 2020 Regional Coordinator UFCW Women's Network Region 8 • 2010 OCLF Delegate of the month November • 2001 SAUSD Parent of the Year 2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: RECEIVE AND FILE UPDATE RELATING TO MILITARY RECOGNITION OPTIONS CITY MANAGER 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 19111111111►1JIl qC7 RECOMMENDED ACTION Receive and file update relating to military recognition options. DISCUSSION At the July 21, 2020 meeting, staff presented an informational report to the City Council to provide an overview of concepts and ideas to recognize Santa Ana residents who have served in the U.S. military. In summary, staff presented the following options: incorporate military recognition into the design of the Orange County Civic Center; establish a veterans museum; deploy a street banner program; highlight stories of military veterans in City -issued printed materials; launch a digital and social media campaign to tell veterans' stories; reimagine military recognition at the Fourth of July celebration; partner with veterans -related organizations to support their existing programs and services; and support Veterans Day events. At the direction of the City Council, staff has been tasked with evaluating the following options: Install a Plaque, Fountain, or Statue in the Civic Center Through a collaborative effort, the City of Santa Ana could partner with all of the Civic Center tenants, which would include engaging representatives of all of the government agencies at each level of government, to expand upon the County of Orange's Master Plan. Specifically, the City of Santa Ana could advocate for design elements for the Civic Center that incorporate military recognition. Such design elements could include physical enhancements like statues, monuments, memorial spaces (walks, plazas, fountains, walls, etc.) plaques, and other art installations, which recognize U.S. military veterans. Additional options include renaming park/open space with a military hero's name, encouraging new developments to have a veteran hero's name, renaming streets, renaming City Hall conference rooms with a military hero name, etc. Staff has reached out to artists who engage in this type of work and according to preliminary estimates, non -customized sculptures can cost as low as $6,500, while custom-built sculptures and statues can cost upwards of $100,000—and can take up to one year to build and deliver. At this time, there is no funding source identified to engage with an artist to procure such a sculpture. 19C-1 Receive and File: Military Recognition Options Update September 15, 2020 Page 2 Launch a Digital Registry for Santa Ana Residents to Share Contact Information of Veterans As a way for military veterans to share their contact information, staff has set up a form on our City website where residents who have served in the Armed Forces can self -report their basic contact information (name, address, email, and phone number) and their service information (branch of service, entry date, and discharge date). The form is accessible at www.santa-ana.org/form/veteran-registry-form. Implement a Banner Program and Consider Corporate Sponsorship to Pay for the Banners Cities across the United States utilize their street light and utility poles to display commemorative banners to recognize their residents who have served in the U.S. military. To implement these types of programs, it is common that the custom street banners display the name, branch, and year that the individual served, and are placed along main roads throughout the cities. The City of Santa Ana could utilize its existing street light/utility pole banner program to implement this option. Staff estimates that the cost for each banner, which includes the printed banner, display hardware, installation, and removal, is approximately $275 per banner. There is no funding source identified for this item. Establish a Veterans Museum To celebrate the legacy of Orange County veterans, to honor their sacrifices, and to educate and inspire the community through their stories and personal experiences, in 2016 Orange County government officials established Heroes Hall —a free, permanent, year-round museum and education center with exhibitions, performances and educational programs that celebrate the legacy of Orange County veterans and others who have served in the U.S. military. The two-story exhibition space rotates themes semi-annually, with each focusing on an aspect of the personal stories and experiences of veterans. Housed in a renovated 1942 Santa Ana Army Air Base barracks building, Heroes Hall consists of 3,600 square feet of exhibition space, as well as the Medal of Honor Courtyard and Orange County Walk of Honor (which was relocated from the Orange County Civic Center in 2016). Veterans museums, such as Heroes Hall, serve as place -based hubs for the public to engage in learning about local military veterans, access collections for educational purposes, and participate in civic dialogue. Although it is located outside of city limits, Heroes Hall serves the Santa Ana community. At this time, staff recommends that the City Council not consider establishing a veterans museum in Santa Ana. As an alternative, the City can find ways to support Heroes Hall, such as by providing a one-time or on -going donation. Pursue Military Recognition Programming for Upcoming Fourth of July Events For the past several years, the City of Santa Ana has hosted an annual Fourth of July celebration at Centennial Park. The purpose of the event is to provide shared space for the community to celebrate and recognize the independence of the United States, as well as to commemorate those who have served in the U.S. military and have fought for and preserved the freedoms that residents enjoy. Currently, as part of the Fourth of July celebration's programming, U.S. military veterans in attendance are invited to gather at the main stage area to be recognized. Members of the Santa 19C-2 Receive and File: Military Recognition Options Update September 15, 2020 Page 3 Ana City Council and other Orange County elected officials are invited to speak and recognize the participating veterans as well. If COVID-19-related public health restrictions (such as restrictions on events, gatherings, and related activities) are lifted, staff will commence planning efforts for the 2021 Fourth of July celebration, which will include a new focus on military recognition. FISCAL IMPACT There is no fiscal impact associated with this action. Submitted By: Kristine Ridge, City Manager 19C-3 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: RECEIVE AND FILE CANNABIS PUBLIC BENEFIT FUND FOR YOUTH SERVICES INFORMATIONAL UPDATE 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 /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Receive and file Cannabis Public Benefit Fund for Youth Services informational update. DISCUSSION Below is a list of Cannabis funded youth services implemented by the following departments: Library Services Agency (7), Parks, Recreation and Community Services Agency (10), and City Manager's Office (1). Library Services 1. Book/Tech Mobile Provide mobile library services to meet the changing community needs by serving people where they live, learn, work, and play with an emphasis on technology, robotics, and STEM learning. Mobile services provide critical access to library material, programming, and technology. Completed: • Bid advertisement for the bookmobile, a custom designed Ford Transit van. • On August 18, 2020, the City Council approved a grant agreement accepting grant funds from the California State Library for the Knowledge Mobile "Know- Mo": This grant funding provides additional books, educational programs, and technology for the new bookmobile service. In Progress: Bidding process has closed and a vendor has been selected. The awarding of a purchase order in the amount of $169,240 to Matthews Specialty Vehicles Inc. for a new bookmobile has been placed on the 9/1/2020 City Council Agenda. Timeline: Bookmobile deployment anticipated for December 2020, however, may depend upon vendor's timeline to build the vehicle. 19D-1 Receive and file Cannabis Public Benefit Fund for Youth Services September 15, 2020 Page 2 2. Newhope Branch Library Provide increased programming for children and youth along with an expanded book collection with age appropriate content for children and teens. Increase the operating hours from 27 to 48 per week. Provide new library furniture with designs and colors that are attractive to children and youth. Create additional spaces for teen activities focusing on STREAM (science, technology, reading, engineering, art, and mathematics) based programming. Dedicate a professional librarian to offer improved library service to children and youth. Renovate the exterior landscaping, paint the building, perform ADA upgrades for improved accessibility, upgrade lighting, and provide additional security patrols to offer safer spaces for youth in the community. Completed: • Purchased new books to refresh the youth collection area and accommodate multiple languages. • Purchased Wi-Fi hot spots for the community to utilize. • Painted outside of building and sign. • Refreshed landscaping around the building, added sidewalks, improved lighting, and repaved the parking lot. • Renovated youth learning center area of the library. In Progress: • Repurpose craft room storage to a useable space for youth and teen activities. • Dedicate one full time library staff to operate the facility. • Increase operating hours from 27 to 48, per week, open Monday through Saturday. Timeline: • Curbside pickup service and phone reference/circulation services beginning September 8, 2020. • The facility will completely reopen once COVID-19 restrictions are lifted. 3. Children's Outdoor Playground Renovate the children's patio area at the Main Library to include a play structure, new seating, and general improvements to the landscaping. Completed: Scheduled a meeting with Public Works Agency engineers to conduct an initial site walk and establish a conceptual layout of the area. In Progress: Identify potential vendors for children's style climbing structures that feature learning components. Timeline: Anticipated completion June 30, 2021. 19 D-2 Receive and file Cannabis Public Benefit Fund for Youth Services September 15, 2020 Page 3 4. Laptop Dispenser Kiosks Procure laptop dispenser kiosks to check out computers at the Library. The self-service kiosks will utilize a patron's library card for quick access to a computer for use at the Library. Completed: Researched various vendors to provide kiosks at the Newhope and Main libraries. In Progress: Identify potential locations suitable in terms of both power and data requirements for the laptop dispensers. Timeline: Anticipated completion June 30, 2021. 5. Furniture — Children's area and Teen space Upgrade the children's area and provide new furniture in the Teen space area at the Main Library. Completed: Identify type of furniture and location. In Progress: Identify vendor and procure furniture. Timeline: Anticipated completion June 30, 2021. 6. Wireless Hotspots Increase the number of wireless hotspots for youth. Expand services to include compliant hotspots that provide filtered internet access that is safer for youth. Completed: Additional hotspots ordered and received. In Progress: Testing and processing the hotspots into the Library's online catalog system. Delivery of protective carrying bags and charging units. Timeline: Anticipated deployment begins September 1, 2020. 19 D-3 Receive and file Cannabis Public Benefit Fund for Youth Services September 15, 2020 Page 4 7. Digital Collection for Teens Expand the Library's digital collection with a focus on providing materials for teens. Completed: Overdrive a -book and e-audiobook collection available on the website. In Progress: • Amend Overdrive contract to allow for more electronically downloadable titles with content that is specifically geared toward youth. • Order initial round of electronic books. Timeline: Anticipated deployment January 1, 2021. Parks, Recreation and Community Services Agency 1. Santa Ana Community Connections: The Zoo & You Provide a series of programs and experiences for Santa Ana youth of all ages (toddler through high school) to build direct connections between the diverse community and the Zoo. Include a variety of experiential learning opportunities with multiple entry points for nature exploration, discovery, and STEAM skills and leadership development for future environmental stewards. Offer programs fulfilled through dedicated resources including an outreach vehicle, outdoor amphitheater sound system, and connected "smart" board for the zoo classroom. Completed: • Prepared a detailed 28-page program guide outlining the specific staffing needs, supplies, timeline, and goals of this programmatic series. • Provided free weekly virtual live education programs to SAUSD elementary students during the COVID-19 shutdown. • Provided regularly scheduled youth virtual nature lab programs for Santa Ana residents. Over 300 youth signed up for the first program in July 2020. In Progress: • Hire two full—time Zoo Education Specialist staff positions and additional part-time Program Coordinators to accommodate the program. • Create specifications for the new outreach vehicle and procure. • Procure smart board, amphitheater sound system, and equipment. • Expand virtual programming. Timeline: Anticipated deployment of in person programing once COVID-19 restrictions are lifted. 19 D-4 Receive and file Cannabis Public Benefit Fund for Youth Services September 15, 2020 Page 5 2. Splash Pads Install six splash pads throughout the park system. Initial installation will be at the Santa Ana Zoo, Memorial Park, Cesar Chavez Park, Thornton Park, El Salvador Park, and Lillie King Park. In Progress: Coordinating with Public Works Agency for the design, development, and construction of splash pads Timeline: Anticipated timeline is to be established when contractor is hired. 3. Year -Round Aquatics Provide year-round aquatics at Memorial Pool for youth in our community to be safer in the water and stay physically active. Enhance hours of operation and expand aquatic recreational and instructional opportunities that include, but are not limited to water polo, Mommy & Me swim classes, lap swim, recreational swim, swim lessons, and swim team. Completed: • Executed an agreement with Blueray Management, LLC. for management and operation services of the aquatic programs at City pools. • Trained aquatic personnel for programming. In Progress: Reopening of modified aquatic programming due to COVID-19. Timeline: Aquatic programming at Memorial Pool will continue throughout the fall. 4. Youth and Teen Excursions Provide monthly excursions (12 total) free of charge for Santa Ana youth and teens (ages 10-14). Completed: • February 10, 2020, held first excursion at the DEFY OC in Mission Viejo. • March 21, 2020, scheduled a trip to Boomers in Irvine, but it was cancelled due to COVID-19. In Progress: Post COVID-19 excursions include: Soak City, Knott's Berry Farm, Galaxy soccer game, Disneyland, Ducks hockey game, and a Big Bear snow trip. Timeline: Anticipated continuation of program once COVID-19 restrictions are lifted. 19D-5 Receive and file Cannabis Public Benefit Fund for Youth Services September 15, 2020 Page 6 5. Anti -Drug Education Programs Partner with an agency to offer anti -drug education programs to the community. Completed: On August 18, 2020, the City Council authorized an agreement with America On Track to provide drug use prevention education programs. In Progress: Contractor is developing promotional materials, preparing to recruit and register participants, and implement the program. Youth in elementary, middle, and high school age groups will be assigned to a cohort and will participate in the curriculum based program. ItM, W Anticipated start date is September 2020, if COVID-19 restrictions are lifted. 6. Fitness Courts Order and install Fitness Courts (2) at El Salvador Park and Cabrillo Park. Completed: • On March 15, 2019, the City of Santa Ana received five $30,000 grants from National Fitness Campaign, LLC (NFC) to participate as a Model City in the 2019 National Fitness Campaign. Approval of the multi -site application was based on the City of Santa Ana's commitment to free health and fitness options, and development of stakeholder consensus. • On June 4, 2019, the City Council adopted a resolution accepting the 2019 NFC grant of $30,000, per site, and agreeing to provide funds for the remaining purchase price of equipment and cost of installation, at five City sites: Jerome Park, Delhi Park, El Salvador Park, Memorial Park, and Rosita Park. One site location changed from Memorial Park to Cabrillo Park. • On December 14, 2019, the City held a ribbon cutting ceremony for the first outdoor fitness court installation at Jerome Park. The installation of fitness courts at Delhi Park and Rosita Park are completed, however ribbon cutting ceremonies are postponed until COVID-19 restrictions are lifted. • On August 18, 2020, the City Council approved NFC for Fitness Courts at El Salvador Park and Cabrillo Park. In Progress: Installation of fitness courts at El Salvador Park and Cabrillo Park. litmi lml - • Sites to be prepared (sites excavated, concrete pads poured and rubber tiles installed) in September through November. • Fitness courts to be installed in December. 19 D-6 Receive and file Cannabis Public Benefit Fund for Youth Services September 15, 2020 Page 7 7. Youth Paid Internships Provide youth paid internships in partnership with the Santa Ana Youth (SAY) Employment Program administered by the Santa Ana WORK Center. Offer paid summer work experiences for approximately 100 youth, ages 16-19. Completed: • Program elements for eligible youth enrolled in the SAY Employment Program. • Activities providing a comprehensive strategy that addresses employment and training needs: o Work Experience (20 hours per week for 6-7 weeks) o Employment Readiness Skills o Career Development o Child Labor Laws o Post -Secondary Education information o Life Skills o Financial Literacy Timeline: • Prepared to enroll 100 youth in February 2021, if COVID-19 restrictions are lifted. • Program starts in summer 2021. 8. Traveling Zoo Exhibit Provide traveling zoo exhibits to present new and exciting opportunities to youth without the cost of development, construction, and maintenance of a permanent exhibit. Offer local youth, who may have significant transportation and financial barriers, to visit similar displays at other cultural venues further away. Completed: Initial research on possible exhibits. In Progress: Request for Proposals to seek exhibit options. Timeline: Anticipated deployment once COVID-19 restrictions are lifted. 9. Youth Programs and Services Hire three full-time Recreation Leader positions to operate community centers and provide youth programs and services. Timeline: Anticipated deployment once COVID-19 restrictions are lifted. 19 D-7 Receive and file Cannabis Public Benefit Fund for Youth Services September 15, 2020 Page 8 10. Funding for Third Parties to Provide Youth Programs and/or Services One-time Cannabis Funding for Fiscal Year 2020-21 will go towards third party programs to provide youth programs and/or services for City of Santa Ana residents. In Progress: • Preparing a competitive grant application process seeking proposals for youth programs and/or services to be offered by third party providers. • Requesting the Youth Commission's input at the September 25, 2020 Youth Commission meeting. Timeline: Accept applications, review, and award October through December 2020. City Manager's Office 1. Deferred Action for Childhood Arrivals Defense Fund Provide $100,000 to the Deferred Action for Childhood Arrivals Defense Fund. Completed: At the July 7, 2020 meeting, the City Council allocated an additional $100,000 to the Santa Ana Deportation Defense Fund (sometimes referred to as "immigration legal defense fund") to provide legal representation, under the universal representation model, to undocumented immigrants facing removal (or deportation) proceedings. As part of this one-time allocation of $100,000, the City Council directed staff that these funds be made available to provide legal representation to individuals in Santa Ana who are recipients of the Deferred Action for Childhood Arrivals (DACA) program and also facing removal proceedings. The City's legal service provider, Immigrant Defenders Law Center, has been made aware and has ensured City staff that Santa Ana residents who are recipients of DACA are eligible to receive legal representation. In Progress: As part of the agreement between Immigrant Defenders Law Center and the City of Santa Ana, Immigrant Defenders Law Center sends monthly reports to the Vera Institute of Justice, a social justice organization that provided grant funds to the City in 2017 to launch the Santa Ana Deportation Defense Fund under the universal representation model. While these monthly reports contain confidential, attorney -client privileged data, from time to time both Immigrant Defenders Law Center and the Vera Institute of Justice prepare reports for the City with aggregated data. Timeline: The Santa Ana Deportation Defense Fund is an on -going program. 19 D-8 Receive and file Cannabis Public Benefit Fund for Youth Services September 15, 2020 Page 9 FISCAL IMPACT Below is a list of programs and projects to be undertaken during Fiscal Year (FY) 2020-21. Funding for these programs and projects is attributed to funds received in FY 2019-20 or planned revenues from FY 2020-21. Funding has already been appropriated for programs and projects with FY 2020- 21 funding as part of the City's annual budget process. Funding related to programs and projects with FY 2019-20 funding will be included as part of the annual citywide (multi -department) carry forward request to appropriate prior year funds, which will be presented to the City Council as a future date. Fiscal Year Program/Project Title (Amount) Total Amount 2019-20 New Hope Furniture ($298,010) $4,072,308 Carry Children's area and Teen space/main library ($200,000) Forward Splash Pads (3,474,298) Third Parties Providing Youth Programs and/or Services $100,000 2020-21 Book/Tech Mobile ($350,000) $3,368,180 Newhope Branch Library ($110,000) Children's Outdoor Playground ($500,000) Laptop Dispenser Kiosks ($60,000) Wireless Hotspots ($140,000) Digital Collection for Teens ($70,000) Zoo and You Program ($404,060) Year -Round Aquatics ($183,000) Youth and Teen Excursions ($184,000) Anti -Drug Education Programs ($60,000) Fitness Courts ($300,000) Youth Paid Internships ($500,000) Traveling Zoo Exhibit ($250,000) Youth Programs and Services ($157,120) Deferred Action for Childhood Arrivals Defense Fund $100,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency Submitted By: Lisa Rudloff, Executive Director— Parks, Recreation, and Community Services Agency Brian Sternberg Executive Director — Library 19 D-9 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPROVE AN APPROPRIATION ADJUSTMENT TO RECOGNIZE FEDERAL CLEAN WATER PROTECTION ENTERPRISE FUNDS IN THE AMOUNT OF $225,000 AND AN INCREASE IN CONTINGENCY FUNDS FOR AN EXISTING CONTRACT WITH LONEROCK, INC. IN THE AMOUNT OF $500,000 TO PERFORM ADDITIONAL DEWATERING OPERATIONS FOR THE SANTA ANA DELHI CHANNEL DIVERSION PROJECT, FOR AN ESTIMATED TOTAL PROJECT DELIVERY COST OF $6,886,775 (PROJECT 16-6467) (NON -GENERAL FUND) /s/ Kristine Ridge CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1st Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER RECOMMENDED ACTION 1. Approve an appropriation adjustment recognizing $225,000 in Federal Clean Water Protection Enterprise, Prior Year Fund Balance and appropriating same into the Federal Clean Water Protection Enterprise, Improvements Other Than Building expenditure account. 2. Approve an increase to existing contract contingencies in the amount of $500,000 to perform additional dewatering operations for the Santa Ana Delhi Channel Diversion Project. DISCUSSION On December 6, 2016, the City Council awarded a contract to Lonerock, Inc. in the amount of $4,593,375, with a contingency of $1,024,800, for the Santa Ana -Delhi Channel Diversion Project. The goal of the project is to improve water quality and increase regional groundwater supplies. The City of Santa Ana is the lead agency in this multi -agency regional effort, and Santa Ana greatly benefits from this project because it helps the City meet federal storm water program requirement mandates by California State Water Resources Control Board. The project is located south of SR- 73 and east of SR-55 in the Newport Beach Golf Course (Exhibit 1). During construction, it was discovered that water from the existing channel was seeping into the diversion structure. To avoid stagnant water affecting the diversion structure, staff directed the 20A-1 Appropriation Adjustment and Addition of Contingency Funds to Lonerock Inc. Contract September 15, 2020 Page 2 contractor to install an additional pump and monitor the well to remove the ground water until construction of the diversion structure were to be completed. Based on time and material costs, the request for additional services will total $500,000. The construction contingency originally allocated for this project has been depleted due to change orders, such as additional excavation, subgrade treatment, material import, Continuous Deflective Separation unit modification, catch basin, trail, permits, water main, electrical conduit, and irrigation mainline. Staff is recommending an increase in contingency (Exhibit 2), funded by the Federal Clean Water Protection Enterprise Fund, to cover the additional services provided by Lonerock, Inc. ENVIRONMENTAL IMPACT On May 3, 2016, the City Council approved a mitigated Negative Declaration (MND) in accordance with the California Environmental Quality Act (CEQA). 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 The table below summarizes the original authorized construction expenditures. The requested increase in contingencies of $500,000 will be funded by the project's available balance from prior years of $275,000 and the requested appropriation adjustment in the amount of $225,000. EXPENDITURE CATEGORY ORIGINAL AMOUNT ADDITIONAL AMOUNT NEW TOTAL Construction Contract $4,593,375 $0 $4,593,375 Construction Administration $409,920 $0 $409,920 Inspection and testing $358,680 $0 $358,680 Contingencies 1 $1,024,800 $500,000 $1,524,800 TOTAL: 1 $6,386,775 $500,000 $6,886,775 Approval of the appropriation adjustment will recognize $225,000 in the Federal Clean Water Protection Enterprise, Prior Year Fund Balance revenue account (No. 05717002-50001) and appropriate same into the Federal Clean Water Protection Enterprise, Improvements Other Than Building expenditure account (No. 05717640-66220) to fully fund the requested increase in contingencies. The funds currently budgeted in the amount of $275,000 will be carried forward from FY 2019-20 to FY 2020-21. 20A-2 Appropriation Adjustment and Addition of Contingency Funds to Lonerock Inc. Contract September 15, 2020 Page 3 The following table summarizes the funds budgeted and available for expenditure in Fiscal Year 2020-21. Fiscal Year Accounting Unit- Fund F Accounting Unit, Account Amount Account # Description Description EXISTING PROJECT BUDGET Federal Clean Federal Clean Water FY 2020-21 05717640-66220 Water Protection Protection Enterprise, $100,000 (16-6467) Enterprise Improvements Other Than Building 05717660-66220 Federal Clean Delhi Diversion Project, FY 2020-21 (16-6467) Water Protection Improvements Other Than $175,000 Enterprise Building APPROPRIATION ADJUSTMENT Federal Clean Federal Clean Water FY 2020-21 05717640-66220 Water Protection Protection Enterprise, $225,000 (16-6467) Enterprise Improvements Other Than Building Total: $500,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Exhibits: 1. Location Map 2. Cost Analysis 20A-3 w_ PAULARINO AV Proposed PlpellnofSewer — == Connection h = BAKER ST t+ i i 03� A4LfLARINO CHANNEL (FQ3J a r.....aanan aauaa;naa.�eia lAi� A` 6 40 • •�i'n as *� 5P'Ot' ,ate ��q' CAL' 0 •�5 a soo t,aoa � / t i F i l Feel °o / ARLINGTON DRY �� f JOHYV tWAYNE cONravct uB arRroRr �.\ �):.7i 4'➢!] jai s'.p� ti - Q •�'� PROPOSED Legend �'� DIVERSION Q / Proposed Diversion Pipeline \ STRUCTUREv��a'1�t�P/ now Existingsewerline /• P��O�'°� �2 '� ..,Ran MCD Crainage Facilities f •` ��\.✓ — — City Boundaries Location Map EXHIBIT 1 SANTA ANA PW1 Project No. 16-6467: Santa Ana Delhi �i Channel Diversion PUBLIC WORKS MERCY 20A-4 COST ANALYSIS CONSTRUCTION OF THE PROJECT NO. 16-6467: SANTA ANA DELHI CHANNEL DIVERSION PROJECT Construction Contract $ 4,593,375 Contract Administration $ 409,920 Inspection and Testing $ 358,680 Contingencies $ 1,024,800 Contingencies increase (This Action) $ 500,000 TOTAL ESTIMATED CONSTRUCTION COSTS $ 6,886,775 EXHIBIT 2 20A-5 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPROVE APPROPRIATION ADJUSTMENT AND AGREEMENT ACCEPTING $99,445.50 IN 2019 EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANTFUNDS (NON -GENERAL FUND) CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CK�7►111►U1q�iC�. /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Approve an appropriation adjustment accepting $99,445.50 in the Law Enforcement Grants Revenue account (No. 1281400-52001) and appropriate same in the Byrne Justice Assistance account (No. 12814409-63001). 2. Authorize the City Manager to execute an agreement (Award #2019-DJ-BX-0899) with the Orange County Sheriff's Department for the period of September 15, 2020 through September 30, 2022, accepting 2019 Edward Byrne Memorial Justice Assistance Grant program funds in the amount of $99,445.50, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Edward Byrne Memorial Justice Assistance Grant (JAG) program provides federal criminal justice funding to state and local jurisdictions. JAG awards are based on a statutory formula that equally weighs the City's share of violent crime and population according to statistics from the Burea of Justice Statistics (BJS). JAG requires a single unit of county government to function as the applicant/fiscal agent to apply for, receive, and administer the funds on behalf of the entire County. A memorandum of understanding designated the County of Orange, Sheriff -Coroner Department as the lead agency for this program that runs through September 30, 2022. Funding in the amount of $110,495 has been allocated to the City of Santa Ana for the 2019 JAG allocation. JAG also allows the fiscal agent for each county to use a portion of the award for costs associated with administering the funds. The Orange County Sheriff's Department will retain $11,049.50, 10 percent (10%) for administrative fees. The remainder of the funds in the amount of $99,445.50 will be utilized by the Police Department to enhance officer safety by purchasing 28 protective vests for the SAPID SWAT unit. The protective vests used by SWAT have an expiration date of approximately five years and the current inventory is in need of replacement. 20B-1 2019 Eward Byrne Memorial Justice Assistance Grant September 15, 2020 Page 2 FISCAL IMPACT The appropriation adjustment will recognize $99,445.50 in the Law Enforcement Grants Revenue account (No. 12814002-52001) and appropriate same in the Byrne Justice Assistance account (No. 12814409-63001) for the following fiscal years: Fiscal Year Accounting Unit- Accounting Unit, Account Amount Account # Description FY 2020-21 12814409-63001 Byrne Justice Assistance $99,445.50 Total $99,445.50 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: David Valentin, Chief of Police - Police Department Exhibit: 1. Agreement with the Orange County Sherriff's Department 20B-2 Exhibit J MEMORANDUM OF UNDERSTANDING BETWEEN THE COUNTY OF ORANGE (SHERIFF) AND THE CITY OF SANTA ANA TO DISTRIBUTE THE 2019 EDWARD BYRNE MEMORIAL FUND —JUSTICE ASSISTANCE GRANT "JAG' AWARD #2019-DJ-BX-0899 AWARD DATE 9/18/2019 ACCEPTANCE DATE: 7/14/2020 I. Participants Participants hereto acknowledge the County of Orange as lead fiscal agent in charge of programmatic oversight and administration of funds and compliance over all eligible participant law enforcement agencies, hereinafter referred to individually as "Party" and jointly as "the Parties." IL Purpose The purpose of this Memorandum of Understanding (MOU) is to support of the objectives of the Office of Justice Programs, expressly those identified as Priority Purpose Areas (PPAs) for the term of this award. Ill. Program Overview and Description of Project(s) The Edward Byrne Memorial Justice Assistance Grant Program (JAG) allows states and units of local government, including tribes, to support a broad range of criminal justice related activities based on their own state and local needs and conditions. Equipment purchases or funded initiatives such as overtime, task forces, drug programs, information sharing, etc. will be aimed at reducing crime and/or enhancing public/officer safety. JAG funds can be used for state and local initiatives, technical assistance, training, personnel, equipment, supplies, contractual support, and information systems for criminal justice, including for any one or more of the following purpose areas: 1) law enforcement programs; 2) prosecution and court programs; 3) prevention and education programs; 4) corrections and community corrections programs; 5) drug treatment and enforcement programs; 6) planning, evaluation, and technology improvement programs; 7) crime victim and witness programs (other than compensation); and 8) mental health programs and related law enforcement and corrections programs, including behavioral programs and crisis intervention teams. The County of Orange (Sheriff) will determine validity of each project included in the application r1- MEMORANDUM OF UNDERSTANDING BETWEEN THE COUNTY OF ORANGE (SHERIFF) AND THE CITY OF SANTA ANA TO DISTRIBUTE THE 2019 EDWARD BYRNE MEMORIAL FUND —JUSTICE ASSISTANCE GRANT "JAG" AWARD #2019-DJ-BX-0899 AWARD DATE 9/18/2019 ACCEPTANCE DATE: 7/14/2020 and subsequent awards. JAG funding will be used to support criminal justice initiatives that fall under one or more of the allowable program areas above. This award is subject to all administrative and financial requirements, including the timely submission of all financial and programmatic reports, resolution of all interim audit findings, and the maintenance of a minimum level of cash -on -hand. Should you not adhere to these requirements, you will be in violation of the terms of this agreement and the award will be subject to termination for cause or other administrative action as appropriate. THE UNDERSIGNED PARTIES HERETO ACKNOWLEDGE THE RECEIPT OF FUNDS FROM THE DEPARTMENT OF JUSTICE AND TRANSFER OF FUNDS FROM COUNTY TO MUNICIPAL GOVERNMENTS AS DETAILED IN "ATTACHMENT 1: LOCAL AWARD ALLOCATION TABLE: ORANGE COUNTY, CA." COUNTY OF ORANGE L- A ORANGE COUNTY SHERIFF DON BARNES on behalf ofCOUNTY EXECUTIVE OFFICER, FRANK KIMUTHORIZED SIGN TORY ORANGE COUNTY SHERIFF'S DEPARTMENT FISCAL AGENT, GRANTS ADMINISTRATOR SANTA ANA CITY SANTA ANA POLICE DEPARTMENT CITY MANAGER AUTHO SANATORY AUTHORIZED SIGNATORY APPROVED A$ TO FOW- OFiICE OF THE COUNTY COLWM ORANGE. COUNTY, CAIJ�iORtGA or 20B-4 O O O O O O O O O a- r 0 (OD (00 M O a WO C 0 O QfA EA Efl EA EA Eli EA V-1 H3 EA 0 0 0 0 0 0 0 0 0 0 N I O W W O W O N O c r W m 0 0 W N O) W W c00 co 0 7 v O W 0 0 0 W N N N V N N� N LL C E QEA �E»E»u3»Ev e3 ev F» Q O O O O O O O O O O N F- W i E mlm m m m m m m m c nnaO. O-.n n. nn i 7 C C C C C C C C C W } �y W U c ZU) �UQ } } U U U> m � O J F Y Q O Z U W mo Q U Q W 0 0 U Z z W �d 2FZ C7 W Q d(D W QQw W?CD Q� F F -GZSZ�OZFF �<<uj �XZaZN w o< m oU o l O w�: c dO n C d E C d O t9 rI- Attachment A JAG Jurisdictional Projects by Individual City BJA-2019-15141 Edward Byrne Memorial Justice Assistance Grant Program CFDA# 16.738 Grantee: Santa Ana Police Department proposes to use the 2019 Justice Assistance Grant Program funding as follows: PROJECT OVERVIEW JAG funds will be utilized to support the purchase of SWAT Tactical Body Armor. PROJECT GOALS The goal for this project is to improve and enhance officer safety. This will be accomplished by enhancing/replacing the current SWAT tactical body armor that is due for replacement. PROJECT STRATEGIES The Santa Ana Police Department proposes to use the new equipment to improve officer safety. The SWAT tactical body armor will enhance officer safety as the proposed equipment is superior to the current tactical body armor used by officers. The newer available technology is lighter, offers a higher ballistic rating, and has an improved fastening design. PROJECT IDENTIFIERS: Body Armor-Tactial; Career Criminals; Counter Terrorism; Equipment — General; Equipment — Tactical; Officer Safety; Officer Wellness; BUDGET DETAIL AND NARRATIVE Total estimated cost for the equipment is $103,814.81. The grant will cover $102,832.20 of this total cost. Equipment Estimate Qty. Est. Cost Ea. Subtotal 35 2,715 95,025.00 Tax 8,789.81 Total 103,814.81 Grant funds will be allocated to the Departments' Training materials and supplies line - items, as follows: Grant Contribution SWAT - Tactical Body Armor 102,832.20 Training Division 102,832.20 Page 1 of 2 Attachment A JAG Jurisdictional Projects by Individual City BJA-2019-15141 Edward Byrne Memorial Justice Assistance Grant Program CFDA# 16.738 TIMELINE AND/OR PROJECT PLAN The Santa Ana Police Department intends to complete the purchase, and issue all equipment within the first 12 months of the grant. Please complete the following table and provide an original signed document via mail. City of: Santa Ana Total Allocation: $114,258.00 Administrative Fee: $11,425.80 Funds Retained by Recipient (Subgrantee): $102,832.20 Signature of City�lllanager Page 2 of 2 20B-7 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, , 2020 TITLE: APPROPRIATION ADJUSTMENT AND AGREEMENT ACCEPTING $1,250,000 IN 2020 COPS HIRING GRANT FUNDS /s/ Kristine CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER RECOMMENDED ACTION 1. Approve an appropriation adjustment accepting $1,250,000 total revenue over a two-year period in the Department of Justice Grants account (No. 12714002-52001) and appropriate the FY20-21 portion of $536,572 in the COPS Hiring Grant account (No. 12714409- various), to provide funding for ten (10) new COPS Grant police officer positions. 2. Authorize the City Manager to sign the U.S. Department of Justice Office of Community Oriented Policing Services Award Document, for the period of July 1, 2020 through June 30, 2023, in an amount not to exceed $1,250,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION In March of this year, the Police Department applied for a competitive 2020 COPS Hiring Program (CHP) Grant made possible through the U.S. Department of Justice, Office of Community Oriented Policing Services (COPS). The grant is designed to assist state and local law enforcement agencies in the hiring and retention of police officers. The COPS Office reviewed 1,091 applications ultimately awarding $393,839,911 through the COPS Hiring Program by way of 596 grants nationwide. The Santa Ana Police Department received notification that it has been awarded a 2020 grant award, for 10 police officer positions, in the amount of $1,250,000 over a three-year grant period (Exhibit 1). The Police Department received similar grant awards for 10 officers in 2014, 2015, and 2016. The Police Department plans on using these additional officers to enhance Community Policing initiatives by increasing frontline law enforcement staffing, which will allow officers much needed time to more positively engage with the community. The added officers will also improve our effective crime reduction strategies while strengthening our trust with the community through our Community Oriented Policing Philosophy. Additional frontline patrol resources will allow the Police Department to deploy additional resources to address community safety priorities, partner with the community to address priority quality of life issues, and reduce response times. The grant allows for a cost -sharing partnership with the federal government where the grant pays for approximately 28 percent of the associated costs and the City covers the remaining 72 percent. 20C-1 2020 COPS Hiring Program Grant September 15, 2020 Page 2 The grant requires that at the end of the three-year performance period, the City must retain these 10 additional police officer positions for a minimum of 12 months, over and above locally -funded positions that would have existed in the absence of the grant. FISCAL IMPACT The recommendation will recognize $1,250,000 total revenue over a two-year period in the Department of Justice Grants revenue account (No. 12714002-52001) and appropriate the FY20- 21 portion of $536,572 in the COPS Hiring Grant account (No. 12714409-various). The remaining $713,428 of the grant revenue will be appropriated with the FY21-22 budget, if approved by City Council. The FY20-21 matching contribution of $255,443 will be funded partially by another restricted revenue (SLESF), and partially by the General Fund using a carryover of unspent FY19-20 budget. The City Council is scheduled to consider approval of FY19-20 carryovers in October. The FY21-22 matching contribution of $953,972 will be included in the proposed General Fund budget next year. Beginning in FY 2022-23, the General Fund will bear the full cost of the 10 new officers, estimated at $1.67 million per year. Fiscal Year Accounting Unit- Accounting Unit, Account Amount Account # Description FY 2020-21 12714409-various 2020 COPS Hiring Grant $536,572 Supplemental Law Enforcement FY 2020-21 12814407-various Services Act Grant Prior Year Carry $127,722 Forward FY 2020-21 01114420-various General Fund Prior Year Carry $127,721 Forward FY 2021-22 12714409-various 2020 COPS Hiring Grant $713,428 FY 2021-22 01114420-various Field Operations $953,972 FY 2022-23 12714409-various 2020 COPS Hiring Grant $0 FY 2022-23 01114420-various Field Operations $1,667,400 Total $4,126,815 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency Submitted By: David Valentin, Chief of Police - Police Department Exhibit: 1. U.S. Department of Justice 2020 COPS Hiring Program Award Document 20Ci-2 Exhibit 1 ItU.S. DEPARTMENT OF JUSTICE COPS OFFICE OF COMMUNITY ORIENTED POLICING SERVICES 145 N Street, NE, Washington, D.C. 20530 June 25, 2020 Chief of Police David Valentin City Manager Kristine Ridge Santa Ana, City of 60 Civic Center Plaza Santa Ana, CA 92702 Re: COPS Hiring Program award number 202OULWX0021 ORI CA03019 Dear Chief of Police Valentin and City Manager Ridge: Congratulations on your agency's award for 10 officer position(s) and $1,250,000.00 in federal funds over a three-year award period under the 2020 COPS Hiring Program (CHP). The local cash match required for this award will be $2,689,842.00. Your agency may use CHP award funding to (1) hire new officers, (2) rehire officers who have been laid off, or (3) are scheduled to be laid off on a specific future date, as a result of local budget reductions, on or after the official award start date. Please note that any changes to the awarded hiring categories require an official review and approval by the COPS Office. A list of conditions that apply to your award is included on your Award Document and Award Document Supplement, if applicable. A limited number of agencies may be subject to an Additional Award Notification as a result of an ongoing federal civil rights investigation, other award review, or audit of your agency by the Department of Justice. If applicable to your agency, the Additional Award Notification is included at the end of this letter and is incorporated by reference as part of this letter. In addition, a limited number of agencies may be subject to Special Conditions as a result of high risk designation or other unique circumstances. If applicable to your agency, these Special Conditions will be found in an Award Document Supplement in your award package. You should read and familiarize yourself with these conditions. To officially accept your award, the Award Document (including the conditions and special conditions, if applicable) must be signed electronically via the Account Access link on the COPS Office website at www.cops.usdoj.gov within 45 days from the date of this letter. The official start date of your award is 07/01/2020. Therefore, you can be reimbursed for allowable and approved expenditures made on or after this date. Please carefully review the Financial Clearance Memorandum (FCM) included in your award package to determine your approved budget, as some of your requested items may not have been approved by the COPS Office during the budget review process and award funds may only be used for approved items. The FCM will specify the final award ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING ORI CA03019 - Award 2020ULW X0021 -Award Letter 2020 -CHP -Page 2 of 2 amount and will also identify any disallowed costs. Supplemental online award information for 2020 COPS CHP recipients can be found on the CHP Program page at https:Hcops.usdoj.gov/chp-award. We strongly encourage you to visit this site immediately to access a variety of important and helpful documents that will assist you with the implementation of your award including the 2020 CHP Award Owner's Manual, which specifies the programmatic and financial terms, conditions, and requirements of your award. hi addition, the above website link includes the forms and instructions necessary to begin drawing down funds for your award. Please also ensure that you print out a copy of your application and maintain it with your award file records. Once again, congratulations on your 2020 CHP award. If you have any questions about your award, please do not hesitate to call your Grant Program Specialist through the COPS Office Response Center at 800-421-6770. Phillip E. Keith, Director Date: 06/16/2020 Additional Award Notification ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING U.S. DEPARTMENT OF JUSTICE �0� OFFICE OF COMMUNITY ORIENTED POLICING SERv1.CES 145 N Street, NE, Washington, D.C. 20530 Award Document COPS Office COPS Hiring Program (CHP) CFDA - 16.710 - Public Safety Partnership and Community Policing Grants Treasury Account Symbol (TAS) 15X0406 Award Number: 202OULVVX0021 ORI Number: CA03019 OJP Vendor Number: 956000785 DUNS Number: 083153247 Applicant Organization's Legal Name: Santa Ana, City of Applicant's System for Award Management (SAM) name: Santa Ana, City Of Law Enforcement Executive / Agency Executive: Chief of Police David Valentin Government Executive / Financial Official: City Manager Kristine Ridge Award Start Date: 07/01/2020 Award End Date: 06/30/2023 Award Amount: $1,250,000.00 Full -Time Officers Funded: 10 New Hires: 10 Rehires Previously Laid Off: 0 Rehires Scheduled for Lay Off. 0 The FY 2020 COPS Hiring Program (CHP) award provides funding to law enforcement agencies to hire and/or rehire career law enforcement officers in an effort to increase their community policing capacity and crime prevention efforts. CHP awards provide up to 75 percent of the approved entry-level salaries and fringe benefits of full-time officers for a 36-month award period, with a minimum 25 percent local cash match requirement and a maximum federal share of $125,000 per officer position. The Financial Clearance Memorandum (FCM) and, if applicable, the Cooperative Agreement included in your award package are incorporated by reference in their entirety and shall become part of this Award Document. By signing this Award Document, the recipient agrees to abide by all FY 2020 Community Policing Development Program (CHP) Award Terms and Conditions; the approved budget in the FCM; if applicable, all requirements in the Cooperative Agreement; and, if applicable, the Special Award Conditions and/or High Risk Conditions in the Award Document Supplement. Phillip E. Keith, Director Date: 06/16/2020 (Signature Pending) (Date Pending) Signature ofthe Program Official with the Authority to Accept Date this GrantAward (Signature Pending) (Date Pending) ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING ORI CA03019 - Award 2020ULW X0021 - Award Document 2020 - CHP -Page 2 ore Signature ofthe Finaneial Official with the Authority toAceept Date this GrantAward False statements or claims made in connection with COPS office awards may result in fines, imprisonment, debarment from participating in federal awards or contracts, and/or any remedy available by law to the Federal Government. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 -CHP - Page 1 of 16 U.S. Department of Justice Office of Community Oriented Policing Services 2020 COPS Hiring Program Award Terms and Conditions By signing the Award Document to accept this COPS Hiring Program award, your agency agrees to abide by the following award terms and conditions: 1. Award Owner's Manual The recipient agrees to comply with the terms and conditions in the applicable 2020 COPS Office Program Award Owner's Manual; COPS Office statute (34 U.S.C. § 10381, et seq.) ; the requirements of 2 C.F.R. Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards) as adopted by the U. S. Department of Justice in 2 C.F.R. § 2800.101; 48 C.F.R. Part 31 (FAR Part 31) as applicable (Contract Cost Principles and Procedures); the Cooperative Agreement as applicable; representations made in the application; and all other applicable program requirements, laws, orders, regulations, or circulars. 2. Assurances and Certifications The recipient acknowledges its agreement to comply with the Assurances and Certifications forms that were signed as part of its application. 3. Allowable Costs The funding under this project is for the payment of approved full-time entry-level salaries and fringe benefits over duee years (for a total of 36 months of funding) up to a maximum federal share of $125,000 per officer position for career law enforcement officer positions hired and/or rehired on or after the official award start date. Any salary and fringe benefit costs higher than entry-level that your agency pays a CHP-funded officer must be paid with local funds. Your agency is required to use CHP award funds for the specific hiring categories awarded. Funding under this program may be used for the following categories: • Hiring new officers, which includes filling existing officer vacancies that are no longer funded in your agency's budget; • Rehiring officers laid off by any jurisdiction as a result of state, local, or Bureau of Indian Affairs (BIA) budget reductions; and/or • Rehiring officers who were, at the time of award application, scheduled to be laid off (by your jurisdiction) on a specific future date as a result of state, local, or BIA budget reductions If your agency's local fiscal conditions have changed and your agency needs to change one or more of the funded hiring categories, your agency should request an award modification and receive prior approval before spending CHP funding under the new category. The Financial Clearance Memorandum (FCM), included in your award package, specifies the amount of CHP funds awarded to your agency. You should carefully review your FCM, which contains the final officer salary and fringe benefit categories and amounts for which your agency was approved. Please note that the salary and fringe benefit costs requested in your CHP application may have been adjusted or removed. Your agency may only be reimbursed ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 -CHP -Page 2 of 16 for the approved cost categories that are documented within the FCM, up to the amounts specified in the FCM. Your agency may not use CIIP funds for any costs that are not identified as allowable in the Financial Clearance Memorandum. Only actual allowable costs incurred during the award period will be eligible for reimbursement and drawdown. If your agency experiences any cost savings over the course of the award (for example, your award application overestimated the total entry-level officer salary and fringe benefits package), your agency may not use that excess funding to extend the length of the award beyond 36 months. Any funds remaining after your agency has drawn down for the costs of approved salaries and fringe benefits incurred for each awarded position during the 36-month funding period will be deobligated during the closeout process and should not be spent by your agency. 4. Suoolementine, Not Suoolantine State, local, and tribal governments must use award funds to supplement, and not supplant, state, local, or Bureau of Indian Affairs (BIA) funds that are already committed or otherwise would have been committed for award purposes (hiring, training, purchases, and/or activities) during the award period. In other words, state, local, and tribal government recipients may not use COPS Office funds to supplant (replace) state, local, or BIA funds that would have been dedicated to the COPS Office -funded items) in the absence of the COPS Office award. 34 U. S.C. § 10384(a). 5. Extensions Your agency may request an extension of the award period to receive additional time to implement your award program. Such extensions do not provide additional funding. Awards may be extended a maximum of 36 months beyond the initial award expiration date. Any request for an extension beyond 36 months will be evaluated on a case - by -case basis. Only those recipients that can provide a reasonable justification for delays will be granted no -cost extensions. Reasonable justifications may include difficulties in filling COPS Office -funded positions, officer turnover, or other circumstances that interrupt the 36 month award funding period. An extension allows your agency to compensate for such delays by providing additional time to complete the full 36 months of funding for each position awarded. Extension requests must be received prior to the end date of the award. 6. Modifications Occasionally, a change in an agency's fiscal or law enforcement situation necessitates a change in its COPS Office CHP award. Award modifications under CIIP are evaluated on a case -by -case basis in accordance with 2 C.F.R. § 200.308. For federal awards in excess of $250,000, any modification request involving the reallocation of funding between budget categories that exceed or are expected to exceed 10 percent (10%) of the total approved budget requires prior written approval by the COPS Office. Regardless of the federal award amount or budget modification percentage, any reallocation of funding is limited to approved budget categories. In addition, any budget modification that changes the scope of the project requires prior written approval by the COPS Office. In addition, please be aware that the COPS Office will not approve any modification request that results in an increase of federal funds. In addition, modification requests should be submitted to the COPS Office when an agency determines that it will need to shift officer positions awarded in one hiring category into a different hiring category and/or reduce the total number of positions awarded. For example, if an agency was awarded CHP funding for two new, additional sworn officer positions, but due to fiscal distress/constraints the agency needs to change the hiring category from the new hire category to the rehire category for officers laid off or scheduled for layoff on a specific future date post - application, the agency would have to request a modification. The COPS Office will only consider a modification ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 3 of 16 request after an agency makes final, approved budget and/or personnel decisions. An agency may implement the modified award following written approval from the COPS Office. Please be aware that the COPS Office will not approve any modification request that results in an increase of federal funds. 7. Evaluations The COPS Office may conduct monitoring or sponsor national evaluations of its award programs. The recipient agrees to cooperate with the monitors and evaluators 34 U. S.C. § 10385(b). 8. Reports/Performance Goals To assist the COPS Office in monitoring and tracking the performance of your award, your agency will be responsible for submitting semi-annual programmatic progress reports that describe project activities during the reporting period and quarterly Federal Financial Reports using Standard Form 425 (SF-425). 2 C.F.R. § § 200.327 - 200.328. The progress report is used to track your agency's progress toward implementing community policing strategies and to collect data to gauge the effectiveness of increasing your agency's community policing capacity through COPS Office funding. The Federal Financial Report is used to track the expenditures of the recipient's award funds on a cumulative basis throughout the life of the award. 9. Award Monitoring Activities Federal law requires that law enforcement agencies receiving federal funding from the COPS Office must be monitored to ensure compliance with their award conditions and other applicable statutes and regulations. The COPS Office is also interested in tracking the progress of our programs and the advancement of community policing. Both aspects of award implementationcompliance and programmatic benefits —are part of the monitoring process coordinated by the U.S. Department of Justice. Award monitoring activities conducted by the COPS Office include site visits, enhanced office -based grant reviews, alleged noncompliance reviews, financial and programmatic reporting and audit resolution. As a COPS Office award recipient, you agree to cooperate with and respond to any requests for information pertaining to your award. This includes all financial records, such as general accounting ledgers and all supporting documents. All information pertinent to the implementation of the award is subject to agency review throughout the life of the award, during the close-out process and for three -years after the submission of the final expenditure report 34 U.S.C. § 10385(a) and 2 C.F.R. §§ 200.333 & 200.336. 10. Federal Civil Rights The Applicant understands that the federal statutes and regulations applicable to the award (if any) made by the Department based on the application specifically include statutes and regulations pertaining to civil rights and nondiscrimination, and, in addition a. the Applicant understands that the applicable statutes pertaining to civil rights will include section 601 of the Civil Rights Act of 1964 (42 U. S.C. § 2000d); section 504 of the Rehabilitation Act of 1973 (29 U. S.C. § 794); section 901 of the Education Amendments of 1972 (20 U. S.C. § 1681); and section 303 of the Age Discrimination Act of 1975 (42 U.S.C. § 6102); b. the Applicant understands that the applicable statutes pertaining to nondiscrimination may include section 809(c) of Title I of the Omnibus Crime Control and Safe Streets Act of 1968 (34 U.S.C. § 10228(c)); section 1407(e) of the Victims of Crime Act of 1984 (34 U.S.C. § 20110(e)); section 299A(b) of the Juvenile Justice and Delinquency Prevention Act of 2002 (34 U.S.C. § 11182(b)); and that the grant condition set out at section 40002(b)(13) of the Violence Against Women Act (34 U.S.C. § 12291(b)(13)), which will apply to all awards made by the Office on Violence Against Women, also may apply to an award made otherwise; ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 4 of 16 c. the Applicant understands that it must require any subrecipient to comply with all such applicable statutes (and associated regulations); and d. on behalf of the Applicant, I make the specific assurances set out in 28 C.F.R. §§ 42.105 and 42.204. The Applicant also understands that (in addition to any applicable program -specific regulations and to applicable federal regulations that pertain to civil rights and nondiscrimination) the federal regulations applicable to the award (if any) made by the Department based on the application may include, but are not limited to, 2 C.F.R. Part 2800 (the DOJ "Part 200 Uniform Requirements") and 28 C.F.R. Parts 22 (confidentiality - research and statistical information), 23 (criminal intelligence systems), 38 (regarding faith -based or religious organizations participating in federal financial assistance programs), and 46 (human subjects protection). 11. Equal Employment Opportunity Plan (EEOP) All recipients of funding from the COPS Office must comply with the federal regulations pertaining to the development and implementation of an Equal Employment Opportunity Plan (28 C.F.R. Part 42 subpart E). 12. False Statements False statements or claims made in connection with COPS Office awards may result in fines, imprisonment, debarment from participating in federal awards or contracts, and/or any other remedy available by law. 13. Duplicative Funding The recipient understands and agrees to notify the COPS Office if it receives, from any other source, funding for the same item or service also funded under this award. 14. Additional High -Risk Recipient Requirements The recipient agrees to comply with any additional requirements that may be imposed during the award performance period if the awarding agency determines that the recipient is a high -risk recipient (2 C.F.R. § 200.207). 15. System for Award Management (SAM) and Universal Identifier Requirements The recipient agrees to comply with the following requirements of 2 C.F.R. Part 25, Appendix A to Part 25 — Award Term I. System for Award Management and Universal Identifier Requirements A. Requirementfor Systemfor Award Management Unless you are exempted from this requirement under 2 C.F.R. § 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. B. Requirementfor unique entity identifier If you are authorized to make subawards under this award, you: ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 10 ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 5 of 16 1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive a Subaward from you unless the entity has provided its unique entity identifier to you. 2. May not make a subaward to an entity unless the entity has provided its unique entity identifier to you. C. Definitions For purposes of this award term: 1. System forAward Management (SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the SAM Internet site (currently athttos://www.s=.Rov). 2. Unique entity identifier means the identifier required for SAM registration to uniquely identify business entities. 3. Entity, as it is used in this award term, means all of the following, as defined at 2 C.F.R. Part 25, subpart C: a. A Governmental organization, which is a State, localgovernment, or Indian Tribe; b. A foreign public entity; C. A domestic or foreign nonprofit organization; d. A domestic or foreign for -profit organization; and e. A Federal agency, but only as a subrecipient under an award or Subaward to a non -Federal entity. 4. Subaward: a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b. The term does not include your procurement of property and services needed tocarry out the project or program (for further explanation, see 2 C.F.R. § 200.330). C. A Subaward may be provided through any legal agreement, including an agreement that you consider a contract. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 11 ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 6 of 16 5. Subrecipient means an entity that: a. Receives a subaward from you under this award; and b. Is accountable to you for the use of the Federal funds provided by the subaward. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 12 ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 7 of 16 16. Reporting Subawards and Executive Compensation The recipient agrees to comply with the following requirements of 2 C.F.R. Part 170, Appendix A to Part 170 — Award Term I. Reporting Subawards and Executive Compensation. a. Reporting offirst-tiersubawards. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e. of this award term). 2. Where and when to report. i. You must report each obligating action described in paragraph a.1. of this award term to https:llw w.fsrs.gov. ii. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.) What to report. You must report the information about each obligating action that the submission. instructions posted at https:/Ar .fsrs.gov specify. b. Reporting Total Compensation of Recipient Executives. Applicability and what to report You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if i. the total Federal funding authorized to date under this award, is $25,000 or more; ii. in the preceding fiscal year, you received (A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards); and ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 13 ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 8 of 16 (B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards); and in. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. § § 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at https://www.see.gov/answers/execomp.htm.) Where and when to report. You must report executive total compensation described in paragraph b.1. of this award term: i. As part of your registration profile at https://www.sam.gov, ii. By the end of the month following the month in which this award is made, and annually thereafter. C. Reporting of Total Compensation. of Subrecipient Executives. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first -tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if in the subrecipient's preceding fiscal year, the subrecipient received (A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards); and (B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and ii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. § § 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at https://www. sec. gov/answers/execomp. htm.) Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term: ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 14 ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 9 of 16 i. To the recipient. ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year. d. Exemptions If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report i. Subawards, and ii. The total compensation of the five most highly compensated executives of any subrecipient. e. Definitions. For purposes of this award term: 1. Entity means all of the following, as defined in 2 C.F.R. Part 25: i. A Governmental organization, which is a State, local government, or Indian: tribe; ii. A foreign public entity; in. A domestic or foreign nonprofit organization; iv. A domestic or foreign for -profit organization; V. A Federal agency, but only as a subrecipient under an award or subaward to a non -Federal entity. 2. Executive means officers, managing partners, or any other employees in management positions. 3. Subaward: i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. ii. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec._.210 of the attachment to OMB Circular A-133, "Audits of States, Local Governments, and ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 15 ORI CA03019 -Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 10 of 16 Non -Profit Organizations"). in. A subaward maybe provided through any legal agreement, including an agreement that you or a subrecipient considers a contract Subrecipient means an entity that i. Receives a subaward from you (the recipient) under this award; and ii. Is accountable to you for the use of the Federal funds provided by the subaward. Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 C.F.R. § 229.402(c)(2)): i. Salary and bonus. ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. in. Earnings for services under non -equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees. iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. V. Above -market earnings on deferred compensation which is not tax -qualified. vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000. 17. Debarment and Suspension The recipient agrees not to award federal funds under this program to any party which is debarred or suspended from participation in federal assistance programs. 2 C.F.R. Part 180 (Government -wide Nonprocurement Debarment and Suspension) and 2 C.F.R. Part 2867 (DOJ Nonprocurement Debarment and Suspension). 18. Employment E6eibility The recipient agrees to complete and keep on file, as appropriate, the Department of Homeland Security, U. S. Citizenship and Immigration Services (USCIS) Employment Eligibility Verification Form (I-9). This form is to be used by recipients of federal funds to verify that persons are eligible to work in the United States. Immigration Reform and Control Act of 1986 (IRCA), Public Law 99-603. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 16 ORI CA03019 - Award 202OULW X0021 - Award Terms and Conditions 2020 - CHP - Page 11 of 16 19. Enhancement of Contractor Protection from Reprisal for Disclosure of Certain Information The recipient agrees not to discharge, demote, or otherwise discriminate against an employee as reprisal for the employee disclosing information that he or she reasonably believes is evidence of gross mismanagement of a federal contract or award, a gross waste of federal funds, an abuse of authority relating to a federal contract or award, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a Federal contract (including the competition for or negotiation of a contract) or award. The recipient also agrees to provide to their employees in writing (in the predominant native language of the workforce) of the rights and remedies provided in 41 U. S.C. § 4712. Please see appendices in the Award Owner's Manual for a full text of the statute. 20. Mandatory Disclosure Recipients and subrecipients must timely disclose in writing to the Federal awarding agency or pass -through entity, as applicable, all federal criminal law violations involving fraud, bribery, or gratuity that may potentially affect the awarded federal funding. Recipients that receive an award over $500,000 must also report certain civil, criminal, or administrative proceedings in SAM and are required to comply with the Term and Condition for Recipient Integrity and Performance Matters as set out in 2 C.F.R. Part 200, Appendix XII to Part 200. Failure to make required disclosures can result in any of the remedies, including suspension and debarment, described in 2 C.F.R. § 200.338. 21. Conflict of Interest Recipients and subrecipients must disclose in writing to the COPS Office or pass -through entity, as applicable, any potential conflict of interest affecting the awarded federal funding in accordance with 2 C.F.R. § 200.112. 22. Contract Provision All contracts made by the award recipients under the federal award must contain the provisions required under 2 C.F.R. Part 200, (Appendix II to Part 200 Contract Provisions for Non -Federal Entity Contracts Under Federal Awards). Please see appendices in the Award Owner's Manual for a full text of the contract provisions. 23. Restrictions on Internal Confidentiality Aereements No recipient or subrecipient under this award, or entity that receives a contract or subcontract with any funds under this award, may require any employee or contractor to sign an internal confidentiality agreement or statement that prohibits or otherwise restricts the lawful reporting of waste, fraud, or abuse to an investigative or law enforcement representative of a federal department or agency authorized to receive such information. Consolidated Appropriations Act, 2020, Public Law 116-93, Division C, Title VII, Section 742. 24. Recipient Inte-rity and Performance Matters For awards over $500,000, the recipient agrees to comply with the following requirements of 2 C.F.R. Part 200, Appendix XII to Part 200 — Award Term and Condition for Recipient Integrity and Performance Matters: A. Reporting of Matters Related to Recipient Integrity and Performance General Reporting Requirement If the total value of your currently active awards, cooperative agreements, and procurement contracts from all Federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance of this Federal award, then you as the recipient during that period of time must maintain the currency of information reported ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 17 ORI CA03019 -Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 12 of 16 to the System for Award Management (SAM) that is made available in the designated integrity and performance system (currently the Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil, criminal, or administrative proceedings described in paragraph 2. of this award term and condition. This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U. S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available. Proceedings About Which You MustReport Submit the information required about each proceeding that a. Is in connection with the award or performance of an award, cooperative agreement, or procurement contract from the Federal Government; b. Reached its final disposition during the most recent five year period; and C. Is one of the following: (1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5. of this award term and condition; (2) A civil proceeding that resulted in a finding of fault and liability and payment of a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more; (3) An administrative proceeding, as defined in paragraph 5. of this award term and condition, that resulted in a finding of fault and liability and your payment of either a monetary fine or penalty of $5,000 or more or reimbursement, restitution, or damages in excess of $100,000; or (4) Any other criminal, civil, or administrative proceeding if: i. It could have led to an outcome described in paragraph 2.c.(1), (2), or (3) of this award term and condition; ii. It had a different disposition arrived at by consent or compromise with an acknowledgment of fault on your part; and iii. The requirement in this award term and condition to disclose information about the proceeding does not conflict with applicable laws and regulations. 3. Reporting Procedures ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP - Page 13 of 16 Enter in the SAM Entity Management area the information that SAM requires about each proceeding described in paragraph 2. of this award term and condition. You do not need to submit the information a second time under assistance awards that you received if you already provided the information through SAM because you were required to do so under Federal procurement contracts that you were awarded. 4. Reporting Frequency During any period of time when you are subject to the requirement in paragraph 1. of this award term and condition, you must report proceedings information through SAM for the most recent five year period, either to report new information about any proceeding(s) that you have not reported previously or affirm that there is no new information to report Recipients that have Federal contract, award, and cooperative agreement awards with a cumulative total value greater than $10,000,000 must disclose semiannually any information about the criminal, civil, and administrative proceedings. 5. Definitions For purposes of this award term and condition: a. Administrative proceeding means a non -judicial process that is adjudicatory in nature in order to make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed Services Board of Contract Appeals proceedings). This includes proceedings at the Federal and State level but only in connection with performance of a Federal contract or award. It does not include audits, site visits, corrective plans, or inspection of deliverables. b. Conviction, for purposes of this award term and condition, means a judgment or conviction of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea, and includes a conviction entered upon a plea of nolo contendere. C. Total value of currently active awards, cooperative agreements, and procurement contracts includes (1) Only the Federal share of the funding under any Federal award with a recipient cost share or match; and (2) The value of all expected funding increments under a Federal award and options, even if not yet exercised. 25. Citizenship and Immieration Status Communications Authority to obligate or expend contingent on compliance with this condition. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 19 ORI CA03019 -Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 14 of 16 NOTE: This grant condition is established under the COPS Office's broad authority and discretion to award and administer grants. See, e.g., 34 U. S.C. § 10381, et seq. This condition applies only to state or local government entities or to non -state or local government entities that make subawards with these funds to a state or local government entity. State or local government entity recipients of this award, and any subrecipient of this award at any tier that is an entity of a State or of a unit of local government, may not obligate or expend award funds if — at the time of the obligation or expenditure — the "program or activity" of the recipient funded in whole or in part with the award funds (which includes any such program or activity of any subrecipient at any tier) is subject to any prohibitions or restrictions on sending to, requesting or receiving from, maintaining, or exchanging information regarding citizenship or immigration status with components of the U. S. Department of Homeland Security or any federal, state or local government entity, as generally described in 8 U. S.C. 1373(a) or (b). This includes any prohibitions or restrictions imposed or established by a state or local government entity or official. A subrecipient of this award (at any tier) that is an entity of a State or of a unit of local government may not obligate or expend award funds if — at the time of the obligation or expenditure — the "program or activity" of the subrecipient (which includes any such program or activity of any subrecipient at any further tier) funded (in whole or in part) with award funds is subject to any prohibitions or restrictions on sending to, requesting or receiving from, maintaining, or exchanging information regarding citizenship or immigration status with components of the U. S. Department of Homeland Security or any federal, state or local government entity, as generally described in 8 U. S.C. 1373(a) or (b). This includes any prohibitions or restrictions imposed by a. state or local government entity or official. Any obligations or expenditures of a recipient or subrecipient that are impermissible under this condition shall be unallowable costs for purposes of this award. Rules of Construction. For purposes of this condition, "program or activity" means what it means under section 606 of title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-4a). References to the Immigration and Naturalization Service in 8 U.S.C. 1373 are to be read, as a legal matter, as references to particular components of the U.S. Department of Homeland Security. Should any provision of a condition of this award be held to be invalid or unenforceable by its terms, then that provision shall first be applied with a limited construction so as to give it the maximum effect permitted by law (to any person or circumstance) under this award. Should it be held, instead, that a condition (or a provision thereof) is of utter invalidity or unenforceability, such condition (or such provision) shall be deemed severable from this award. Any questions about the meaning or scope of this condition should be directed, prior to acceptance of this award, to the Office of Community Oriented Policing Services Legal Division at 202-514-3750. 26. Contracts and/or MOUs with other Jurisdictions Sworn law enforcement officer positions awarded must be used for law enforcement activities or services that benefit your agency and the population that it serves. The items funded under the CHP award cannot be utilized by other agencies unless the items benefit the population that your agency serves. Your agency may use items funded under the CHP award to assist other law enforcement agencies under a resource sharing, mutual aid, or other agreement to address multi -jurisdictional issues as described in the agreement. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING L•J ORI CA03019 - Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP - Page 15 of 16 27. Retention At the time of award application, your agency committed to retaining all sworn officer positions awarded under the CHP award with state and/or local funds for a minimum of 12 months following the conclusion of 36 months of federal funding for each position, over and above the number of locally -funded sworn officer positions that would have existed in the absence of the award. Your agency cannot satisfy the retention requirement by using CHP-funded positions to fill locally -funded vacancies resulting from attrition. 34 U. S.C. § 10382 (c)(8). 28. Community Policine Community policing activities to be initiated or enhanced by your agency and the officers funded by this award program were identified and described in your CHP award application. In sections VI(A) and (B), your agency developed a community policing plan for the CHP award with specific reference to a crime or disorder problem and the following elements of community policing: (a) problem solving —your agency's plan to assess and respond to the problem identified; (b) community partnerships and support, including related governmental and community initiatives that complement your agency's proposed use of CHP funding; and (c) organizational transformation how your agency will use the funds to reorient its mission to community policing or enhance its involvement in and commitment to community policing. Throughout the CHP award period, your agency is required to implement the community policing plan it set forth in the CHP award application. The COPS Office defines community policing as a philosophy that promotes organizational strategies that support the systematic use of partnerships and problem -solving techniques to proactively address the immediate conditions that give rise to public safety issues such as crime, social disorder, and fear of crime. CHP awards through the specific officers funded (or an equal number of redeployed veteran officers) must be used to initiate or enhance community policing activities. All newly hired additional or rehired officers (or an equal number of redeployed veteran officers) funded under CHP must implement your agency's approved community policing plan, which you described in your award application. 29. Local Match COPS Hiring Program award recipients are required to contribute a local match of at least 25 percent towards the total cost of the approved award project, unless waived in writing by the COPS Office. The local match must be a cash match from funds not previously budgeted for law enforcement purposes and must be paid during the award period. The local match contribution must be made on an increasing basis during each year of the three-year award period, with the federal share decreasing accordingly. 34 U.S.C. § 10381(g). 30. School Resource Officer (SRO) Training Requirement COPS Office -funded SRO(s) are required to complete a National Association of School Resource Officers (NASRO) 40 hour basic training course. Course substitutions are not permitted. Training must be completed no later than nine months after the date shown on the award congratulatory letter or six months from the SRO hire date; whichever comes first. If a COPS Office -funded SRO leaves the recipient agency after completing the NASRO training, the recipient agrees to pay for the new SRO, who is assigned to backfill this position, to attend a NASRO 40 hour basic training course. The new SRO must complete the training no later than nine months after being placed in the school. If the officer has completed NASRO 40 hour basic training within the last 12 months prior to the award date, the condition has been fulfilled. Any longer than 12 months will require the officers to retake the course. The agency must contact the NASRO Grant Coordinator if they want funds to cover registration and travel costs. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 41 ORI CA03019 -Award 202OULW X0021 -Award Terms and Conditions 2020 - CHP -Page 16 of 16 31. Background Investigations Recipients agree to ensure that each officers) hired with CHP funding will be subject to a background investigation, notify the COPS Office upon completion of the background investigation for each officer hired under the CHP award, and cooperate with the COPS Office and provide updates on the status of background investigations upon request. 2 C.F.R. § 200.207 If the COPS Office determines that CHP funds are being used to pay the salary and fringe benefits of an officer who has not undergone a background investigation, the COPS Office may temporarily suspend grant funds in accordance with 2 C.F.R. §200.338 until the agency can demonstrate the background investigation has been completed. 32. Career Law Enforcement Officer Officer hiring funds may only be used to pay entry-level salaries and fringe benefits for full-time "career law enforcement officers" for 36 months. The COPS Office's statute defines a "career law enforcement officer" as "a person hired on a permanent basis who is authorized by law or by a State or local public agency to engage in or supervise the prevention, detection, or investigation of violations of criminal laws." 34 U. S.C. § 10389(1). A recipient agency may use officer hiring funds to pay the salary and benefits of recruits while in academy training to become "career law enforcement officers" if it is the standard practice of the agency to do so with locally -funded recruits. The State of Alaska, and any Indian tribe or tribal organization in that State, may also use officer hiring funds for a "village public safety officer" defined as "an individual employed as a village public safety officer under the program established by the State pursuant to Alaska Statute 18.65.670." Tribal Law and Order Act of 2010, Pub. L. 111-211, title IL § 247 (a)(2). ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING U.S. DEPARTMENT OF JUSTICE. �0� OFFICE OF COMMUNITY ORIENTED POLICWG SERVICES 145 N Sireet, NE, Washington, D.C. 20530 Financial Clearance Memorandum COPS Office COPS Hiring Program Program (CUP) To: Chief of Police David Valentin and City Manager Kristine Ridge Re: Financial Clearance Memorandum A financial analysis of budgeted costs has been completed. Costs under this award appear reasonable, allowable, and consistent with existing guidelines. Exceptions / Adjustments are noted below. Total officer positions awarded: 10 Approved costs per entry-level officer, per year Year 1 Year 2 Year 3 Base salary $82,860.00 $96,860.00 $97,670.00 Benefits $30,102.47 $43,144.47 $43,347.22 Social Security $0.00 $0.00 $0.00 Medicare $1,201.47 $1,404.47 $1,416.22 Health insurance $18,900.00 $18,900.00 $18,900.00 Life insurance $0.00 $0.00 $0.00 Vacation $0.00 $0.00 $0.00 Sick leave $0.00 $0.00 $0.00 Retirement $10,001.00 $22,840.00 $23,031.00 Worker's compensation $0.00 $0.00 $0.00 Unemployment insurance $0.00 $0.00 $0.00 Approved total project costs Per officer Grand total ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING dr 20 -23 ORI CA03019 - Award 202OULW X0021 -Award Financial Clearance Memo 2020 - CHP -Page 2 of 2 Salaries and fringe benefits $393,984.16 Federal share $125,000.00 Applicant share $268,984.20 Local match waiver not granted. Budget Cleared Date: 06/25/2020 Overall Comments: NA Additional Comments: N/A $3,939,842.00 $1,250,000.00 $2,689,842.00 ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING U.S. DEPARTMENT OF JUSTICE. �0� OFFICE OF COMMUNITY ORIENTED POLICWG SERVICES 145 N Sireet, NE, Washington, D.C. 20530 Award Document Supplement COPS Hiring Program (CHP) By signing the Award Document to accept this COPS Hiring Program (CHP) award, the recipient agrees to abide by the following Special Award Conditions and/or High Risk Conditions: Special Award Conditions Advancing Department of Justice Priority Crime Problem Awards Your agency has been selected for a COPS Hiring Program (CHP) award to address a particular Department of Justice priority crime problem/focus area, based specifically on your CHP award application's community policing plan to improve your agency's public safety response to the critical issues of Illegal Immigration, Violent Crime, or Homeland Security. Please be advised that, in accepting this award, your agency is agreeing to this Special Condition to its CHP award that requires your agency's COPS -funded officers (or an equivalent number of locally - funded officers) to initiate or enhance your agency's community policing plan to address one of the priority crime problems identified above. By signing the 2020 CHP award, your agency understands and agrees to the following: • Your agency will implement the one specific community policing plan identified in your CHP award application; • Your agency will address its specific priority crime problem throughout the entire CHP award period; • Your agency will implement any organizational changes identified in its CHP award application in Section 613, Questions 12 and 13; Your agency will cooperate with any award monitoring by the COPS Office to ensure that it is initiating or enhancing its community policing efforts to address its priority crime problem, which may include your agency having to respond to additional or modified reporting requirements. Memorandum of Understanding Requirement (School -based Policing through School Resource Officers Focus Area Only) By signing the 2020 CHP award, recipients using CHP funding to hire and/or deploy School Resource ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING �1 ORI CA03019 - Award 2020ULW X0021 -Award Special Conditions 2020 - CHP -Page 2 of 2 Officers into schools understand and agree to the following: • Your agency must submit a signed Memorandum of Understanding (MOU) between the law enforcement agency and the school partner(s) to the COPS Office before obligating or drawing down funds under this award. The MOU must be submitted to the COPS Office within 90 days of the date shown on the award congratulatory letter. • Your agency's MOU must contain the following information; n The purpose of the MOU a Clearly defined roles and responsibilities of the school district and the law enforcement agency, focusing officers' roles on safety o Information sharing a Supervision responsibility and chain of command for the SRO o Signatures Note: Please refer to the MOU Fact Sheet for a detailed explanation of the requirements under each of the bullets • Your agency's implementation of the CHP award without submission and acceptance of the required MOU may result in expenditures not being reimbursed by the COPS Office and/or award de -obligation. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPROVE AN INCREASE IN THE PURCHASE ORDER AMOUNT WITH QUALITY FENCE CO., INC. IN THE AMOUNT OF $350,000, FOR A REVISED ANNUAL AMOUNT NOT TO EXCEED $550,000 FOR CHAIN -LINK FENCE AND GATE INSTALLATION SERVICES (SPECIFICATION NO. 18-080) (NON -GENERAL FUND) CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on V Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager approve an increase to the blanket order contract with Quality Fence Co., Inc., for chain -link fence and gate installation services by $350,000, for a revised annual amount not to exceed $550,000, for the remainder of the contract term, and one one-year renewal option if exercised, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On February 5, 2019, at the conclusion of a competitive bid process, the City Council approved a one-year purchase order contract with Quality Fence Co., Inc., with provisions for two one-year renewal options, to provide chain -link fence and gate installations to improve the security of the City's water system facilities. The original purchase order contract was awarded in an annual amount not to exceed $200,000, and the first renewal option has been exercised. Services provided under the chain -link fence and gate installation contract have improved the security and safety around the City's water system's wells, reservoir stations, and other water facilities. The work has mainly consisted of, but has not been limited to, the removal and proper disposal of existing fencing and the construction and installation of fabricated industrial steel fencing at various locations. In addition, the existing contract has been utilized for fencing improvements at other City facilities. Staff recommends amending the existing purchase order contract with Quality Fence Co., Inc., to enable the Water Resources Division to continue with their original fencing upgrade schedule, including water property located at 610 North Figueroa, and provide options for citywide fencing improvements on an as -needed basis. To accomplish this, staff recommends increasing the total aggregate annual spending limit by $350,000, resulting in a new aggregate annual spending limit of $550,000. 22A-1 Amendment for Chain -Link Fencing Services September 15, 2020 Page 2 FISCAL IMPACT The current contract for Fiscal Year 2020-21 approved expenditures of $200,000 as an annual amount. The requested amendment will increase the annual Water Resources expenditures amount for the contract by $150,000 in FY 2020-21 and for the lifetime of the agreement. Funds are budgeted and available for expenditure in Water Utility Water Production & Supply, Contract Services -Professional Account (No. 06017640-62300). If the remaining renewal option is exercised, funds will be budgeted for future years as shown below. The requested purchase order amendment will also allow citywide expenditures in the amount of $200,000 for the existing contract term, with an additional $200,000 if the renewal option is exercised. Prior to utilizing non -Water Enterprise funds, staff must receive Finance and Management Services Agency approval of funding and accounts to ensure that funds are available under the authorization and aggregate limit of this contract. Upon a successful completion of this review, a corresponding Notice to Proceed containing specific scope and maximum expenditure for the task order will be issued to the contractor. Accounting Unit- Fund Accounting Unit, Fiscal Year Account # Description Account Amount Description Original Contract 1 st Renewal Option) FY 2020-21 Water Utility Water (July 1, 2020— 06017640-62300 Water Production & Supply, $200,000 January 31, 2021 Contract Services - Professional Requested Amendment FY 2020-21 Water Utility Water (September 15, Production & Supply, 2020 — January 06017640-62300 Water Contract Services- $150,000 31, 2021) Professional FY 2020-21 (September 15, Various —Citywide Various — Various —Citywide 2020 — January Portion Citywide Portion $200,000 31, 2021) Portion Renewal Final Renewal Option) FY 2020-21 Water Utility Water (February 1, 06017640-62300 Water Production & Supply, $175,000 2021-June 30 Contract Services- 2021) Professional FY 2021-22 Various — (February 1, Various — Citywide Citywide Various — Citywide $100,000 2021-June 30, Portion Portion Portion 2021 22A-2 Amendment for Chain -Link Fencing Services September 15, 2020 Page 3 FY 2021-22 (July Water Utility Water 1, 2021-January 06017640-62300 Water Production & Supply, $175,000 31, 2022) Contract Services - Professional -22 (July Various — Citywide aCitywide riousVarious — Citywide 1Y20211-January Portion Portion $100,000 31, 2022 Portion Total Water Utility Production & Supply, Contract Services -Professional: $700,000 Total Various Citywide: $400,000 Total Aggregate Amount: $1,100,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency 22A-3 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPROVE AN INCREASE OF THE PURCHASE ORDER AMOUNT WITH CORE & MAIN LP, FERGUSON ENTERPRISES, LLC AND S&J SUPPLY COMPANY, INC. IN THE AMOUNT OF $275,000 FOR A TOTAL AGGREGATE AMOUNT NOT TO EXCEED $660,000 FOR WATERWORKS FITTINGS AND SUPPLIES AND EXTEND THE TERM THROUGH APRIL 30, 2021 (SPECIFICATION NO. 15-034) (NON -GENERAL FUND) /s/ Kristine Rid CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 911111111100 :]qC7 RECOMMENDED ACTION Authorize the City Manager to increase the blanket order contracts with Core & Main LP, Ferguson Enterprises, LLC and S&J Supply Company, Inc. for waterworks fittings and supplies by $275,000 for a total aggregate amount not to exceed $660,000 and extend the term for six months, from October 31, 2020 to April 30, 2021, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency Water Resources Division manages the delivery of water to businesses and residents in the City of Santa Ana, including fire hydrants. To do so, the Agency maintains an extensive distribution system that includes 20 active wells, seven pumping stations and reservoirs, seven import water connections, and 450 miles of water mains. To perform maintenance and repair of fire hydrants and the extensive water delivery system, the Water Resources Division staff requires an assortment of materials such as valves, adapters, couplings, clamps, as well as brass brushings, flanges, nuts, and stops. The contract for waterworks fittings and supplies is designed to provide quality products at a significant savings based on quantity pricing. On June 2, 2015, the City Council awarded a purchase order contract for waterworks fittings and supplies to Core & Main LP, Ferguson Enterprises, LLC and S&J Supply Company, Inc. for a one-year period expiring June 16, 2016, with four one-year renewal options in an annual aggregate amount not to exceed $350,000. The four renewal options were exercised and the 22B-1 Contract Amendment for Waterworks Fittings and Supplies September 15, 2020 Page 2 purchase order contract was extended via change order through October 30, 2020. Additionally, the purchase order amount was increased by $35,000. Staff recommends extending the purchase order contract for an additional six months through April 30, 2021 and adding funding in the amount of $275,000, for a total amount not to exceed $660,000. The additional funding amount will allow staff to have inventory available to maintain the water delivery system and make repairs without experiencing supply chain delays that could result in water loss and system damages. The additional time will allow staff to release a request for bids in order to develop new contracts. FISCAL IMPACT Funding for the requested increase to the existing contracts with Core & Main LP, Ferguson Enterprises, LLC and S&J Supply Company, Inc. in the amount of $275,000 is budgeted and available for expenditure in the following accounts: Fiscal Year Accounting Unit- Fund Description Accounting Unit, Amount Account # Account Description Water System 06017641-63001 Water Maintenance, $137,500 Miscellaneous Operating FY 2020-21 Expenses October 2020- April 2021 Water Quality, 06017644-63001 Water Miscellaneous Operating $137,500 Expenses Total: $275,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency 22B-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPROVE AMENDMENT TO AGREEMENT WITH HELPMATES STAFFING SERVICES TO ALLOCATE $60,000 OF CURRENT AGREEMENT FROM FY 2020-21 TO FY 2019-20 (GENERAL FUND AND NON -GENERAL FUND) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on god Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager to execute an amendment to an agreement with Helpmates Staffing Services to allocate $60,000 of current agreement from FY 2020-21 to FY 2019-20 for temporary staffing services, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On June 5, 2018, the City of Santa Ana entered into an agreement with Helpmates Staffing Services (Exhibit 1), to provide staffing services for the City's employment needs. The agreement was for an amount not to exceed $400,000 for each year of the three-year contract terms. The agreement became effective July 1, 2018 and expires June 30, 2021. There is an exercisable option for the City to extend the agreement in writing for an additional two years. Actual contract costs for FY 2019-20 were $460,000. The recommendation would shift $60,000 of contract allocation from FY 2020-21 to FY 2019-20, leaving $340,000 available for FY 2020-21. Staff expects the reduced authorization for FY 2020-21 will be sufficient, as there is an expected decrease in need for temporary staffing services due to COVID-19. Staff recommends that the City Council approve an amendment (Exhibit 2) to the agreement with Helpmates Staffing Services to allocate $60,000 from FY 2020-21 to FY 2019-20 to pay for additional services that were provided to the City from March 22 through June 28, 2020 that exceeded the amount of compensation allocated for FY 2019-20. The proposed amendment would allow the City to pay invoices that exceed the budgeted amount for the last fiscal year (FY 2019- 20). 25A-1 First Amendment to Agreement with Trust Temporary Services, Inc., dba Helpmates Staffing Services September 15, 2020 Page 2 FISCAL IMPACT Funds are budgeted and available in the following accounts for the specified year: Fiscal Accounting Fund Accounting Unit, Amount Year Unit -Account # Description Account Description FY 20-21 Various-62300 Various Contract Services — $60,000 Professional Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Steven V. Pham, Executive Director — Human Resources Department Exhibits: 1. Agreement with Helpmates Staffing Services for Temporary Staffing Services 2. Amendment 25A-2 INSURANCE NOT ON FILE WORK MAYNET CLERK OF COUNCIL DATE: JUN 14 2018 AGREEMENT TO PROVIDE TEMPORARY STAFFING SERVICES A-2018-148 EXHIBIT THIS AGREEMENT is made and entered into this 5th day of June, 2018 by and between Trust Temporary Services, Inc., a California Corporation, dba Helpmates Staffing Services, ("Contractors"), 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. On February 6, 2018, the City issued a Request for Proposal ("RFP") No. 18-009, by which it sought qualified contractors to provide temporary staffing services for the City's employment needs. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that Contractor is able and willing to provide the services described in the scope of work that was included in RFP No. 18-009 and attached as Exhibit A. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Contractor shall 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 Exhibit A. Contractor's proposal dated February 26, 2018, is incorporated by reference as though fully set forth herein. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under this Agreement. Contract shall be paid only for services performed under this Agreement at the rates and charges identified in Exhibit B. Contractor is one of three Contractors selected to provide temporary staffing services. The total compensation for Contractor, as one of the selected contractors, shall not exceed $400,000 per year, including any extension periods as detailed in Section 3. b. Payment by City shall be made within 45 (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. Page 1 of 8 25A-3 3. TERM This Agreement shall commence on July 1, 2018, and continue for a three (3) year term with the option for the City to grant up to a two (2)-year renewal, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, 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. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. 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. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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 Contractor under this Agreement ("Documents & Data"). Contractor 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. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor 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. Page 2 of 8 25A-4 7. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional 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 insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: i. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be fumished 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. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agreement. Page 3 of 8 25A-5 V. Contractor shall supply City with a fully executed additional insured endorsement. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its 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 Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor 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 Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements Page 4 of 8 25A-6 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 Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor 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. Contractor 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 Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. 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 Page 5 of 8 25A-7 terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor 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. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 16. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product(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 Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 17. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 18. 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. Page 6 of 8 25A-8 19. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 20. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 21. 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: Steven Pham, Executive Director, Human Resources City of Santa Ana 20 Civic Center Plaza (M-24) P.O. Box 1988 Santa Ana, California 92702 Fax:714-647-6930 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 Page 7 of 8 25A-9 To Consultant: Helpmates Staffing Services Attn: Kevin Willard 1200 Main Street, Ste. B Irvine, CA 92614 Fax:949-752-4900 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 Cityholidays shall be excluded. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Laura A. Ro sini Senior Assistant City Attor )ED FOR P OVAL: Stephen Pham Executive Director, Human Resources CITY OF SANTA ANA Raul Godmez II City Manager HELPMATES STAFFING SERVICES: C /Rilla VP/Chief Revenue Officer Page 8 of 8 25A-10 EXHIBIT A SCOPE OF SERVICES 25A-11 Exhibit A Appendix ATTACHMENT 1: SCOPE OF WORK A. OVERVIEW The purpose of this Request for Proposals is to identify qualified Contractor(s) to provide professional temporary staffing services for the City of Santa Ana's employment needs. Temps will work under the City's 9/80 work schedule (Monday to Thursday 9 hour workdays, Friday 8 hour workday and closed every other Friday). The City expends approximately $300,000 annually for Temporary Staffing Services, although the requirements will fluctuate during the agreement period. Current Contracts/ Purchase Orders: In the event that one of the current firms is not selected during this RFP process, there would then be a phase -out period, allowing those existing employees to complete their assignment with the City through the existing contract or purchase order. B. SPECIFICATIONS Contractor shall provide a comprehensive catalog of clerical, office, accounting and other related administrative support service options to the City. The Contractor further agrees to; • Provide appropriate method to match the City's needs within the specified time frames. • Coordinate all schedule work dates with City at least one business day before the start of assignment. • Provide a detailed proposal and invoice, according to the specifications prescribed by the City department. The Contractor shall ensure the following prior to recommending any Temp for placement to the City: • Ensure that work authorization has been obtained and is current for individuals referred to the City for assignment via I-9 (employment eligibility verification) • Ensure that Live Scan fingerprinting and/ or background check have been processed, completed and passed (if requested by the City) • Ensure that temporary worker(s) recommended for an assignment meet all essential job function and minimum qualification requirements for the various types of services • Ensure that typing speed is at least 30 wpm and Microsoft Office abilities have been tested and are met with positive results as required • Ensure that temporary worker is bilingual when this is requirement for assignment C. SPECIFICATIONS/ SCOPE OF SERVICES 1. The City department will call the Contractor for temporary services and provide the title and any special skills or experience required. Certain positions may require bilingual skills. Contractor shall provide temporary worker(s) as required and approved by City departments to work at the various City of Santa Ana department locations. City of Santa Ana RFP 18-009 Page 12 25A-12 2. The Contractor will compare job requirements with worker qualifications and will email resume and test results of Temps as requested. 3. The Contractor will follow up with the City within two (2) hours to report status of provide name(s) for City approval. a. If Contractor is unable to locate a qualified candidate within four (4) hours of the initial request, the City reserves the right to contact other temporary agencies for placement. 4. Once a candidate is selected, and the hourly pay rate has been agreed upon, Contractor shall provide City with a detailed proposal to include the specific job description, the hourly pay rate for the temporary worker, and the mark-up rate. The City will then sign the proposal in approval. All invoices must include the agreement number. 5. Contractor shall provide temporary workers who have the skills required for the assignment. 6. City reserves the right to end a Temp's assignment if work performed is substandard, attendance is poor, or for other business related reasons. Contractor shall remove any temporary worker from assignment at City's request, and at the time requested by City and provide replacement temporary worker if required by City. 7. Contractor shall be responsible for all decisions concerning matters of hiring, firing, discipline, payroll practices, employee benefits such as vacation, sick and other leave benefits. Temporary workers provided by the agency shall be considered employees of the agency and shall in no sense be considered employees of agents of the City. 8. Contractor shall be responsible for communication with temporary workers with respect to their duties as employees of the Contractor. 9. Contractor will provide City with testing resources for regular status positions as requested. These services shall be provided at the rates set forth in Proposal Pricing Sheet on Page 16. 10, Individual temporary workers are not permitted to work more than 960 hours in any fiscal year period (July 1— June 30). D. SERVICE CATEGORIES Please note the service categories listed in this document should not be construed as a detailed description of the tasks to be performed but rather a broad general outline. General Administrative Office Support Temporary administrative support is responsible for but not limited to: opening and routing mail, answering phones, providing customer service at public counters, drafting general correspondence, preparing minutes of meetings, may operate computer, and other administrative duties assigned. Executive/ Senior Administrative Office Support In addition to the tasks required of General Administrative Office Support, temporary executive / senior administrative office support performs highly responsible secretarial and routine administrative duties in City of Santa Ana RFP 18-009 Pa a 13 2A-13 the office of the City Manager, City Attorney or reports directly to an Executive team member with a higher level of professionalism and experience. Accounting and Financial Administrative Support Temporary accounting support is responsible for but not limited to reconciling accounting records, preparing accounting reports and budgets, reviewing and verifying payroll documents and compliance documents for completeness, correct pay rate and reasonableness, producing reported work hours summary reports, posting accounting entries, summarizing accounting records, accepting and processing invoice payments. Legal Secretary Support Temporary legal secretary support performs a variety of complex and responsible legal secretarial and clerical work involving specialized legal terminology, documents and procedures. Processes legal papers and documents in accordance with established procedures and formats. Performs confidential secretarial and minor legal procedures for one or more attorneys, as assigned, including maintaining court and appointment calendars. Other Classifications as determined ■ City of Santa Ana RFP 18-009 Pa a 14 2A-14 EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable 25A-15 Exhibit B Appendix ATTACHMENT 3: COST PROPOSAL FORM COST PROPOSAL FORM THE FOLLOWING PROPOSAL PRICING MUST BE BASED ON THE CITY'S WORK SCHEDULE AND DETAILED CRITERIA AS LISTED IN THE SCOPE OF SERVICES SECTION OF THIS REQUEST FOR PROPOSALS. ALL FEES AND EXPENSES MUST BE INCLUSIVE OF ALL APPLICABLE TAXES, LABOR, ETC. CITY OF SANTA PRICING ANA Hourly Pay Min Bill Rate Max Bill Rate Mark-up Overtime Bill Overtime CLASSIFICATION Rate Rate Mark-up Administrative Assistant $16-18 $ 22.24 $ 25.02 39 % $ 24-27 150 % Senior Administrative Assistant $ 24-28 $ 33.36 $ 38.92 39 % $ 36-42 150 Office Specialist $ 14-16 $ 19.46 $ 22.24 39 % $ 21-24 150 Accounting Assistant $ 18-22 $ 25.02 $ 30.58 39 % $ 27-33 150 Accountant $ 35-40 $ 48.65 $ 55.60 39 % $ 52.50-60 150 % Accounting Specialist $ 20-24 $ 27.80 $ 33.36 39 % $ 30-36 150 Legal Secretary $ 28-32 $ 38.92 $ 44.48 39 % $ 42-48 150 Provide markup percentage rate agency will utilize to negotiate prices for positions not listed above. 39 % DIRECT HIRE PLACEMENT PRICING *Direct Hire Fee (Please Explain Below_ 18% of Annual Salary' *Please explain briefly in detail your policy and pricing on the hiring of your temporary workers. . Please see our discounted Direct Hire Placement pricing Fee Schedule developed specifically for the City of Santa Ana, on Page 31, following this ATTACHMENT 3: COST PROPOSAL FORM City of Santa Ana RFP 18-009 2P A-16 PRICING LIVE SCAN / BACKGROUND CHECK $ 35,00 PRICING Additional fee for BILLINGUAL? $ o (no additional fee) Helpmates Staffing Services (Name of By���or (Signature of Offeror's Representative) Title: Regional Director, Orange County Date: 2/26/18 City of Santa Ana RPP 18-009 164-17 10 �Ze A� CERTIFICATE OF LIABILITY INSURANCE DATE/(MM/DD� THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER Assurance Agency, Ltd 1750 E Golf Road Suite 1100 Schaumburg IL 60173 CONT CT Samantha Meccia PHONE IF 312-625-5957 A/c Na: 647 440-9126 noorsess, smeccia assurances enc .com INSUl AFFORDING COVERAGE NAIC# INSURER A: Zurich American Insurance Cc 16535 INSURED TRUSTEM-01 Trust Temporary Services, Inc, dba Helpmates Staff 1200 Main Street INSURER B: American Guarantee & Llab 26247 INSURER C: American Zurich Insurance Cc 40142 INSURER D: Columbia Casualty Co 31127 Suite A Irvine CA 92614 INSURER E: INSURER F: COVERAGES CERTIFICATE NUMBER: 1246622476 REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR LTR TYPE OF INSURANCE ADDL SUER POLICY NUMBER POLICY EFF MM/DD/YYYY) POLICY EXP (MMMDNYYYI LIMITS A X COMMERCIAL GENERAL LABILITY PRA969865506 4/1/2018 4/1/2019 EACH OCCURRENCE $1,0 mo X I CLAIMS -MADE OCCUR DAMAGETORE TED PREMISES Ee occunence $100,000 MED EXP (Any one person) $10,000 PERSONALBADVINJURY $1.000,000 GEN'L AGGREGATE LIMIT APPLES PER GENERALAGGREGATE $3,000.000 X POLICY JEC LOC PRODUCTS-COMP/OPAGG $2.000.000 $ OTHER: A A AUTOMOBILE LIABILITY BAP591335304 PRA969865506 4/1/2018 4/1/2018 4/1/2019 4112019 COMBINED SINGLE LIMIT Es accident $1,000.000 BODILY INJURY (Per person) $ AUTO OWNED SCHEDULEDAUTOS ONLY AUTOSBODILY JANY INJURY (Per accident) $ HIRED X NON -OWNED AUTOS ONLY AUTOS ONLY PROPERTY DAMAGE Per accident) $ B X UMBRELLA LIAB X OCCUR UMBM720206 4/1/2018 41IM019 EACH OCCURRENCE $5.000.000 AGGREGATE $5,000.Wo EXCESS LIAB CLAIMS -MADE DED I X I RETENTION$o $ C WORKERS COMPENSATION AND EMPLOYERS'LIABILITY YIN WC557130705 8/92017 8/92018 X STATUTE ERH E.L. EACH ACCIDENT $1,00000o ANYPROPRIETOWPARTNEWEXECUTIVE N] OFFICER/MEMBEREXCLUDED? NIA E.L. DISEASE -EA EMPLOYEE $1000,000 (Mandatory In NH) If yes, tlescrib. antler DESCRIPTION OF OPERATIONSbelow E.L. DISEASE -POLICY LIMIT $1000.000 A A D Crme(3rd Party) Professional Liability Cyber Liability PRA969865506 PRA969865506 596881085 4/12018 411MO18 4/1/2018 V12019 W12019 4112O19 3,000,000 Umil $2MM ecc. /$4M agg Agg:$1.000.000 5,00 Ded. 25,000 Ded. DESCRIPTION OF OPERATIONS/LOCATIONS/VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required) It is agreed that the following are added as Additional Insured, when required by written contract, on the General Liability with respect to operations performed by the Named Insured in connection with this project: THE CITY OF SANTA ANA, ITS OFFICERS , EMPLOYEES, AGENTS, AND REPRESENTATIVE City of Santa Ana 20 Civic Center Plaza Santa Ana CA 92701 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. AUTHORIZED REPRESENTATIVE ©1988-2015 ACORD CORPORATION. All rights reserved. ACORD 25 (2016/03) The ACORD name and tSg Aei;f ged marks of ACORD THIS CERTIFICATE SUPERSEDES PREVIOUSLY ISSUED CERTIFICATE 1 as POLICY NUMBER: PRA 9698655-06 COMMERCIAL GENERAL LIABILITY CG 20 10 0413 ADDITIONAL INSURED - OWNERS, LESSEES OR CONTRACTORS - scheduled person or organization This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Name Of Additional Insured Person(s) Or Organization(s); Location(s) Of Covered Operations Any person or organization who you are required to add as an additional insured on this policy under a contract or agreement shall be an insured, but only with respect to that person's or organization's liability arising out of your operations as a "Staffing Service" or premises owned by or rented to you. Information required to complete this Schedule, if not shown above, will be shown in the Declarations. A. Section II - Who Is An Insured is amended to B. With respect to the insurance afforded to these include as an additional insured the person(s) or additional insureds, the following additional organization(s) shown in the Schedule, but only exclusions apply: with respect to liability for "bodily injury", "property This insurance does not apply to "bodily injury" or damage" or "personal and advertising injury" "property damage" occurring after: caused, in whole or in part, by: 1. All work, including materials, parts or 1. Your acts or omissions; or equipment furnished in connection with such 2. The acts or omissions of those acting on your work, on the project (other than service, behalf; maintenance or repairs) to be performed by or in the performance of your ongoing operations for on behalf of the additional insured(s) at the the additional insured(s) at the location(s) location of the covered operations has been designated above. completed; or However: 2. That portion of "your work" out of which the 1. The insurance afforded to such additional injury or damage arises has been put to its insured only applies to the extent permitted by intended use by any person or organization law; and other than another contractor or subcontractor 2. If coverage provided to the additional insured engaged in performing operations for a is required by a contract or agreement, the principal as a part of the same project. insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional insured. © Insurance Services Office, Inc., 2012 Page 1 of 2 Wolters Kluwer Financial services I Uniform Fo"STM 25A-19 C. With respect to the insurance afforded to these additional insureds, the following is added to Section III - Limits Of Insurance: If coverage provided to the additional insured is required by a contract or agreement, the most we will pay on behalf of the additional insured is the amount of insurance: 1. Required by the contract or agreement; or 2.Available under the applicable Limits of Insurance shown in the Declarations; whichever is less. This endorsement shall not increase the applicable Limits of Insurance shown in the Declarations. CG 2010 0413 © Insurance Services Office, Inc., 2012 25A-20 Page 2 of 2 Wolters Kluwer Financial services I Uniform FormsTM EXHIBIT 2 FIRST AMENDMENT TO AGREEMENT WITH HELPMATES STAFFING SERVICES THIS FIRST AMENDMENT to the above -referenced agreement is entered into on September 15, 2020, by and between Helpmates Staffing Services ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and Laws of the State of California ("City"). RECITALS A. The parties entered into Agreement No. A-2018-148, dated June 5, 2018, by which Consultant agreed to provide temporary staffing services for the City's employment needs ("Agreement"). B. Contractor was one of three Contractors selected to provide temporary staffing services. The compensation called for under the Agreement was for an amount not -to -exceed $400,000 per year for all three contractors. C. The parties now desire to amend the agreement to allocate $60,000 from FY 2020/2021 to FY 2019/2020 to pay Contractor 4 month of past invoices for the last fiscal year. Due to the current pandemic, City staff does not anticipate an increase in temporary staffing services for the current fiscal year. The Parties therefore agree: 1. Section 2, Compensation, is amended to allocate $60,000 from FY 2020/2021 to FY 2019/2020. The total compensation for Contractor, as one of the selected contractors, shall not exceed the following: FY 2019/2020 = $460,000 FY 2020/2021 = $340,000 The parties acknowledge that Contractor provided additional services to the City from March 22, 2020 through March 27, 2020 that exceeded the amount of compensation allocated for FY 2019/2020 and that there is outstanding invoices in the amount of $60,000 ("Outstanding Compensation") for the services rendered as set forth in the Invoices identified in Exhibit B-1, attached hereto, and incorporated by reference to this Agreement. The Outstanding Compensation is included as part of the Compensation allocation identified in this Section. The compensation for the two (2) one (1) year renewal options shall remain as written in the Agreement. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under this Agreement. Contractor shall be paid only for services performed under the Agreement at the rates and charges identified in Exhibit B. Contractor is one of three Contractors selected to provide temporary staffing services. Page 1 of 2 25A-21 2. Except as modified by this First Amendment, all terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the Agreement on the date and year first written above. Daisy Gomez Clerk of the Council APPROVED AS TO FORM Sonia R. Carvalho City Attorney By: Jose Montoya Deputy Ci}y Attorney FOR Executive DiAtor Human Resources Department V" Kristine Ridge City Manager CONSULTANT Rosalie Villa VP/Chief Revenue Officer Page 2 of 2 25A-22 EXHIBIT 13-1 25A-23 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,334.40 Due On 885487 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 03/22/2020 Phan, Ivy Reg 32.00 $41.70 $1,334.40 Total This WeekWorked: $1,334.40 Reg: 32 OT: 0 DT: 0 Total - This Invoice: $1,334.40 Page 1 of 1 25A-24 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $7,892.58 Due On 885488 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 03/22/2020 Araiza, Fatima Reg 32.00 $22.24 $711.68 Beckett, Denise L Reg 32.00 $44.48 $1,423.36 Flores, Dora D Reg 37.00 $25.02 $925.74 Salas, Diana M Reg 32.00 $25.02 $800.64 Sanchez, Lisset S Reg 32.00 $22.24 $711.68 Santamaria, Kevin O Reg 32.00 $43.79 $1,401.28 Serban, Ashley C Reg 32.00 $41.70 $1,334.40 Underwood, Carmelita D Reg 14.00 $41.70 $583.80 Total This WeekWorked: $7,8978 Reg: 243 OT: 0 DT: 0 Total - This Invoice: $7,892.58 Page 1 of 1 25A-25 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,668.00 Due On 885627 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 03/29/2020 Phan, Ivy Reg 40.00 $41.70 $1,668.00 Total This WeekWorked: $1,668.00 Reg: 40 OT: 0 DT: 0 Total - This Invoice: $1,668.00 Page 1 of 1 25A-26 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $5,312.30 Due On 885628 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 03/29/2020 Araiza, Fatima Beckett, Denise L Flores, Dora D Salas, Diana M Sanchez, Lisset S Serban, Ashley C Underwood, Carmelita D Reg Reg Reg Reg Reg Reg Reg 4.00 39.50 32.00 32.00 32.00 8.00 19.66 $22.24 $44.48 $25.02 $25.02 $22.24 $41.70 $41.70 $88.96 $1,756.96 $800.64 $800.64 $711.68 $333.60 $819.82 Total This WeekWorked: $5,3170 Reg: 167.16 OT: 0 DT: 0 Total - This Invoice: $5,312.30 Page 1 of 1 25A-27 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,334.40 Due On 885920 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 04/19/2020 Phan, Ivy Reg 32.00 $41.70 $1,334.40 Total This WeekWorked: $1,334.40 Reg: 32 OT: 0 DT: 0 Total - This Invoice: $1,334.40 Page 1 of 1 25A-28 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,601.28 Due On 885921 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 04/19/2020 Flores, Dora D Salas, Diana M Reg Reg 32.00 32.00 $25.02 $25.02 $800.64 $800.64 Total This WeekWorked: $1,601.28 Reg: 64 OT: 0 DT: 0 Total - This Invoice: $1,601.28 Page 1 of 1 25A-29 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,668.00 Due On 886017 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 04/26/2020 Phan, Ivy Reg 40.00 $41.70 $1,668.00 Total This WeekWorked: $1,668.00 Reg: 40 OT: 0 DT: 0 Total - This Invoice: $1,668.00 Page 1 of 1 25A-30 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,501.20 Due On 886018 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 04/26/2020 Flores, Dora D Salas, Diana M Reg Reg 28.00 32.00 $25.02 $25.02 $700.56 $800.64 Total This WeekWorked: $1,501.20 Reg: 60 OT: 0 DT: 0 Total - This Invoice: $1,501.20 Page 1 of 1 25A-31 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,542.90 Due On 886094 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 05/03/2020 Phan, Ivy Reg 37.00 $41.70 $1,542.90 Total This WeekWorked: $1,542.90 Reg: 37 OT: 0 DT: 0 Total - This Invoice: $1,542.90 Page 1 of 1 25A-32 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,957.12 Due On 886095 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 05/03/2020 Beckett, Denise L Flores, Dora D Salas, Diana M Reg Reg Reg 8.00 32.00 32.00 $44.48 $25.02 $25.02 $355.84 $800.64 $800.64 Total This WeekWorked: $1,957.12 Reg: 72 OT: 0 DT: 0 Total - This Invoice: $1,957.12 Page 1 of 1 25A-33 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,668.00 Due On 886186 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 05/10/2020 Phan, Ivy Reg 40.00 $41.70 $1,668.00 Total This WeekWorked: $1,668.00 Reg: 40 OT: 0 DT: 0 Total - This Invoice: $1,668.00 Page 1 of 1 25A-34 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $2,324.08 Due On 886187 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 05/10/2020 Beckett, Denise L Flores, Dora D Salas, Diana M Reg Reg Reg 14.00 36.00 32.00 $44.48 $25.02 $25.02 $622.72 $900.72 $800.64 Total This WeekWorked: $2,324.08 Reg: 82 OT: 0 DT: 0 Total - This Invoice: $2,324.08 Page 1 of 1 25A-35 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,542.90 Due On Receipt 1 05/17 886271 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 05/17/2020 Phan, Ivy Reg 37.00 $41.70 $1,542.90 Total This WeekWorked: $1,542.90 Reg: 37 OT: 0 DT: 0 Total - This Invoice: $1,542.90 Page 1 of 1 25A-36 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $2,224.00 Due On Receipt 1 05/17 886272 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 05/17/2020 Beckett, Denise L Flores, Dora D Salas, Diana M Reg Reg Reg 14.00 32.00 32.00 $44.48 $25.02 $25.02 $622.72 $800.64 $800.64 Total This WeekWorked: $2,224.00 Reg: 78 OT: 0 DT: 0 Total - This Invoice: $2,224.00 Page 1 of 1 25A-37 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,668.00 Due On 886346 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 05/24/2020 Phan, Ivy Reg 40.00 $41.70 $1,668.00 Total This WeekWorked: $1,668.00 Reg: 40 OT: 0 DT: 0 Total - This Invoice: $1,668.00 Page 1 of 1 25A-38 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $2,224.00 Due On 886347 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 05/24/2020 Beckett, Denise L Flores, Dora D Salas, Diana M Reg Reg Reg 14.00 32.00 32.00 $44.48 $25.02 $25.02 $622.72 $800.64 $800.64 Total This WeekWorked: $2,224.00 Reg: 78 OT: 0 DT: 0 Total - This Invoice: $2,224.00 Page 1 of 1 25A-39 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,209.30 Due On 886426 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 05/31/2020 Phan, Ivy Reg 29.00 $41.70 $1,209.30 Total This WeekWorked: $1,209.30 Reg: 29 OT: 0 DT: 0 Total - This Invoice: $1,209.30 Page 1 of 1 25A-40 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,804.92 Due On 886427 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 05/31/2020 Araiza, Fatima Araiza, Fatima Beckett, Denise L Flores, Dora D Salas, Diana M Reg OT Reg Reg Reg 14.50 0.50 14.00 16.00 16.00 $25.02 $37.53 $44.48 $25.02 $25.02 $362.79 $18.77 $622.72 $400.32 $400.32 Total This WeekWorked: $1,804.92 Reg: 60.5 OT: 0.5 DT: 0 Total - This Invoice: $1,804.92 Page 1 of 1 25A-41 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,668.00 Due On 886505 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 06/07/2020 Phan, Ivy Reg 40.00 $41.70 $1,668.00 Total This WeekWorked: $1,668.00 Reg: 40 OT: 0 DT: 0 Total - This Invoice: $1,668.00 Page 1 of 1 25A-42 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $2,111.41 Due On 886506 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 06/07/2020 Araiza, Fatima Beckett, Denise L Flores, Dora D Salas, Diana M Reg Reg Reg Reg 40.00 14.00 10.00 9.50 $25.02 $44.48 $25.02 $25.02 $1,000.80 $622.72 $250.20 $237.69 Total This WeekWorked: $2,111.41 Reg: 73.5OT: 0 DT:O Total -This Invoice: $2,111.41 Page 1 of 1 25A-43 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,542.90 Due On 886581 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 0611412020 Phan, Ivy Reg 37.00 $41.70 $1,542.90 Total This WeekWorked: $1,542.90 Reg: 37 OT: 0 DT: 0 Total - This Invoice: $1,542.90 Page 1 of 1 25A-44 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,886.23 Due On 886582 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 0611412020 Araiza, Fatima Beckett, Denise L Flores, Dora D Salas, Diana M Reg Reg Reg Reg 32.00 14.00 8.00 10.50 $25.02 $44.48 $25.02 $25.02 $800.64 $622.72 $200.16 $262.71 Total This WeekWorked: $1,886.23 Reg: 64.5 OT: 0 DT: 0 Total - This Invoice: $1,886.23 Page 1 of 1 25A-45 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,668.00 Due On 886655 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 06/21/2020 Phan, Ivy Reg 40.00 $41.70 $1,668.00 Total This WeekWorked: $1,668.00 Reg: 40 OT: 0 DT: 0 Total - This Invoice: $1,668.00 Page 1 of 1 25A-46 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $2,324.08 Due On 886656 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 06/21/2020 Araiza, Fatima Beckett, Denise L Flores, Dora D Salas, Diana M Reg Reg Reg Reg 40.00 14.00 10.00 18.00 $25.02 $44.48 $25.02 $25.02 $1,000.80 $622.72 $250.20 $450.36 Total This WeekWorked: $2,324.08 Reg: 82 OT: 0 DT: 0 Total - This Invoice: $2,324.08 Page 1 of 1 25A-47 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,542.90 Due On 886730 1 13672544 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Corporate 13672544 Due On Receipt Description Type Units Rate Amount Wee kWorked: 06/28/2020 Phan, Ivy Reg 37.00 $41.70 $1,542.90 Total This WeekWorked: $1,542.90 Reg: 37 OT: 0 DT: 0 Total - This Invoice: $1,542.90 Page 1 of 1 25A-48 Helpmates® Staffing Services City Of Santa Ana Attn To: Cindi Sangenito 20 CIVIC CENTER PLAZA M-24 Santa Ana, CA 92702 A reminder to our customers: Any charge not disputed within 15 days from the date of this invoice is deemed to be correct. Helpmates charges a minimum of four hours for anyone work assignment. INVOICE $1,711.09 Due On 886731 1 13661721 Make Check Pavable to Helpmates Staffin Remit To: Helpmates Staffing 1200 Main St., Ste A Irvine, CA 92614 949-752-6888 This is a labor bill and is due upon receipt. A finance charge of 1.5 % per month on all unpaid balances, but in no event greater than allowed by law will be applied if payment is received after 30 days from date of this invoice. Client shall pay to Helpmates all cost and expenses to effectenforce collection under this agreement, including reasonable attorney fees and/or fees of collection agencies. Customer Name Department Customer No. Payment Terms City Of Santa Ana Santa Ana 13661721 Due On Receipt Description Type Units Rate Amount Wee kWorked: 06/28/2020 Araiza, Fatima Araiza, Fatima Beckett, Denise L Flores, Dora D Reg OT Reg Reg 32.00 1.00 14.00 10.00 $25.02 $37.53 $44.48 $25.02 $800.64 $37.53 $622.72 $250.20 Total This WeekWorked: $1,711.09 Reg: 56 OT: 1 DT: 0 Total - This Invoice: $1,711.09 Page 1 of 1 25A-49 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPROVE AN AGREEMENT WITH THE SOLIS GROUP FOR COMMUNITY WORKFORCE AGREEMENT ADMINISTRATION FOR A TERM OF UP TO FOUR YEARS IN AN AMOUNT NOT TO EXCEED $1,200,000 (NON -GENERAL FUND) /s/ Kristine CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For CK�7►111►U1q�iC�. FILE NUMBER RECOMMENDED ACTION Authorize the City Manager to execute an agreement with The Solis Group to provide Community Workforce Agreement (CWA) administrative services for a two-year period beginning September 15, 2020, and ending September 14, 2022, with provisions for two one-year extensions, for a total aggregate amount not to exceed $1,200,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The purpose of the CWA is to increase employment opportunities for workers who live in Santa Ana and increase training and employment opportunities for the City's construction trade students through apprenticeships. A key goal of the CWA is that no less than 30 percent of the total work hours on a project be performed by workers residing in Santa Ana, Orange County, or by veterans regardless of where they reside. The City has pledged to actively administer, monitor, and enforce the obligations of the CWA to ensure that the benefits envisioned from it flow to all, and as a result, the City has included, directly or by reference, the requirements of the CWA in the advertisement and specifications of every contract awarded since September 2017. On June 23, 2020, the Public Works Agency issued a Request for Proposal (RFP), by which it sought a qualified consultant to administer and enforce the CWA. The RFP was advertised on the City's online bid management and publication system, PlanetBids. Forty firms downloaded the RFP package, three of which submitted a proposal. The proposals were evaluated by a selection committee based on criteria as outlined in the RFP. The Solis Group's proposal was comprehensive and met all the requirements of the RFP. Staff recommends awarding a contract (Exhibit 1) to The Solis Group for CWA professional administrative services. Listed below are the evaluation results. 25B-1 Award Contract for Community Workforce Agreement Administration September 15, 2020 Page 2 Rank Firm Score 1 The Solis Group 92 2 TransCal Services, LLC. 88 3 Murow Development Consultants 68 FISCAL IMPACT There is no fiscal impact at this time. Prior to utilizing any of these 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 the agreement. Upon successful completion of this fiscal review, a corresponding Notice to Proceed containing the specific scope and maximum expenditure for the task order will be issued to the firm. Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Exhibit: 1. Agreement with The Solis Group 25B-2 =m:n5i AGREEMENT TO PROVIDE PROFESSIONAL ADMINISTRATIVE SERVICES FOR CITY OF SANTA ANA'S COMMUNITY WORKFORCE AGREEMENT THIS AGREEMENT is made and entered into on this 15th day of September, 2020 by and between TSG Enterprises, Inc. (dba The Solis Group) ("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. On June 23, 2020, the City issued Request for Proposal No. 20-096, by which it sought a qualified consultant to provide professional services in administering the City's Community Workforce Agreement (CWA). B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 20-096. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform 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. Consultant's Proposal - Exhibit B, is attached and incorporated in full. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Consultant under this Agreement. Consultant shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit C. The total amount to be expended under this Agreement shall not exceed $1,200,000 during the term of this Agreement, including any extension periods. b. Payment by City shall be made within forty-five (45) 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 and Scope of Work, which may reasonably be expected by City. 25B-3 3. TERM This Agreement shall commence on the date first written above and terminate on September 14, 2022, unless terminated earlier in accordance with Section 16, below. The term of this Agreement may be extended for up to two 1-year periods upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, 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. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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. 5. 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. 6. 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. Page 2 of 8 25B-4 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: 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 insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, 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. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agreement. V. 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 Page 3 of S 25B-5 and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its 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. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. 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. 10. 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 8 r 11. 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 fixrther 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. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. 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. Page 5 of 8 25B-7 15. 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. 16. TERIVIINATION 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. 17. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 18. 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. 19. 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 Page 6 of 8 r cause for termination of this Agreement. 20. NIISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 21. 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) Santa Ana, CA 92702-1988 Fax: 714- 647-6956 To Consultant: With Courtesy copies to: Executive Director TSG Enterprises, Inc. dba. The Solis Group 131 N. El Molino Avenue, Suite 100 Pasadena, CA 91101 Fax:626-685-6985 Attn: Elizabeth Solis/Jeremy Turner City of Santa Ana, Public Works Agency 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax:714-647-5635 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. Page 7 of 8 25B-9 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: John Punk Assistant City Attorney RECOMMENDED FOR APPROVAL: Nabil Saba Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONSULTANT: Terry E. Sof if Chairman & Secretary of the Board of Directors Page 8 of 8 25B-10 EXHIBIT A Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR RFP NO. 20-096 COMMUNITY WORKFORCE AGREEMENT (CWA) PROFESSIONAL ADMINISTRATIVE SERVICES Introduction and Background: The Community Workforce Agreement (CWA) is an agreement between the City of Santa Ana (City), the Los Angeles/Orange Counties Building and Construction Trades Council, and affiliated local unions. The CWA became fully integrated into project specifications in September of 2017. The City seeks proposals from capable and experienced firms to provide professional services in administering and enforcing the obligations of the CWA to ensure that the benefits envisioned from it flow to all Parties, including the Contractors, crafts persons working under it, and the residents of the City. The aim of the CWA is to increase employment opportunities for workers who live in Santa Ana, Orange County, and Veterans, regardless of where they reside, increase training and employment opportunities for the City's construction trade students through apprenticeships, and to promote efficiency of construction operations performed for the City. The CWA applies to all of the City's Project Work performed by Contractor(s) of any tier that have contracts awarded for such work, for the development of the City's facilities which have been designated by the City for construction or rehabilitation. Project Work covered by the CWA is defined and limited to all construction and major rehabilitation work for multi -trade construction contracts exceeding two -hundred and fifty - thousand dollars ($250,000), and all specialty contracts exceeding one -hundred thousand dollars ($100,000). A goal of thirty (30) percent of total work hours shall be performed from workers residing within the areas defined in the CWA. Description of Work: Provide all services, and support, required to actively administer and enforce the obligations of the CWA, ensuring that the benefits envisioned from it flow to all Parties. Firm/Contractor Responsibilities: The selected firm shall provide professional administrative services that include, but are not limited to the following: 1. Act as the City's authorized representative and the liaison between the City, Contractors, and City of Santa Ana RFP 20-096 2,08111 Local Unions, coordinating all CWA activities. 2. Attend Pre -Bid and/or Pre -Construction meetings to provide an overview of the CWA, responsibilities outlined within the CWA, and resources available to assist Contractors in achieving the CWA goal. 3. Conduct Pre -Job Meeting between Contractor, Sub -Contractors, and appropriate Unions, informing all parties of their rights and obligations under the CWA. 4. Assist and guide Contractors during all phases of construction. 5. Assist and advise City staff in the preparation CWA sections of project Specifications and Bid Package. 6. Assist in review, and responses, to CWA related Requests for Information during bidding. 7. Collect, review, and verify all forms required bythe CWA, priorto commencement ofproject work. Create and maintain a CWA Administration database. 8. Assist in interpretation, clarification, and application of the CWA. 9. Recommend enhancements of the CWA. 10. Investigate, supervise, and resolve CWA grievances. 11. Monitor and recommend enforcement measures to ensure compliance by Contractor, and Local Unions, with provisions of the CWA. 12. Organize monthly meetings with City staff, providing CWA update on City projects. 13. Prepare various monthly, quarterly, and annual reports detailing CWA activity. 14. Prepare a Project Closeout Report outlining obstacles, violations, services performed, and final percentages achieved by workforce type (Santa Ana, Orange County, Veterans and Non -Local). 15. Prepare an Annual report summarizing all CWA activity (planned, active, and completed projects), to present to City Council and residents of Santa Ana. 16. Develop a CWA Compliance Packet to assist Contractors in complying with the CWA, as needed. 17. Author a formal CWA Policies and Procedures manual as a guide for CWA administration duties. 18. Train City staff, and those identified by the City, on implementation of CWA by developing educational material and presentations. 19. CWA orientation for Contractors, as needed. City Responsibilities: The City will furnish copies of project Plans and Specifications. The City will make available any other material related to the Community Workforce Agreement. Special Requirements None. Prevailing Wages The successful firm will be subjected to compliance, monitoring and enforcement by the State of California Department of Industrial Relations. The firms 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. City of Santa pAna yRRFFP 20-096 •nt http://www.dir.ca.govL/public-works/Xublicworks.html Firm shall provide certified payroll to the City upon invoicing. The City will not process invoices until certified payroll has been provided. Fee Proposal In addition to Section IV.13.3 (Submittal Requirements: Fee Proposal) fee schedule shall be structured as follows: Proposer's Fee Proposal shall be submitted concurrently with the technical proposal, but in a separately sealed envelope, clearly labeled as "Fee Proposal." This shall include the firm's Standard Hourly Fee Schedule, inclusive of all anticipated applicable fees for the types of projects described in this RFP. The proposer shall also submit another Fee Proposal to include classifications or services that can be provided by the proposer. This fee proposal should be included in the aforementioned envelope. City of Santa pAna yRFFP 20-096 2-08�' 11 EXHIBIT B — Proposal to Provide Community Workforce Agreement Professional Administrative Services a. Cover Letter July 14, 2020 Michael Ortiz, Project Manager City of Santa Ana Public Works Agence; M-22 20 Civic Center Plaza; Ross Annex Santa Ana, CA92701 RE: Request for Proposals Community Workforce Agreement (CWA) Professional Administrative Services Dear Mr. Ortiz: The Solis Group (TSG) has a proven track record of cost-effectively implementing Community Workforce Agreements (CWA) for public agencies. Headquartered in Pasadena, we are ready to support the City's mission for its Capital Improvement Program and to achievethe local resident and veteran hiring goals. TSG has repeatedly been selected as the best -value offeror in delivering similar programs throughout California, with six similar assignments in the City's neighboring communities at this time. We will leverage our previoussuccessesandcurrentrelationshipstomeet — and exceed —all City goals. We will achieve this through our: • 27 years of experience supporting public agencies • Track record of achieving a variety of local hiring program goals including tiered programs with local resident and veteran goals • Strong history of effective labor relations management with the building trades • Direct experience in grievance processing, mediation, and arbitration • Coordination of CWA workforce development and employment programs that engage and educate the local workforce and contractor community, including local small businesses Internal Quality Assurance protocols to ensure on -time and on -budget performance. TSG Enterprises, Inc dba The Solis Group 131 N. El Molina Avenue,Suite 100 Pasadena, California 91101 Phone: (626) 685-6989 Fax:(626)685-6985 Proposal Contact: Gary A. Hamm Senior Vice President Phone:626-685-6989 Email: ahammlau)thesnlisernun.cnm C THE, SOLIS 131 N. El Molino Ave, Suite 100, Pasadena, CA 91101 ■ Office: 626.685.6989 ■ Fax: 626.685.6985 Page 1 GROUP 25B-14 Proposal to Provide I Community Workforce Agreement Professional Administrative Services Jeremy Turner will be your CWA Administrator and he stands ready to provide hands-on professional services to the City immediately upon award. He has direct experience managing a variety of CWA and related compliance programs for our municipal and public works clients, as well as local K-12 school districts and community college districts. Jeremy has strong existing relationships with the LA/Orange County Building Trades Council and related local unions. Evidence of Jeremy's success managing CWA and local hiring programs includes his strong performance on similar programs, Recently, Jeremy began work as the Project Labor Coordinator at Anaheim Union High School District where his projects are currently at 58% and 53%versus the goal of 30%. Other successes are highlighted in the balance of this proposal and on his resume. Why choose our team? We have a proven track record of keeping clients compliant with their project funding sources, enabling them to meet critical deadlines and schedules. We provide expert advice, accurate and timely reporting, and a staff that is courteous and responsive. TSG is respected in the industry as a firm that provides Innovative and flexible solutions, not defaulting to "cookie -cutter" solutions to solve compliance issues. Jeremy and his team are committed to leading a cost-effective program driven by engaging the community, local workers, contractors, and City in partnership toward shared goals. We look forward to working with you. Our service and price proposal Is valid for a minimum period of 120 days from the date of submission. I am duly authorized to contractually bind the company. Sincerely, er . Solis It r an and Secretary of the Board of Directors MG116 131 N. EI Molino Ave, Sidle 100, Pasadena, CA 91 101 ■ Office: 626.695.6989 ■ Fax: 626.6a5.6985 Page 2 25B-15 I Proposal to Provide skA Community Workforce Agreement Professional Administrative Services Table of Contents Section Page No. 1. Statement of Qualifications a. Cover Letter..........................................................................................................................1 Table of Contents b. Agreement Statement.........................................................................................................3 c. Firm and Team Experience...................................................................................................3 d. Understanding of Need......................................................................................................13 e. Relevant Experience...........................................................................................................15 f. Quality and Staff Availability..............................................................................................17 g. References..........................................................................................................................18 2. Scope of Services & Schedule................................................................................................19 3. Fee Proposal...........................................................................................................................20 4. Certifications................................................................. .. .......-- - - )n CSHE. M OROUSOLISP 131 N. El Molino Ave, Suite 100, Pasadena, CA 91101 Office: 626.685.6989 Fax: 626.685.6985 25B-16 ''-`-L- I Proposal to Provide it"''i' Community Workforce Agreement Professional Administrative Services b. Agreement Statement The Solis Group (TSG) concurs with the provisions as contained in the standard agreement attached as Attachment 2, in the Appendix of the subject RFP. c. Firm and Team Experience History of Firm The Solis Group (TSG) is a program management and compliance consultant for public works construction programs. We specialize in the administration of Community Workforce Agreements (CWAs) and related services necessaryto ensure the success of local hire and small business utilization and labor compliance programs. TSG Enterprises, Inc., dba The Solis Group is a California corporation headquartered in The Solis Group Summary Information MaJorServices EWAAiministration Provided Local hire and targeted workerprograms • Local/Small/MinorityNVomen— owned Business Utilization • Labor Compliance • Comm unity&Contractor Outreach Firm Size 30 staff members Corporate Established in Pasadena in 1992, Organization TSG is a Califomia corporation. Location of Corporate 131 N. El Molina Avenue, Ste 100, Headquarters Pasadena, CA 91101 Pasadena, California. The firm was established in 1992, has been in business for 27 years, and has 30 employees. Services on this assignment will be provided by staff from the Pasadena office. Our firm is one of the pioneers in helping owners with the management and enforcement of CWAs and local hiring programs —often for agencies implementing their first such programs. We bring the technical expertise to manage the details of these programs along with a genuine focus on the stakeholders and people served by them. The Solis Group (TSG) is a proven CWA Coordinator with track record of demonstrable success in administering Community Workforce Agreements (CWA) and achieving local hire program goalsfor public agencies like the City of Santa Ana. We are optimally suited to provide the inter -related services required for this assignment: • CWA Professional Administration • Local Hire lobs Coordination TSG has supported many public agencies in CWA administration and local hire programs on both small construction projects and large-scale programs, with 25 CWAs in the last five years alone. Our depth of experience managing and interpreting CWAs enables us to offer a fresh yet informed perspective on tackling core issues, minimizing project disruptions, and 'hitting the numbers.' A listing of recent CWA clients is provided later in this proposal at Section e. — Relevant Experience. C TNE_ $oLISoUP 131 N. EI Molina Ave, Suite 100, Pasadena, CA 91101 ■Office: 626.685.6989■ Fax: 626.685.6985 Page 3 DR 25B-17 ♦r V�i d Proposal to Provide IN Community Workforce Agreement Professional Administrative Services The Right Team for Today - and Tomorrow. We've deliberately sized our team to cover all City needs for its immediate plans and future expansion; we're nimble, cost-effective and scalable. Our proposed team members, roles, and experience is tabulated below. We also have an additional 25 staff members available to support the City's program should workload demand additional resources. Jeremy Turner will be the City's primary point of contact for this assignment. Resumes for all assigned staff are included on the following pages. CTHE $OLII.I$ 131 N. EI MolinoAve, Suite 100,Pasadena, CA 91loin Office: 626.685.6989mFax: 626.685.6985 GROUP Page 4 25B-18 Proposal to Provide Community Workforce Agreement Professional Administrative Services Jeremy Turner Project Manager and CWA Administrator As an experienced Project Manager with eight years in the industry, Jeremy brings a number of relevant skills to his Technical Advisor role. He is adept in compliance program development, administration, and monitoring/reporting associated with LCPs. He has worked on public works projects throughout California, managing TSG staff and overseeing data collection and analysis for use in local, State, and/or Federal LCPs. Jeremy oversees compliance data collection and analysis for LCP and PLA administration, including local or targeted worker utilization programs. He is also highly skilled in ensuring clear lines of communication and serving as a link between the owner, general contractors, subcontractors, local work source centers, and community -based organizations regarding LCP and funding requirements. Relevant Experience City of Fresno, Southeast Surface Water Treatment Facility (WTF), Fresno, CA: Project Manager. Manages TSG team responsible for labor compliance monitoring, enforcement, and reporting to fulfill all California Labor Code and Federal Davis -Bacon requirements for this $160M project. Also assists in advising contractors on all labor compliance requirements and coordinating formal enforcement actions among public and private agencies and the City. This program involves CWSRF funding and TSG is assisting the City in meeting all funding requirements. City of San Mateo, Wastewater Treatment Plant (WTP) Upgrade, San Mateo, CA: Project Manager. TSG is providing labor compliance consulting services for this $2.5M WTP expansion and upgrade as part of the City's Clean Water Program. Enforces compliance with California prevailing wage. Responsible for managing TSG staff providing support with project funding and DIR program requirements; maintaining labor compliance files; distributing certified payroll forms, wage determination, and LCP posters; receiving/auditing CPRsto assure prevailing wage compliance; and conducting, documenting, and reporting prevailing wagejob site interviews. Responsible for identifying potential labor compliance claim issues before they arise including investigating probable violations and complaints of underpayment; verifying registration of apprentices as per California Labor Code requirements; providing monthly reports on submission of payroll records; enforcing delinquent/incomplete payroll records; and performing ongoing contractor education. C THE. $GLI$ 137 N. El Molino Ave, SuitelW,Pasadena, CA 91101■Office: 626.685.6989■Fax: 626.685.6985 Pages GROUP 25B-19 Proposal to Provide Community Workforce Agreement Professional Administrative Services Anaheim Union High School District, Measure H General Obligation Bond Construction and Major Rehabilitation Program, Anaheim, CA: Project Manager. Jeremy is the Project Labor Coordinator responsible for Community Benefits Agreement (CBA) Administration, Labor Compliance, and Local Hire Program Management for Anaheim Union High School District. The program isfunded by a $249M bond measure and includes construction projects at seven schools. Jeremy works closely with the District, contractors, and local unions to ensure all projects comply with labor regulations and CBA requirements. Anaheim Elementary School District, Measure G General Obligation Bond Construction and Modernization Program, Anaheim, CA: Project Manager. Serves as Project Labor Administrator/Coordinator responsible for Community Benefits Agreement (CBA) Administration, Labor Compliance, and Local Hire Program Managementthe District's $77M bond program. Jeremy works closely with the District, contractors, and local unions to ensure all projects comply with applicable labor regulations and CBA requirements. Rancho Santiago Community College District, Measure Q Facilities Bond Construction & Modernization Program, Santa Ana, CA: Project Manager. Jeremy is the TSG Project Manager responsible for PLA Administration and Labor Compliance Program Management for the District's bond construction program. He provides technical assistance to the District, prime contractors, subcontractors, and workers on all issues. He manages the TSG staff performing the day-to-day tasks of site and worker interviews, document audits, and monthly reporting. He is responsible for grievance processing and facilitating labor- management cooperation, as well as managing targeted worker and small business outreach programs. Coast Community College District, Measure M Facilities Bond Construction & Modernization Program, Costa Mesa, CA: Project Manager. Serves as the TSG Project Manager responsible for PLA Administration and Labor Compliance Program Management for the District's $698M bond construction program. He provides technical assistance to the District, prime contractors, subcontractors, and workers on all issues. He manages the TSG staff performing the day-to-day tasks of site and worker interviews, document audits, and monthly reporting. He is responsible for grievance processing and facilitating labor- management cooperation, as well as managing targeted worker and small business outreach programs. Los Angeles County Departmentof Public Works, Master On -Call Labor Compliance Contract, Los Angeles, CA: Project Manager. Manages TSG team providing as -needed labor compliance on 25+projects totaling $517M in construction value for LACDPW including the Sepulveda Feeder, San Gabriel Dam, Morris Dam, and Dominguez Gap. Oversees Project Manager's work and serves as a point -of -contact for LACDPW on all administrative issues. TSG is currently working on the Tujunga Wash —a Prop-84 funded project —including assisting LACDPW in meeting all funding requirements. CMTHE IIOROUP 131 N. El Molino Ave, Suite 100, Pa sad 211a, CA 91101 Office: 626.685.6989■Pax: 626.685.6985 Page 6 25B-20 Proposal to Provide Community Workforce Agreement Professional Administrative Services Elizabeth Solis Principal -in -Charge A 25-year industry veteran, Elizabeth provides program management oversight and technical advisory skills for public works projects. Her expertise lies in developing and implementing public agency compliance programs including DBE/SBE programs, labor compliance programs, project labor agreement administration, and targeted worker programs. Her years of experience have given her a complete understanding of Federal, State, and local funding regulations and requirements. As Principal -in -Charge, Elizabeth embraces her role as the bridge between the agencyand contractors. She has developed a unique set of skills that bring a new perspective to compliance program management. Her experience working as a member of the contractor's project team, as well as working as an owner's representative in a program management oversight role, has given her insight into how to manage a compliance program that will be successful and exceed program goals. Her exceptional communication skills enable her to convey the owner's program objective to stakeholders and contractors, and to develop cooperative approaches with the project team that lead to demonstrative program success. Relevant Experience City of Fresno, Southeast Surface Water Treatment Facility (WTF), Fresno, CA: Principal -in - Charge and Technical Advisor. Oversees TSG team responsible for labor compliance monitoring, enforcement, and reporting to fulfill all California Labor Code and Federal Davis -Bacon requirements for this $160M project. As a technical resource for the team, assists in advising contractors on all labor compliance requirements and coordinating formal enforcement actions among public and private agencies and the City. This program involves CWSRF funding and TSG is assisting the City in meeting all funding requirements. Los Angeles County Department of Public Works (LACDPW), Master On -Call Labor Compliance Contract, Los Angeles, CA: Principal -in -Charge. Oversees TSG team providing as -needed labor compliance on 25+projects totaling $517M in construction value for LACDPW including the Sepulveda Feeder, San Gabriel Dam, Morris Dam, and Dominguez Gap. Oversees Project Manager's work and serves as a point -of -contact for LACDPW on all administrative issues. TSG is currently working on the Tujunga Wash —a Prop-84 funded project —including assisting LACDPW in meeting all funding requirements. CJHE" GROUP 137 N. EI MolinoAve, Suite 100, Pasadena, CA 91101 ■ Office: 626.685.b989 ■Fax: 626.685.6985 Page 7 25B-21 Proposal to Provide Community Workforce Agreement Professional Administrative Services Los Angeles County Metropolitan Transportation Authority (LA Metro), Crenshaw/LAX Transit Corridor, Los Angeles, CA: Principal -in -Charge. Oversees TSG staff interfacing with LA Metro's construction teams and project contractors and monitoring compliance with State and Federal Davis -Bacon prevailing wage regulations for this $1.713 project. Supervises TSG staff in collecting CPRs and monitoring wage underpayment and apprenticeship utilization. Oversees on -site interviews and provides technical assistance. Also oversees preparation of reports to LA Metro regarding status of contractor adherence with labor compliance requirements. OC 405 Partners/Orange County Transportation Authority, I-405 Improvement Project, Irvine, CA: Principal -in -Charge. Elizabeth is currently supporting the OC 405 team on this $1.7 Billion project for Orange County Transportation Authority (OCTA). Elizabeth oversees and implements the SDBE Program consistent with the Agency's goals, including arranging and facilitating outreach events in the project area. One of the challenges with this project is coordinating outreach efforts with all six project area municipalities. Exposition Metro Line Construction Authority, Expo Line Phase II to Santa Monica, Los Angeles, CA: Project Manager. Served on the program management team overseeing multiple projects that comprised this $1.5 billion transit project. Projects included the physical construction of the rail line, the maintenance and operations facility, the bikeway path, and associated projects. Elizabeth was responsible for providing oversight, support, and performance reporting for all PLA-related programs including: small business enterprise utilization, local hire, labor compliance, and relative to the agency's PLA and Construction Careers Policy. Her team audited data from the prime contractor to insure contractor compliance with the PLA and CCP. In this effort, she helped the program management team achieve the owner requirement goals for worker and small business utilization. West Basin Municipal Water District, Hyperion Pump Station, Carson, CA: Principle -in - Charge. Overseeing contractor education and support; monitoring and enforcing all LCP provisions; processing grievances; and facilitating labor-management cooperation for$50M group of District projects, including the Hyperion Pump Station. Due to Prop-84 funding, also responsible for overseeing creation of the LCP Manual and shepherding program application through the DIR for approval, as well as fully implementing LCP protocols for duration of the construction projects. Orange County Public Works Department (OCPWD), East Garden Grove Improvements and Trabuco Creek Channel Level Protection Prop-84 Projects, Garden Grove, CA: LCP Administrator. Responsible for drafting and receiving DIR approval for OCPWD's LCP Manual on two Prop-84 funded Orange County projects. Educated contractors on California labor laws, ensured compliance with Federal and State prevailing wage regulations, and responsible for monitoring and enforcing all LCP provisions. Also assisted District in meeting all Prop-84 funding requirements. C THE. GROUP 131 N. El Molino Ave, Suite 100, Pasadena, CA 91101 ■ Office: 626.685.6989 ■ Fax: 626.685.6985 Page 8 25B-22 Proposal to Provide Community Workforce Agreement Professional Administrative Services Mason Lutz SeniorAnalyst As a skilled Analyst, Mason supports contractors through his deep knowledge of the programmatic requirements of each assignment. He is effective at explaining the intent of LCP requirements, helping contractors with the insight and resources they need to fulfill their contractual obligations. Mason has direct experience participating in contract compliance investigations including prevailing wage, local hire, and disadvantaged -worker programs. He is responsible for auditing and tracking contractor document submittals, as well as managing TSG site interviewer staff in completing field worker interviews. He also assists TSG Project Managers in the accurate analysis and reporting of data, and timely processing of invoice payment recommendations and delinquent document reports. Through his contractor education efforts and his critical role in monitoring and enforcement activities, Mason helps drive contractor compliance on agency programs. Relevant Experience West Basin Municipal Water District, Hyperion Pump Station, Carson, CA: Analyst. TSG is providing contractor education and support; monitoring and enforcing all LCP provisions; processing grievances; and facilitating labor-management cooperation for $50M group of District projects, including the Hyperion Pump Station. Due to Prop-84 funding, TSG is also responsible for creating the LCP Manual and shepherding program application through the DIR for approval, as well as fully implementing LCP protocols for duration of the construction projects. LA Metro, Crenshaw/LAX Transit Corridor, Los Angeles, CA:Analyst. Works closelywith TSG's Project Manager to assist with labor compliance responsibilities including overseeing site visits and field worker interviews. Participates in contract compliance investigations including prevailing wage, local hire, and disadvantaged -worker programs. Also performs onsite interviews with project workers to identify work classifications, corroborate payment of prevailing wages, and aggregate verifiable data relative to the tracking of local/targeted worker and apprentice utilization. This $1.713 project includes interfacing with LA Metro's construction teams and project contractors and monitoring compliance with State and Federal Davis -Bacon prevailing wage. TSG sits on the Labor Compliance Bench for LA Metro and provides labor compliance. C THE, GROUP 131 N. El Molina Ave, Suite 100, Pasadena, CA 91101 ■Office: 626.685.6959■Fax: 62Q685.6985 Page 9 25B-23 r, a -fib Proposal to Provide Community Workforce Agreement Professional Administrative Services Mid -Coast Corridor Constructors/SANDAG, Mid -Coast Corridor Transit Project, San Diego, CA: Analyst. TSG is a key CM/GC team member on this $1.713 project, serving as Labor Compliance Officer. Assists the TSG Project Manager in ensuring that the CM/GC team remains in compliance with all Federal, State, and local laws and regulations. Also monitors and audits contractor compliance with applicable prevailing wage requirements, organizes project data, and assists in preparing monthly progress reports to the team and SANDAG. Griffith Construction/LACDPW, Devil's Gate Dam and Reservoir Sediment Removal Project, Los Angeles County, CA:lobsCoordinator. Key team member on this $662M project, assisting the Griffith Construction team in meeting all targeted hire and related program goals in accordance with County requirements. Responsible for monitoring and auditing contractor compliance with applicable prevailing wage and local hire requirements, organizing project data, and assisting in preparing monthly progress reports to the team. Mountain View School District, Measure SS Facilities Bond Construction and Modernization Program, El Monte, CA: Analyst. Responsible for performing daily tasks associated with PLA, local hire, and LCP administration. TSG serves as the lead PLA and Labor Compliance Program Administrator for this $148M construction bond program, including assisting the District in meeting all bond funding requirements. TSG is providing servicesfor a half -dozen simultaneous school projects, in addition to providing on -call support to the District. Fremont Unified School District, Bond Construction and Modernization Program, Fremont, CA:Analyst. Responsible for performing daily tasks associated with PLA, local hire, and LCP administration. TSG assisted the District in negotiating a PLA for its $650M bond program. The challenge was building consensus among contractors, local unions, and the District in defining rules that ensured no project would be interrupted due to labor issues. With the PLA successfully negotiated, TSG is performing PLA administration. Santa Ana Unified School District, Measure I Local School Improvement Bond Measure, Santa Ana, CA:Analyst. Responsible for performing dailytasks associated with PLA, local hire, and LCP administration. This $232M construction and modernization program has five simultaneous school projects and utilizes bond funding. Asusa Unified School District, Bond Construction and Modernization Program, Azusa, CA: Analyst. Responsible for performing dailytasks associated with PLA, local hire, and LCP administration for this $92M program involving bond funding. Cerritos Community College District, Bond Construction and Modernization Program, Cerritos, CA:Analyst. Responsible for performing daily tasks associated with PLA, local hire, and LCP administration for this $350M program involving bond funding. CTHESOLIS 131 N. El MolinoAve, Suite 100, Pasadena, CA 91101 ■ Office: 626.685.6989 ■ Fax: 626.685.6985 Page 10 GROUP 25B-24 Proposal to Provide Community Workforce Agreement Professional Administrative Services Issac Hernandez Analyst As a bi-lingual Analyst, Issac is responsible for auditing and tracking contractor document submittals for multiple TSG projects, helping ensure contractor compliance on agency LCPs. He is diligent in his follow- up with contractors regarding their delinquent submittals. He organizes project data and assists in creating monthly client progress reports. Issac also assists TSG Project Managers by efficiently completing important day-to-day project tasks on schedule. His organization and attention to detail make him an indispensable member of TSG's team. Relevant Experience Anaheim Union High School District, Measure H General Obligation Bond Construction and Major Rehabilitation Program, Anaheim, CA: Analyst. Responsible for performing daily tasks associated with PLA, local hire, and LCP administration. TSG serves as the lead PLA and Labor Compliance Program Administrator for this construction bond program, including assisting the District in meeting all bond funding requirements. As the District's first PLA Administrator, TSG is assisting in ensuring that local residents are working on their projects. Currently, the local hire goal of 30% percent is being exceeded with 53% local resident employment. TSG staff also provide contractor education, monitoring, and monthly reporting on the compliance status of all ongoing District projects. Anaheim Elementary School District, Measure G General Obligation Bond Construction and Modernization Program, Anaheim, CA: Analyst Responsible for performing daily tasks associated with PLA, local hire, and LCP administration. TSG serves as the lead PLA and Labor Compliance Program Administrator for this $318M construction bond program, including assisting the District in meeting all bond funding requirements. TSG is providing PLA and LCP services for multiple simultaneous school projects. LA Metro, Crenshaw/LAX Transit Corridor, Los Angeles, CA: Analyst. Works closely with TSG's Project Manager to assist with labor compliance responsibilities including collecting, auditing, and monitoring certified payroll records and wage payment verification. Also manages delinquent submittals with prompt and consistent follow-up. This $1.7B project includes interfacing with LA Metro's construction teams and project contractors and monitoring compliance with State and Federal Davis -Bacon prevailing wage. TSG sits on the Labor Compliance Bench for LA Metro and provides labor compliance. C THE. GROUP 131 N. EI MolinoAve,Suite 100, Pasadena, CA 91101 ■ office: 626.685.6989 ■ Fax: 626.685.6985 Page 11 25B-25 Proposal to Provide Community Workforce Agreement Professional Administrative Services Olga Schriefer Senior Site Interviewer Olga has direct experience participating in contract compliance investigations including prevailing wage, local hire, and disadvantaged -worker programs —giving her a 360-degree perspective of LCPs that greatly informs her site interviews. She is bi-lingual and conducts site visits and field worker interviews in both English and Spanish. Olga specializes in performing on -site interviews to identify work classifications, corroborate payment of prevailing wages, and aggregate verifiable data relative to the tracking of local/targeted worker and apprentice utilization. She is skilled at identifying potential compliance and/or underpayment issues and works closely with interviewees to complete the necessary steps to investigate disputes in a timely and efficient manner. Her responsiveness and concern for issues pertaining to labor compliance enhance her effectiveness as a site interviewer and facilitatesTSG's early identification of potential issues. Relevant Experience Santa Ana Unified School District, Measure I Local School Improvement Bond Measure, Santa Ana, CA: Senior Site Interviewer. This $232M construction and modernization program involves five simultaneous school projects and bond funding. Mountain View School District, Measure SS Facilities Bond Construction and Modernization Program, El Monte, CA: Senior Site Interviewer. This $10M program involves six simultaneous elementary school projects and includes bond funding. Anaheim Union High School District, Measure H General Obligation Bond Construction and Major Rehabilitation Program, Anaheim, CA: Senior Site Interviewer. TSG serves as the lead PLA and Labor Compliance Program Administrator for this construction bond program, including assisting the District in meeting all bond funding requirements. Anaheim Elementary School District, Measure G General Obligation Bond Construction and Modernization Program, Anaheim, CA: Senior Site Interviewer. TSG serves as the lead PLA and Labor Compliance Program Administrator for this $318M construction bond program, including assisting the District in meeting all bond funding requirements. TSG is providing PLA and LCP services for multiple simultaneous school projects. LA Metro, Crenshaw/LAX Transit Corridor, Los Angeles, CA: Senior Site Interviewer. This $1.76 project includes interfacing with LA Metro's construction teams and project contractors and monitoring compliance with State and Federal Davis -Bacon prevailing wage. TSG sits on the Labor Compliance Bench for LA Metro and provides labor compliance. C THE, SOLIS 131 N. El Molina Ave, Suite 100,Po sad ena, CA 91101.Office: 626.685.6989■ Fax: 626685.6985 Page 12 GROUP 25B-26 Proposal to Provide Community Workforce Agreement Professional Administrative Services d. Understanding of Need We see three core responsibilities under this assignment: (1) managing labor relations; (2) coordinating the CWA's innovative workforce development and employment programs; and (3) monitoring and reporting on the efficacy of the CWA and the local and targeting hiring programs. In this section, we will outline our methodology and demonstrate our understanding and ability to undertake and accomplish the required services. We understand the needs of the City, the CWA's unique local hiring requirements, and the responsibilities of the Coordinator. The City's CWA has strong local hire goals, including Local Resident and Veteran goals. We have developed methods and practices to achieve these objectives based on our work at other public agencies. We'll come prepared on day one with our research, relationships, and lessons learned. The backbone of our services to the City include: • Managing and interpreting the CWA • Educating contractors (prior to work and ongoing) and facilitating communication • Monitoring via our regular, highlyvisible onsite presence • Mediating contractor dispute/delinquencies and effectively managing their resolution • Enhancing stakeholder relationships with the Trades, contractors, and City staff • Establishing accurate appraisalsof manpower throughout the region • Reporting tothe City's CWA Administrator and project managers, and City Council • Managing staff member assignments to provide cost efficiencies Based on our experience, the City's three core responsibilities for the CWA Coordinator are best achieved through a focus on the following: Managing and Interpreting the CWA. In deciding to pursue this assignment, we have analyzed the City's CWA and identified several key issues that are comparatively unique, might require additional attention during implementation, or can be leveraged to ensure the program'ssuccess for all stakeholders. Some of these aspects include: • Applicability of the CWA to a diverse portfolio of relatively small projects requiring special attention to ensure cost efficient administration. Use of a zip -code delimited and multi -tiered definition of 'local residents' including veterans requiring additional efforts at certifying the status of workers. • Core Employees are required to be Orange County Residents, which from our experience will require additional attention due to the challenge this can present for non -local non -union contractors. CC THE. THE,ORIOU131 N. El Molina Ave, Suite 100, Pasadena, CA 91101 Office: 626.685.6989■ Fax: 626.685.6985 Page 13 25B-27 Proposal to Provide Community Workforce Agreement Professional Administrative Services Contractor Education. We know that CWAs can be confusing to contractors. We believe strongly in educating contractors up front and involving interested stakeholders early. We will ensure that all stakeholders have a full understanding of the City's CWA. For example, at the Port of Long Beach, our project manager published a formal letter to a potential subcontractor confirming that non -union contractors were allowed on CWA- covered projects because the bidding general contractor had told them the job was union only. Our actions prevented potential issues and future misunderstandings. Communication. Without a firmly enforced, clearly communicated policy prior to the Pre -Job Conference, a prime contractor mays how up ill -informed —unable to answer important questions from union agents. To prevent this, we use a standard Pre -Job Form requiring the prime contractor to disclose tasks and subcontractor contact data before a Pre -job Conference is scheduled. Regular communication with contractors and unions, coupled with routine monitoring of targets, results in early identification of problem areas and allows us an opportunity to mediate and resolve potential issues before they become significant. Our CWA work at one local agency involves many smaller modernization projects. After talking with the Building Trades, we noted a potential lack of local floor refinishing labor and contractors. By issuing floor work in multiple bid packages and staggering it, work can now be done by local labor and meet CWA requirements. Issue Resolution. We understand that high visibility on the job site is a key component. We are frequently approached by onsite workers who want to share potential issues, because of this we are often aware of issues before the unions or contractors. We position ourselves as the "first call", allowing us to resolve many disputes early. We resolve disputes early by addressing technical questions about CWA requirements with a simple phone call or face-to-face discussion with the contractor. Union Relationships. Our firm has built strong professional connections with all levels of union organizations from the Business and Dispatch Agents to the Apprenticeship Coordinators and Trust Fund Administrators. We work with the Building Trades Council on resolving jurisdictional disputes, and have relationships atthe national, state and local levels of key Trades Councils. We leverage our understanding of how unions work and to facilitate their role as the source of referred labor for jobs and gatekeepers to apprenticeship programs. Monitoring and Reporting.A key element of any successful program is monitoring and reporting the results. In short, you have to measure performance in order to drive results. Throughout our history of providing CWA administration services for similar programs, we have developed proprietary processes for monitoring, summarizing, and reporting key data. Most importantly, our process includes concise, easy -to -understand reports for the City Council and the public. C THE. gROUP 131 N. EI MolinoAve,Suite 100, Pasadena, CA 91101 ■Office: 626.685.6989 ■Fax: 626.685.6985 Page 14 25B-28 c O d w Q a c G1 E tb Q W 0 O 3 E E O u v LL V eeN u�a fn nE'e'E��°'��' uo!yeanpa,owawm P@me,y yey5 • • le°ueyd sanpaomd Pue sapilod 9ul,3v18JIHleool • • • ,°peu!p,00�zgo aaueildwo�,oge� uopuyslul.P"d/vw • • • syaa(o,a °onenu,apow u°uon,ysuoo mary • • • • • • • • •. M1auaPy alignd • • • V o o f z N E N E E E E e E E E E e E E E e o E c a o E E L - t > ' a E - E - > w _ g c Y c �. A A-- A f 8 E m N� WJO 20CC F-NC.t' Uri 25B-29 r u o z = z 'E n 'E n v n e u n Q a e = v E u E n E e E n^ z' uoliepnpa JopaelluoJ • euryleA Heys lenuey swnMwd Pue sap9od MVN la+lN leool • yoleulryooJ sqo • aoueptlwoyogel • • • • • • • • • ual3wlslglwpV V d/VMJ • • v1aMMJwli s,bua spajwd uo!lez�wapoyy Aaua9y �Ilgnd • • "e E 8 � 8 f Y 4 4 4 f e 4 E E E E E E E E E E E E 2 e 'E f a E a a a E E E E a a a o o a E E E 3 2 - a t t G .E S c o r E _ 3 $ Q — `e Y E > > 3 m y o n c LT m q rn V _� _ — 0 s a d f F—NU' Uri 25B-30 Proposal to Provide Community Workforce Agreement Professional Administrative Services f. Quality and Staff Availability In the following section (References) we identify three of our local Orange County CWA assignments for public agencies. JeremyTurner is the Project Manager for each of these assignments and is personally responsible for achieving all performance metrics and for maintaining the project schedule and budget. Jeremy Turner is your qualified CWA Administrator supported by his team of specialists for day-to-day tasks, and through the balance of our 30+ person staff should the need arise. He specializes in the management of CWAs and has worked with dozens of public agencies throughout southern California. With over eight (8) years of experience, Jeremy provides excellent CWA Coordinator services including ANAHEIM UNION HIGH SCHOOL DISTRICT Cypress HS& Kemedy Pkg Lot WoPo Modem 6 Save SKe m • LocaVTagYM GwI ■ lecY?r9dN AOYimnl grievance processing, community outreach for Local TOTALCMR HOOP5:361TL96 TOTAL CRAFT HOURS; 16161.11 Resident, Veteran, and local Graduate workers, and labor compliance enforcement. He is responsible for maintaining clear lines of communication and providing the necessary coordination between the City, contractors, and community -based organizations. Jeremy will be the City's single point of contact for this assignment. Notably, Jeremy has direct and current experience managing CWAs in cities neighboring Santa Ana and he has a strong track record of achieving local resident hiring goals like those that the City has adopted, as shown to the right. ■ lml?aryYM WY ■ Ittal?u9eleE Atttlmm��l Schedule of Services and How this Project will be Accommodated Our firm uses a six-month staff loading analysis to manage our project workload. This analysis presents a rolling six-month lookahead of each staff member's workload by project. Based on this internal protocol, we confirm that our stated team has sufficient capacity for the City's anticipated service needs. Additional capacity will also be gained as many of our existing projects are contractually due to end by December 2020. Jeremy Turner and histeam can start immediately upon receiving the Notice to Proceed. Our firm structures our compliance staff into pods, each led by a project manager. Each pod has received the same training and uses the same protocols, systems, and procedures. If Jeremy's team needs additional capacity, he can drawsupport from other pods. While TSG stands ready to assist the City on demand, our preferred schedule for new project kick-off would include: a. being notified of a covered project at the time of bid opening b. allowance of 10 business days between being notified of a covered project and scheduling of the pre -job or pre -construction meetings. C THE. GROUP 131 N. EI MolinoAve,Suite 100,Pasadena, CA 91101 ■Office: 626.685.6989■ Fax:626.685.6985 Page 17 25B-31 Proposal to Provide Community Workforce Agreement Professional Administrative Services g. References Rancho Santiago Community College District, Santa Ana, CA $198 million bond construction and modernization program Carrie Matsumoto, Assistant Vice Chancellor, (714) 480-7510, Matsumoto_Cam@rsccd.edu 2323 N. Broadway, Suite 112-3, Santa Ana, CA 92706 TSG Key Personnel, Role: Jeremy Turner, Project Manager Issac Hernandez, Analyst TSG Dates of Service: 3/2016 to Present TSG Fee: $333,399 Olga Schriefer, Site Interviewer TSG Services Performed: Community & Student Workforce Project Agreement(CWA)Administration, Local Hire/Jobs Coordination, LaborCompliance 771 Anaheim Elementary School District, Anaheim, CA $318 million bond construction and modernization program Isela Vazquez, Senior Director, (714) 517-7549, ivazauezlaanaheimelementarv.ora 1001 S East Street, Anaheim, CA 92805 TSG Key Personnel, Role: Jeremy Turner, Project Manager Issac Hernandez, Analyst TSG Dates of Service:10/2018to Present TSG Fee: $32,940 Olga Schriefer, Site Interviewer TSG Services Performed: CWA Administration, Local Hire/Jobs Coordination, Labor Compliance Anaheim Union High School District, Anaheim, CA $249 million bond construction and modernization program Jennifer Keys, Procurement Contract Specialist, (714) 999-2380, keysj@auhsd.us 501 N. Crescent Way, Anaheim, CA 92801 TSG Key Personnel, Role: Jeremy Turner, Project Manager Issac Hernandez, Analyst TSG Dates of Service: 4/2018 to Present TSG Fee: $144,552 Olga Schriefer, Site Interviewer TSG Services Performed: CWA Administration, Local Hire/Jobs Coordination, Labor Compliance C gTHE. GROUP 131 N. El Moline Ave, Suite 100, Pasadena, CA 91101 ■ Office: 626.685.6989■ Fax: 626.685.6985 Page 18 25B-32 Proposal to Provide E Community Workforce Agreement Professional Administrative Services 2. Scope of Services and Schedule The Solis Group (TSG) accepts and incorporates by reference the City's proposed scope of work as presented in Attachment 1 of the subject RFP. Below is a representative scope of work based on similar CWAAdministration assignments we have administered for other municipalities and public agencies in California. We will provide full -service CWA Administration and Local Hiring/Apprentice Utilization monitoring services including: • Review of contract provisions and protocols to address contractors' concerns related to the CWA • Assist District in establishing policies and procedures for the implementation of the CWA • Preparing or reviewing appropriate CWA-related bid and contract language • Presentations at pre -bid conferences explaining CWA requirements • Responding to CWA-related bid questions during the bid process • Contact with winning bidders and subs to establish sub -identities, trades to be used, union signatory status, level of familiarity with CWAs • Invitations to pre -job conference —contractor and union representatives Our relationships with unions help resolve concerns before they impact the project. • Presentation at pre -job conference to explain CWA requirements to contractors, subs, and unions; answer scope/jurisdictional clarification questions; give contractors and unions representatives a chance to meet one another; explain the dispute resolution process; and explain the expectations for compliance and TSG's role in enforcement, including consequences for non-compliance • Provision of documents (such as CWA copies and document templates) to contractors, and assistance in completing forms and documentation • Liaison service when appropriate between contractors and union representatives to promote mutual understanding and cooperation • Collection, review, and maintenance of CWA Letters of Assent, Core Employee lists, and Core Worker verification, when requested as guaranteed in the CWA • Communication with contractors when paperwork is incomplete or incorrect • Contact with union dispatch programs to assure that enough qualified workers are available when needed to meet local and disadvantaged hiring requirements C L. SOLI$ 131 N. El Molino Ave, Suite 100, Pasadena, CA 91101 ■Office: 626.685.6989 ■Pax: 626.685.6985 Page 19 GROUP 25B-33 Proposal to Provide Community Workforce Agreement Professional Administrative Services • Contact with potential worker sources such as apprenticeship programs, WorkSource Centers, and veterans' programs to identify workers from targeted populations and establish a pipeline to apprenticeship and to contractors as necessary • Contact with contractors regarding hiring requirements to assure that procedures are being followed and that dispatched workers are meeting job needs • Assistance with apprentice fairs and hiring events, including scheduling, event advertisement, staffing, and presentations, to warrant that targeted workers are aware of opportunities and have access to the pipeline for employment on covered projects • Worker referrals as necessaryto unions, contractors, or apprenticeship programs, to maximize availability and usage of targeted workers • Communication with unions, including answering questions about site access, job schedules, job assignments, fringe benefit enrollment, identifying CWA- covered work on site, and other potential issues • Collection and maintenance of payroll documentation, including Certified Payroll Records (CPRs), Fringe Benefit Statements, and union Trust Fund Reports • Proactive investigation and enforcement to assure that small underpayment, classification, apprenticeship, or other issues do not escalate to the point where grievances or DLSE complaints are necessary • Grievance resolution assistance including regular contact with both sides, provision of helpful information and explanation of CWA provisions, and meetings as necessary to resolve grievances atthe lowest possible level • Worker utilization data collection and presentation in manner that is timely and accurate • Attendance at Board meetings and study sessions as requested to give information or advice to assist the Board in setting policy • Reporting to District on activities as required, including monthly activity reports, and responding to specific requests 3. Fee Proposal As required by the RFP, our fee proposal is submitted under separate cover. 4. Certifications All required certifications are attached. C THE, SOLIS 131 N. EI Molino.Ave, Suite 100, Pasadena, CA 91 101 •Office: 626.685.6989 ■ Fax: 626.685.6985 Page 20 GROUP 25B-34 Appendix ATTACHMENT 3-1: NON -COLLUSION AFFIDAVIT CERTIFICATIONS NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalrof, 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 pin in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further. that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof. or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization. bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note; The above Non -collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature orthisNon-collusion Affidavit. BIDDERS are cautioned that making a falycertification may subject the certifier to criminal prosecution. Signed State of Cali County ofy Subscribed and sworn It (or affirmed) before me on this Ittday of 20k by ,, proved to me on the basis of satisfactory evidence o be the person(s) wio appeared before me. QkANASotary PSCU MEHM000Notary ASCIA • Calirarnla Los Angeles County Commission Y 2307407 y Comm. Expires Sep 30, 2023 IO � Ks0 Notary Public Signature Notary Public Seal City of Santa Ana RFP 20-096 Page A3-1 25B-35 Appendix ATTACHMENT 3-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS 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. lfany finds other than federal appropriated ftnds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Farm The Solis Group Signed and // // Printed Nante: Title Terry E. Solis, Chairman and Secretary of the Board of Directors Dale July 14, 2020 City of Santa Ana RFP 20-096 Page A3-2 25B-36 Appendix ATTACHMENT 3-3: NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS 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 oradvertisementsfor employees placed byoronbehalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. ;. 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 comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965. and by rules, regulations, and orders ofthe Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction 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, 190, 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 (I ) 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 City of Santa Ana RFP 20-096 Page AM 25B-37 204 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 die 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 ofthe United States. S. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Slats. 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. S igned: Title: TM Eetis, Chairman and Secretary of the Board of Directors Firm: The Solis Group Date: July 14, 2020 City of Santa Ana RFP 20-096 Page A3-4 25B-38 0 3. Fee Proposal EXHIBIT C Proposal to Provide Community Workforce Agreement Professional Administrative Services As required by the RFP, our fee proposal is submitted under separate cover. Our standard billing ratesfor the specific tasks required by the scope of services are presented in the Fee Schedule table below. TSG's rates are fully loaded and cover all direct labor, overhead, fringe benefits and profit, as well as associated expenses and costs such as travel (mileage, parking, etc.) and communication (postage, reports, telephone, etc.) StandardTSG 2020 2021 2022 2023 2024 ~- iL Principal NC NC NC NC NC VP/Ops $210 $215 $215 $220 $220 Senior Project Manager $175 $180 $180 $185 $185 Project Manager $164 $169 $169 $174 $174 Asst. Project Manager $141 $145 $145 $149 $149 Senior Analyst $113 $118 $118 $122 $122 Analyst $102 $107 $107 $111 $111 Site Interviewer $96 $100 $100 $103 $103 Administrative Assistant $73 $75 $75 $77 $77 Project -specific Pricing Methodology We develop project -specific cost estimates by service (i.e., Labor Compliance Administration, CWA Administrator Services, etc.) based on the following factors: • Construction Value • Planned Construction Duration • Number of Prime contracts to be monitored • Estimated number of subcontracts to be monitored Utilizing our database of actual staff hours required to perform on our portfolio of similar work, we develop estimates of the total average monthly staff hours necessary to provide monitoring for projects of similar size, duration, and construction team composition. We issue monthly invoices for a lump -sum amount calculated as the total fixed -fee for the project, divided by the planned construction duration plus the planned project closeout CSOLI $Oi.l$ 131 N. El Molina Ave, Suite 100, Pasadena, CA 91101 x Office: 626.685.69890 Fax: 626.6E35.6985 Page 1 OROUP 25B-39 Proposal to Provide Community Workforce Agreement Professional Administrative Services duration. If actual construction a ctivitiescontinue beyond the planned end of construction, we will continue providing all services for the monthly lump -sum fee. In the absence of a City -provided list of projects, we have provided the following table outlining the tasks and hourly effort by staff position for several hypothetical projects of varying sizes. Sample Project 1: Large Complex NewConstruction Project NumberofMonths: Staff Allocation PIC,SeniorPM,PM LC Tasks Reporting MonthlyHours 8(totalpertask) 55 2 Subcontractors: Management 6 60 Analyst/Interviewer Tracking 38 (total pertask) ProjectCost: 9 $330,000,000.00 Auditing 11 Filing 11 Reporting 7 Subtotal 46 total ermonth Sample Project Construction Project NumberofMonths: PIC,SeniorPM,PM Reporting 4(total pertask ) 55 2 Subcontractors: Management 2 5 Analyst/Interviewer Tracking 18 (total pertask) Project Cost: 3 $22,000,000.00 Auditing 6 Filing 6 Reporting 3 Subtotal 22 (totalpermonth) Sample Project 3: Small Maintenance Project Numberof Months: Staff Allocation PIC, SeniorPM, PM LC Tasks Monthly Hours 3 (total pertask) 8 Reporting 1 Subcontractors: Management 2 2 Analyst/Interviewer Tracking 9 (total per task) Project Cost: 1.5 $2,500,000.00 Auditing 3.5 Filing 2.5 Reporting 1.5 Subtotal 12 (total ermonth C THE- SOLIg 131 N. EIMolino Ave, Suite l00,Pasadena, CA 91101■Office: 626.685.6989■ Fax: 626.685.6985 Paget CROUP 25B-40 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPROVE AMENDMENT TO AGREEMENT WITH NAPHCARE, INC. TO PROVIDE INMATE MEDICAL SERVICES FOR THE SANTA ANA JAIL IN THE AMOUNT OF $2,836,417.94 (GENERAL FUND) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on god Reading ❑ Implementing Resolution ❑ Set Public Hearing For CK01►111►IN] 0QIto] /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager to execute a one-year agreement amendment with NaphCare, Inc. to provide basic and emergency inmate health care services for Santa Ana Jail for the period of October 1, 2020 through September 30, 2021, in the amount of $2,836,417.94, including a $200,000 contingency, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION California's Board of State and Community Corrections (BSCC) requires agencies to provide basic and emergency health care services for all incarcerated individuals held within their custody. In addition, the City's federal contracts require that medical services be provided to contract inmates. On April 17, 2017, the Police Department issued a request for proposals (RFP #17-051) for inmate medical services. NaphCare was the most responsive, capable, and cost effective respondent. A two-year agreement was executed with Naphcare in October 1, 2017, and the first of three one- year renewals was executed on October 1, 2019. This amendment is the second of the three one- year renewal options, and will cover the period of October 1, 2020 through September 30, 2021. NaphCare has enhanced efficiencies, modernized the medical operation and increased preventative care measures, reducing the need for outside or specialized medical care. NaphCare has provided routine and emergency inmate medical services, including, but not limited to, providing prescription and over-the-counter medications, physical examinations, dental care, and psychiatric services. NaphCare has also provided recurring CPR training and Tuberculosis screening for jail employees. NaphCare has consistently made a positive impact on Santa Ana's health care operations, providing the highest quality community -standard health care within the jail. NaphCare provides a full complement of medical staff and mental health professionals, providing comprehensive care for chronic and acute medical conditions, mental health conditions and 25C-1 Agreement with NaphCare September 15, 2020 Page 2 Inc. for Inmate Medical Services substance use disorders. NaphCare has maintained compliance on all the following services: Patient X-ray reports, patient lab reports, inmates in segregation, chronic care treatments, medication administration, detox process, timeliness of intake screenings, and health assessments. NaphCare's quick and aggressive response to the COVID-19 pandemic has resulted in a safe environment for jail inmates and frontline workers. NaphCare has agreed to continue to provide these services for an additional year at a negotiated CPI increase of 4 percent, rather than the most recently published CPI of 5.6% for Bureau of Labor Statistics for Los Angeles, Long Beach, and Anaheim. A $200,000 contingency is included for services not included in the base agreement including, but not limited to, pharmaceuticals, x-rays, dentures, and OB/GYN exams. The FY 2020-21 jail operations budget includes $50,000 for the jail to hire a medical services consultant. The consultant will assess the jail's operational needs to assist in the creation of an inmate medical services RFP, that will include state mandated regulatory issues and that will comply with BSCC standards. The consultant will evaluate proposals, analyze the data, and present findings, to help the City successfully secure an agreement that represents industry best practices and is optimized to our specific needs. Their expertise in this highly specialized and technical area will ensure the outcome is an ideal balance of service and cost. NaphCare has been accommodating, professional and consistent in its services, and staff recommends approval of this one-year agreement amendment. FISCAL IMPACT Funds for this agreement are available and will be budgeted in future budget years in the Jail Operations Contract Services account (No. 01114475 62300) as follows: ADP at or above 176 ADP at or below 175 FY 2020-21 2,127,313.46 1,894,265.88 FY 2021-22 709,104.49 631,421.96 2,836,417.95 2,525,687.84 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: David Valentin, Chief of Police - Police Department Exhibit: 1. Agreement Amendment with Naphcare 25C-2 Exhibit 1 SECOND AMENDMENT TO AGREEMENT WITH NAPHCARE, INC. TO PROVIDE INMATE MEDICAL SERVICES THIS SECOND AMENDMENT to the above -referenced agreement is entered into on September 15, 2020, by and between NaphCare, Inc., an Alabama corporation ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The parties entered into Agreement No. A-2017-249, dated September 19, 2017, by which Contractor agreed to provide basic and emergency inmate medical services ("Agreement'). B. On October 1, 2019, the parties entered into a First Amendment to the Agreement (#A- 2017-249-01) to exercise the first option to extend the Agreement until September 30, 2020, and increase the overall compensation. The Agreement is current and in effect. C. The parties wish to exercise its second option to extend the term of the Agreement for one year and to increase the overall compensation to pay for services during the extension. The Parties therefore agree: 1. Section 1, TERM, is amended to extend the term of the Agreement for the period from October 1, 2020 through September 30, 2021. 2. Section 4, COMPENSATION, is amended to increase the overall compensation per the following: a. The total amount to be expended during this extension shall not exceed $2,836,417.94. This amount includes the base amount listed under the Tier 1 listing below, and includes a contingency amount of $200,000, for services to be provided at the sole discretion of the City and $18,000 to cover parking costs as provided under Section 4 of the Agreement. The total amount to be expended for this Agreement shall not exceed $10,545,614.28. Tier 1 Tier 2 (ADP at or above 176) (ADP at or below 175) Renewal Option Year One $2,618,417.94 2,307,687.83 (10/01/19-09/30/20) 3. Except as modified by this Second Amendment, all terms and conditions of the Agreement, as amended, shall remain in full force and effect. #56925v5 [signature page to follow] 25C-3 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to the Agreement on the date and year first written above. ATTEST DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM CARVALHO, City Attorney By: TAMARA BOGOSIAN Senior Assistant City Attorney RECOMMENDED FOR APPROVAL DAVID VALENTIN Chief of Police #56925v5 CITY OF SANTA ANA KRISTINE RIDGE City Manager CONTRACTOR � By: Bradford T. McLane Title: Chief Executive Officer 25C-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPROVE AGREEMENTS WITH T2 UTILITY ENGINEERS, AZTEC ENGINEERING CALIFORNIA, INC. AND C BELOW SUBSURFACE IMAGING FOR SUBSURFACE UTILITY ENGINEERING SERVICES FOR A FIVE-YEAR TERM IN AN AGGREGATE AMOUNT NOT TO EXCEED $750,000 (NON -GENERAL FUND) /s/ Kristine CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 1�1��►U1�1:1q:7 RECOMMENDED ACTION Authorize the City Manager to execute agreements with T2 UES, Inc., AZTEC Engineering California, Inc., and C Below, Inc. to provide subsurface utility engineering services for the three- year period beginning September 15, 2020, and ending on September 14, 2023, with a provision for one two-year extensions, for a total shared aggregate amount not to exceed $750,000 subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On April 24, 2020, the Public Works Agency issued a Request for Proposal (RFP) for consultants to provide as -needed subsurface utility engineering services for the Water Resources Division. The chosen consultants will locate and identify underground utilities during the planning, design, pre - construction, and construction phases of Water Resources Division capital improvement projects. These services will assist staff in minimizing potential conflicts between proposed improvements and other underground utilities, thereby reducing the potential for unforeseen conditions during construction activities. The RFP was advertised on the City's online bid management and publication system, with bids due by May 14, 2020. Forty-four contractors downloaded the project documents. Five proposals were received and evaluated by a selection committee based on criteria as outlined in the RFP. Listed below are the contractors selected for award and their scores: 25D-1 Approve Agreements for Subsurface Utility Engineering Services September 15, 2020 Page 2 Firm Score T2 Utility Engineers 92 AZTEC Engineering California, Inc. 90 C Below Subsurface Imaging 81 In accordance with the RFP, staff recommends awarding contracts to T2 Utility Engineers, AZTEC Engineering California, and C Below Subsurface Engineering. Each proposal demonstrated a high technical competency, experience performing the requested services, and a clear path toward achieving the goals set forth in the RFP. FISCAL IMPACT Funds are budgeted and available for expenditure in the current fiscal year and will be budgeted in future fiscal years, including applicable renewal options, based on the needs of projects identified in each fiscal year's Capital Improvement Program. The following is an estimate of the account distribution and expenditures by fiscal year, but the actual amounts may vary within the term of the agreement based on the needs and timing of each project. Accounting Fiscal Year Unit - Account F Fund Description Accounting Unit, Account Amount No No. Description FY 2020-21 06017645- Water Administration & (Sept -June) 62300 Water Engineering, Contract $50,000 Services -Professional FY 2020-21 05617640- Sanitary Sewer Service, (Sept -June) 62300 Sewer Contract Services- $50,000 Professional FY 2020-21 06617647- Water Acquisition & Water Utility Capital Projects, $50,000 (Sept -June) 66301 Construction Water Capital Projects FY 2020-21 05417647- Sanitary Sewer Capital, (Sept -June) 66220 Sewer Capital Improvements Other Than $50,000 Building FY 2021-22 06017645- Water Administration & (July -June) 62300 Water Engineering, Contract $50,000 Services -Professional FY 2021-22 05617640- Sanitary Sewer Service, (July -June 62300 Sewer Contract Services- $50,000 Professional 25D-2 Approve Agreements for Subsurface Utility Engineering Services September 15, 2020 Page 3 FY 2021-22 06617647- WaterWater Acquisition & Utility Capital Projects, $50,000 (July -June) 66301 Construction Water Capital Projects FY 2021-22 05417647- Sanitary Sewer Capital, (July -June) 66220 Sewer Capital Improvements Other Than $50,000 Building FY 2022-23 06017645- Water Administration & (July -June) 62300 Water Engineering, Contract $50,000 Services -Professional FY 2022-23 05617640- Sanitary Sewer Service, (July -June) 62300 Sewer Contract Services- $50,000 Professional FY 2022-23 06617647- WaterWater Acquisition & Utility Capital Projects, $50,000 (July -June) 66301 Construction Water Capital Projects FY 2022-23 05417647- Sanitary Sewer Capital, (July -June) 66220 Sewer Capital Improvements Other Than $50,000 Building FY 2023-24 06017645- Water Administration & (July -June) 62300 Water Engineering, Contract $37,500 Services -Professional FY 2023-24 05617640- Sanitary Sewer Service, (July -June) 62300 Sewer Contract Services- $37,500 Professional FY 2024-25 06017645- Water Administration & (July -June) 62300 Water Engineering, Contract $37,500 Services -Professional FY 2024-25 05617640- Sanitary Sewer Service, (July -June) 62300 Sewer Contract Services- $37,500 Professional Total $750,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Exhibits: 1. Agreement with T2 UES, Inc. 2. Agreement with AZTEC Engineering California, Inc. 3. Agreement with C Below, Inc. 25D-3 EXHIBIT 1 AGREEMENT TO PROVIDE SUBSURFACE UTILITY ENGINEERING SERVICES THIS AGREEMENT is made and entered into this 15th day of September, 2020 by and between T2 UES, Inc. ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On April 24, 2020, the City issued Request for Proposal No. 20-060, by which it sought qualified contractors to provide subsurface utility engineering services for the City's Public Works Agency. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 20-060. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES On an as -needed basis, and at the City's sole discretion, Contractor shall perform the services described in the scope of work that was included in REP No. 20-060 and that is attached as Exhibit A, and as further delineated in Contractor's proposal, which is attached as Exhibit B and incorporated in full. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under this Agreement. Contractor shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit C. Contractor is one of three contractors selected to provide services on an as -needed basis under RFP No. 20-060. The total compensation for services provided by all contractors selected under RFP No. 20-060 shall not exceed the shared aggregate amount of $750,000 during the term of this agreement, including any extension periods. b. Payment by City shall be made within forty-five (45) 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 and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on September 14, 2023, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for one 2-year period upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, 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. Ifthe services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to Bally comply with such Prevailing Wage Laws. 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. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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 Contractor under this Agreement ("Documents & Data"). Contractor 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. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor by the City. City shall not be limited in 2` _8 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. Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional 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 Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. hi accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be cancelled 216U 1c or reduced in coverage or changed in any other material aspect, by contractor, without thirty (30) days prior written notice to the City. (iv) Contractor shall supply City with a fully executed additional insured endorsement. f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor or its 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 Contractor 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 Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor 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 Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor 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. Contractor 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 Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. 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 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Contractor: T2 UES, Inc. 5622 Research Drive, Unit A Huntington Beach, CA 92649 Attn: Matt Tomanek 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 timeframes, weekends, federal, state, County or City holidays shall be excluded. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor 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. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other contractors retained by City. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, relation, 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 in connection with any activities under this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 19. 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 farther 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. 20. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: � *M,. -f.L J m NI. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL Nabil Saba Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONTRACTOR Name: Robert Raney Title: Vice President West 2=41 EXHIBIT A Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SUBSURFACE UTILITY ENGINEERING SERVICES RFP NO.: 20-060 Introduction and Background: The City of Santa Ana ("Santa Ana" or "City") is the county seat and the second most populous city in Orange County, California, with over 343,000 residents. It is the 57a' most -populous city in the United States. Santa Ana is located in Southern California, adjacent to the Santa Ana River, about 10 miles away from the California coast. Founded in 1869, the City is part of the Greater Los Angeles Area, the second largest metropolitan area in the United States with almost 18 million residents in 2010. The City of Santa Ana Public Works Agency (PWA) is soliciting proposals for Subsurface Utility Engineering (SUE) Services. These tasks include location and identification of underground utilities in the planning, design, pre -construction, and construction phases. These services are on - call and on an as -needed basis. This request for proposal (RFP) provides interested qualified firms with the information enabling them to submit a Service Bid Proposal and to provide the services described herein. Description of Work: On as needed basis, the selected firm/s shall provide the City with the following services as described herein. Underground Utility Locating: Determine the precise horizontal and vertical position, size, condition, material, utility owner/s name and other characteristics of underground utilities using vacuum excavation and or other comparable means. • Obtain and review plans provided by the City showing areas requiring locating (test boreholes) sites as identified by the plans. • Excavate using a method to enable vertical and horizontal exploration and locating means. • Furnish and install permanent above ground marker and color code for each of the utilities (i.e., P.K. nail, peg, steel pin, or hub) directly above the centerline of the structure and record the elevation of the marker along with all the characteristics of the utility. • All horizontal and vertical data shall meet survey standards in accordance and as detailed by the Engineer • Provide the following as part of the borehole test information: a. Elevation top and bottom of the utility tied to the datum and or furnished information by the Engineer. The accuracy of the vertical elevation shall be within (+/- J ft). b. Elevation of the existing grade over the utility test borehole and the pavement and backfill City of SanPta�FP; t06O material c. Horizontal location referenced to the provided datum and or as requested by the Engineer d. Obtain pipe, duct bank, encasement, and multi- conduit configuration width (outside diameter) e. Provide utility structure material composition and condition f Identify benchmarks used to determine elevations and include it as part of the final deliverable report. g. Identify and provide pavement thickness, material and condition and soil type characteristics. • All completed reports shall be certified to be correct and signed by a professional land surveyor registered in California. (Only if required by the Engineer). Work under this category will be paid on hourly basis. • Backfill all test holes shall be backfilled with in -kind material and compact to a relative compaction of 90%. • Boreholes greater than 211:2 shall be paved and match existing pavement thickness section unless stated otherwise and or approved by the Engineer. • Clean and sweep work site at the end of the work day. • Provide additional surveying, and underground utility mapping services at an hourly rate General Requirements and Proiect Deliverables: • All work for this work for traffic control shall be done in accordance with the Federal Highway Administration's Manual (MUTCD) • The selected firm/s shall obtain all necessary permits from the City and local jurisdiction prior to commencing any of the work in Public Right of Way. • Any work required on private property shall be authorized by the Engineer prior to commencement of work. • All work shall be done in accordance with ASCE Standard 38-02; Standard Guideline for the collection and depiction of the existing subsurface utility data. • The firm/s shall secure all permits to work in the City. These fees are not reimbursable. • All work shall be performed to the specific project and or location as detailed in the notice to proceed and indicated by the Engineer. • All reports and technical memoranda shall be submitted electronically to City and shall include all the information as required and detailed in the notice to proceed. All Computer Aided Drafting Design (CADD) work shall be submitted on electronic format (Microstation). In addition, a hard copy of the project findings and a digital file in Microstation shall be submitted to the engineer for review before final approval and final payment is authorized. A list of positions and hourly rates shall be included as part of the proposal and included in the seal bid package. See Attachment 4 — ADDITIONAL PROVISIONS for a sample breakdown. The consulting firm/s are responsible for any damage to utilities during the locating efforts. Consultant Responsibilities: City of Sant9WFFOM060 Consultant Audit and Review Process: Prior to awarding the contract, the selected Consultant shall be subject to an audit or review by Caltrans' Audits and Investigations (A&I), other state audit organizations, or the federal government. The selected Consultant shall complete Exhibit 10-K — Consultant Certification Contract Costs and Financial, in the Appendix of this RFP as Attachment 4. Time is of the essence and work shall commence within 5 days of the Notice to Proceed for planned underground utility locating services. • The consultant shall be available to provide on -call services within 24-hours for unplanned utility locating services. City Responsibilities: The City will provide information in its possession relevant to the preparation of the required information in the RFP. The City will provide only the staff assistance and the documentation specifically in referred to herein. City of SantZWI +"060 1. STATEMENT OF QUALIFICATIONS a. Cover Letter May 14, 2020 EXHIBIT B Mr. Rudy Rosas, Project Manager City of Santa Ana, Public Works Agency 20 Civic Center Plaza, Santa Ana, CA 92701 RE: Statement of Qualifications for Subsurface Utility Engineering Services, RFP No.: 20-060 Dear Mr. Rosas and Members of the Selection Committee: T2 UES, Inc. d/b/a T2 Utility Engineers (T2) appreciates the opportunity to submit our statement of qualifications (SOQ) to the City of Santa Ana (City) for Subsurface Utility Engineering (SUE) Services. We understand the City is seeking consultants to include on a pre -qualified list to perform SUE services on an on -call basis. In October 2019, Cardno Inc. divested its Utility Engineering business line which included SUE services. Cardno's Utility Engineering group is now separate corporate entity named T2 Utility Engineers. We are still the same group of qualified consultants. Our SOO highlights our team's SUE capabilities, proposed key personnel and relevant project experience. T2 offers the following key benefits: • Key proposed staff have continually stood at the forefront of the SUE profession and the American Society of Civil Engineers (ASCE) Standards development, industry practice development, technology investment, project execution and contract delivery. Our staff looks forward to bringing the same level of commitment to the City. • Professional personnel with extensive experience in providing as -needed consulting services for municipal on -call contracts for SUE- related projects. T2 staff currently perform SUE services for 33 on -call contracts in the West for various state Departments of Transportation (DOTS), municipalities and public works departments. Key team members have successfully completed numerous SUE assignments while satisfying program and project goals. • In-depth understanding of geophysics enables our team to develop solutions and choose the appropriate tool for the job to complete a site investigation using the ASCE 38-02 Standard. Thank you for taking the time to review our SOO. Please contact me if you have any questions or need additional information. Sincerely, T2 UES, Inc. d/b/a T2 Utility Engineers Matt Tomanek Project/Contract Manager maft.tomanek@t2ue.com T2 Utility Engineers 5622 Research Drive Huntington Beach, CA 92649 www.T2ue.com Project Contact: Matt Tomanek Project/Contract Manager 5622 Research Drive Huntington Beach, CA 92649 714-487-5780 (phone) matt.tomanek@t2ue.com b. Contract Agreement Statement T2 agrees with the terms and all provisions contained in the Attachment 2 Agreement. 1. STATE LIFICATIONS 11 c. Firm and Team Experience Firm's Experience and Size T2 UES, Inc. d/b/a T2 Utility Engineers (T2) is a C Corporation incorporated in the state of Delaware on June 11, 2019. Al T2 provides a full range of utility engineering �� utility services, including SUE, advanced geophysics, \\` engineers test holes/potholing, surveying and utility coordination, to support Infrastructure projects. T2 staff offer experience and expertise with managing projects of all sizes, from small development to large-scale billion dollar infrastructure projects for public and private clients. T2 has extensive experience with providing SUE expertise for local cities, counties, municipalities and state DOTS throughout the US and Canada. Our professional staff and project managers have successfully completed numerous subsurface utility investigations for projects of varying size and complexity while satisfying program and project goals. T2's key personnel are recognized leaders in managing the risks associated with above -ground and sub -surface utilities. T2 has 30+ offices across the US and Canada and can quickly mobilize staff and resources for on -call and as -needed projects. T2 retains a vast array of geophysical and designating equipment and one of the largest fleets of SUE vehicles within the West. T2 has 35 SUE crews with 44 field technicians in the West, and 135 SUE crews and 36 utility coordinators nationwide available to respond quickly to your project needs. T2 professionals provide innovative and sustainable solutions that deliver lasting value. Key personnel have worked with numerous municipalities throughout Southern California and know how to effectively execute project assignments utilizing the proper staffing. Proposed staff have extensive experience working together on municipal projects and delivering SUE services in accordance with the ASCE Standard 38 (ASCE 38-02). No learning curve! T2 staff have a proven track record of successfully managing municipal on -call contracts and performing SUE consultation services to facilitate the needs of the public. This expertise ensures your confidence that T2 is the qualified consultant to deliver as -needed tasks. At T2, we put safety first. Successfully managing health and safety to the lowest possible risk levels is integral to the QAFway T2 does business. T2 develops Health, Safety and Environmental (HSE) programs, processes and training to assist operations with planning and executing work safely. World -class safety requires a caring and preventative safety culture. Everyone at T2 embraces this paradigm of care that empowers each of us to own our safety culture. T2 staff puts safety first when we look out for each other and ourselves. We are not afraid to exercise Stop Work Authority or to speak up when we see something unsafe. T2 does not take safety shortcuts. We celebrate and reward safe behavior. T2's field crews are trained to use a suite of geophysical tools designed to identify and designate both known and unknown utilities. Areas of Expertise: • 3D underground imaging and mapping • Non-destructive vacuum excavation • Test Holes (potholing) • Condition Assessment/ Rehabilitation • Geophysical Investigation! • Surveying • Terrestrial/Mobile LiDAR • MCGPR • CCTV Sewer Inspections • Utility Infrastructure Assessment • Utility Conflict Resolution • Utility Coordination • Utility "As -Built" Surveys • Utility Relocation Management/Inspection 1. STATE LIFICATIONS 12 SUE Services and ASCE 38-02 Standard T2 currently holds multiple SUE services on -call contracts with municipalities in the West including the Los Angeles County Department of Public Works, the Port of Long Beach, City of Santa Ana, City of Chula Vista, several Departments of Transportation (ADOT, CDOT, NDOT, NMDOT, UDOT), City of Phoenix, Flood Control District of Maricopa County (FCDMC), SRP and APS. All engineering- and construction -based projects need to meet or exceed the ASCE-38 Standard, which outlines specific quality levels that serve as the basis for any utility investigation undertaken on today's complex projects. Our team's knowledge and understanding of the ASCE 38-02 Standard requirements for SUE will benefit the City. Knowledge of ASCE The ASCE 38-02 Standard came out of the burgeoning practice of SUE and was spearheaded by T2's Global Practice Leader Jim Anspach, and assisted by Principal Paul Scott and various other professionals. Jim is also a founding governor and was 2018 National President of the ASCE Utility Engineering & Surveying Institute (UESI). T2 draws from this knowledge and experience to assure proper application of the ASCE 38-02 Standard for our clients with utility engineering needs. The core of the ASCE 38-02 Standard is providing a way of qualifying the uncertainty of utility locations through Quality Levels. The four ASCE quality levels are: • Quality Level D (QLD): Record information that may include details that indicates the presence of a utility. The least certain information for a location of the utility. • Quality Level C (QLC): Surveyed surface features reconciled to record data OR (in the PE's judgement) the uncertainty of the location does not warrant a Quality Level B designation. • Quality Level B (QLB): Geophysical techniques reconciled to record information, surface features, knowledge of utility systems and professional judgement. • Quality Level A (QLA): Physical exposure of utility and locating to project coordinate system. The most certain information regarding a subsurface utility. Quality Level D Quality Level C Quality Level B Quality Level A ................................... Least Certain Most Certain T2 professionals offer unsurpassed knowledge of the ASCE 38-02 Standard. T2 crews have performed over 15 million linear feet of designating horizontal positions (QLB) and more than one million (QLA) test holes. 1. STATE ';ALIFICATIONS 13 T2 professionals has been delivering quality professional SUE services since 1993. T2's diverse knowledge and perspective on SUE allows us to provide innovative and sustainable solutions that deliver lasting value. We bring together the professionals and services that most effectively and efficiently provide the expertise that is right for every client and project. T2 Expertise • In-depth understanding of geophysics enables T2's team to analyze problem areas quickly, develop solutions, choose the appropriate tool for the job and complete a thorough site investigation using the ASCE 38-02 Standard as the basis for our work and procedures. • Experience with the collection of critical existing utility data is essential for effective project planning, design and construction. If conflicts are identified up -front, appropriate mitigation and relocation measures can be instituted in advance of the construction phase, resulting in condensed schedules and reduced costs. A big issue associated with projects is poor utility base mapping derived from only record information. Existing records from legacy facility maps are not always sufficient and may include changed Iocational references, lost paper records, unrecorded utilities or lack of installation details. This is why T2 utilizes the ASCE 38-02 Standard. • Unsurpassed knowledge of the ASCE 38-02 Standard. T2 staff utilize the CI ASCE 38-02 Standard for collecting and depicting existing utilities to build the highest quality utility map that includes an iterative field investigation. The ASCE 38-02 was developed to mitigate risk associated with existing utilities by taking the uncertainty of the information and depiction of the existing utilities and setting a standard on how to conduct field investigations, utilize records, survey and geophysical methods to horizontally and vertically position utilities to properly map what is existing and to what certainty the accuracy is of each utility. ASCE 38-02 sets forth an investigative procedure resulting in utility depictions that clearly indicate the source and reliability of utility information. This investigation and mapping, as part of ASCE 38-02, leads to T2's technicians typically finding 40% to 60% more utilities than documented and allows our team to build an accurate utility base map to assist with design and reduce negative impacts during construction. Leading with Technology T2 uses the most appropriate technology for each project to increase the accuracy of the utility data, including: • Stream EM, a MCGPR solution dedicated to utility locating & mapping • Stream C, a compact array solution for real-time 3D mapping of underground utilities and features • Concrete imaging GPR, advanced concrete scanning that detects and protect existing utilities and structural supports in concrete • LiDAR Scanning of roads, interchanges and bridges for precise 3D mapping to be merged with SUE data to support 3D engineering designs 1. STATE LIFICATIONS 14 Project Team Resumes Our team is ready to lead and execute assignments for this on -call contract. T2 has requisite knowledge, experience, staff and desire to assist the City with successfully completing projects assigned. Team members identified in the organization chart below have extensive experience with performing professional SUE services for numerous municipalities and are experts in providing ASCE 38-02 SUE Quality Level requirements. Resumes and qualifications for key staff are provided on the following pages. Project Team Organization �`�T?neers 9 Shawn Clark T2 ranked 8th — 2019 Top 50 Trenchless Technology Engineering Firms Project Principal Robert Ramsey, PE, LEEDAP Matt Tomanek Glen Robison, PE Richard Hernandez Ethan Cox Serhat Ates Deon Williams Jesse Velo Josh Velo Jan Woods Bob Higgins Josh Perez Ricardo Garibay Darren Bishop Chris Arriaza Artur Gamirov 1. STATE LIFICATIONS Is Robert is Vice President directing T2's Utility Engineering and Surveying (LIES) services in the West. He is a registered PE in five states and oversees SUE investigations for compliance with applicable laws and standard of care for utility engineering * projects. Robert's expertise includes SUE, utility design, survey, utility coordination and project management services for utility infrastructure projects throughout the Western US. He offers 18 years of utilities engineering and mapping experience, including 6 years of direct experience with conducting and managing SUE projects based on the ASCE 38-02 Standard. Robert also provides professional engineering guidance, QA/QC and leads training sessions on how to successfully implement ASCE 38 into the design process for consultants and project owners. Robert has completed more than 400 ASCE 38-02 mapping projects with over 5 million linear feet of Quality Level B mapping and over 2,000 Quality Level A test holes within the last three years. His experience includes oversight and management of projects for municipalities (listed below) and utility companies. • LACCD, District -wide Energy Efficiency/Utility Infrastructure Project, CA • SMUD, Downtown Riverfront Streetcar Project, Sacramento, CA • City of Phoenix, JOC for SUE Services, AZ • Arizona DOT, On -Call SUE Services, AZ • Flood Control District of Maricopa County (FCDMC), On -Call SUE, AZ • Maricopa County DOT, On -Call SUE Services, AZ • Maricopa County Community College District, SUE Services, AZ • Salt River Project (SRP), On -Call SUE and Survey Services, AZ • New Mexico DOT, On -Call SUE Services, NM • Nevada DOT, On -Call SUE Services, NV As Project/Contract Manager, Matt will direct activities to ensure budget, schedule and quality control, allocate appropriate resources and regularly communicate project status. He has over 14 years of experience in project initiation and coordination, contract management, construction management, site assessments, subsurface utility investigations, water and vapor treatment system and distribution design and implementation, technical report preparation and review, permitting and permit compliance and remedial corrective actions. Matt's relevant SUE experience includes: • LACCD, District -wide Energy Efficiency/Utility Infrastructure Project, CA • OCSD Newhope-Placentia Sewer Trunk Replacement SUE, Lee & Ro • OCSD Rehabilitation of Western Regional Sewers, SUE, AECOM • Pier G Subsurface Utility Engineering, Port of Long Beach • Pier B On -Dock Rail Support Facility Program SUE, Port of Long Beach • 1-10 Widening Utility Investigation, Caltrans District 7 • City of Burbank Force Main Utility Investigation, Lee & Ro • SMUD, Downtown Riverfront Streetcar Project, Sacramento, CA 1. STATE LIFICATIONS 16 As Project Manager, Shawn will manage the daily activities of the project, enabling real-time project monitoring. He will liaise with the City's Project Manager and communicate project status. Shawn has over 27 years of experience managing projects in California and is currently overseeing SUE services for the LACCD District -wide Energy Efficiency/Utility Infrastructure project. For the past decade, Shawn has managed multiple projects involving SUE including the following: • LACCD, District -wide Energy Efficiency/Utility Infrastructure Project, CA • LA County DPW, Rancho Los Amigos, Utility Locating, Los Angeles, CA • SCWD, Lift Station No. 6 Force Main, Utility Locating, CA • OCSD Newhope-Placentia Sewer Trunk Replacement SUE, Lee & Ro • OCSD Rehabilitation of Western Regional Sewers, SUE, AECOM • City of Long Beach — Municipal Urban Stormwater Treatment, Potholing, CA Glen is experienced in all aspects of utility investigations including research, mapping, field investigations, survey, design and deliverable production. He has 16 years of civil engineering expertise including due diligence, design and project management. Glen specializes in SUE, land development, site design, water quality management plans, road widening/rehabilitation, storm drain/drainage, water/sewer facilities, signing/striping, retaining walls and traffic handling for private and municipal agencies. His relevant experience includes: • LACCD, District -wide Energy Efficiency/Utility Infrastructure Project, CA • Metropolitan Water District, Iron Mountain Pumping Plant, Sablon, CA • San Diego Gas & Electric, Granite Hills, CA • Circle Way Storm Drain and Site Improvement, Laguna Beach, CA • Nash Avenue Waterline Replacement, Downey, CA SUE Manager Years of Experience: 8 with firm; 19 tot Richard oversees Field Operations for SUE and utility coordination projects for T2 throughout California, including permit acquisitions. He has maintained contracts with the Los Angeles County Department of Public Works, Port of Long Beach, Orange County RMDM and Port of Los Angeles for utility investigations. Richard has over 19 years of experience providing project management and supervision on SUE and utility coordination projects throughout California. His expertise is in all aspects of utility investigation including using various electronic designating/sonding instruments (Radio -Detection, Seek -Tech, Metro -Tech and multiple GPRs). Kwo 1. STATE ALIFICATIONS 17 d. Understanding of Need Anticipated Approach, Tasks and Deliverables Project/Contract Manager, Matt Tomanek, will direct project activities to ensure budget, schedule and quality control, allocate appropriate resources and regularly communicate project status. The scope of work will identify critical assumptions and expectations of the assignment. It is important for all parties to understand what is involved with the task. After the project is scoped, the selection of the appropriate team members for the project is vital to its success. T2's proposed Project Manager, Shawn Clark, will be involved with the project daily, enabling real-time project monitoring. He will liaise with Contract Manager, Matt Tomanek, and the City's Project Manager to identify project schedule status and updates. T2's Project Manager and Task Managers hold regular project team meetings —with a major emphasis placed on reviewing progress and discussing upcoming milestones. The initial step is to create a realistic schedule including critical path items such as coordination with the City early in the scheduling process to verify the milestone submittal dates. Major work tasks will be planned as a series of subtasks and accommodate a bottoms -up approach at schedule development stage, a proper linkage of predecessor/successor activities and an effective management tool to track/adjust schedules or reallocate resources as work proceeds. T2's general approach to SUE investigations beg._ . r.;. thorough site reconnaissance. County records, Title Commitments, existing surveys, oral recollection, maps and available utility records provide the foundational information our staff will research to start the investigation. Using this information, our team will work with the City to fine-tune the scope, investigation limits and Quality Levels to match the existing site conditions and proposed design. T2's techniques to achieve schedule success: • Appoint Work Assignment Manager for individual tasks • Conduct a brainstorming meeting to discuss project requirements and critical schedule path task items • Prepare a Work Plan outlining project task requirements • Discuss the Work Plan and detailed schedule with all team members • Develop a schedule with time allowance for unforeseen conditions • Organize and hold a Kick-off Meeting • Schedule initial meetings with utility companies and permitting agencies • Facilitate ongoing production meetings • Complete progress reporting 1. STATENDF2ZLIFICATIONS 18 After the information is finalized, T2 will: • Send a crew trained in a suite of geophysical tools to the site to collect information related to known and unknown utilities that may be present. • Survey all of the paint markings and surface appurtenances using the survey control covering the site. After the utility data has been collected and verified in the field, our team will review the completeness and quality of the data in the office. Using the field notes, electronic field sketches, surveying and engineering maps and utility atlases our team will ensure the achieved Quality Level is depicted for each utility segment in accordance with ASCE 38-02. In instances where Quality Level B is unable to obtain on a particular utility or segment, appropriate notes and depiction information is added to the drawing and incorporated in the utility report as applicable for additional clarity. A similar approach is taken for Quality Level A test holes. To maintain ASCE 38-compliant data sheets for Quality Level A, test holes are signed and sealed by a T2 licensed Professional Engineer (PE) and incorporated into the project design. Responsiveness to City Concerns T2 staff are proud of our ability to deliver the resources of a larger firm while remaining responsive to client needs when called upon. T2 has used this approach when providing "on -call" type services to public agency clients, and will utilize the same approach when contracted by the City. T2 understands that changes to a project scope or complexity occurs during the course of a project. By maintaining a frequent exchange of information between T2 and the City's Project Manager, our team ensures a no -surprises relationship. Close coordination between our team's Project Manager, Task Managers and City counterparts will ensure timely project completion. Fee Estimate Assumptions and/or Exclusions Fee Estimate Unit Price Sample assumes: • Native soil will be used for back -fill. • Restoration will be limited to cold patch asphalt. • USA paint mark removal will not be required. • Traffic Control Plans are not included in the Unit Price. • No permit fees will be required. T2's application of geophysical tools — pipe and cable locators, GPR, Acoustic/Elastic Wave, metal detectors — are designed to meet/exceed the minimum industry requirements as outlined in the ASCE 38 Standards. Any Quality Level depicted is a judgement by a PE of the achieved level of certainty for the location and character of a utility and carries with it the liability associated with a professional opinion. 1.STATE2GD>F2&LIFICATIONS 19 Statement of Qualifications for Subsurface l�ff utility Utility Engineering Services, RFP No.: 20-060 engineers Why T2? • Team Experience: Proposed staff have extensive experience working together as a team performing SUE services to ASCE 38-02 Standard on multiple municipal projects. T2's team has vast expertise with providing SUE services in accordance with the Cl/ASCE 38-02 Standard. No learning curve with T2! • Value Engineering: Team members are knowledgeable in and lead Value Engineering panels. T2 brings value engineering expertise to City projects. • Proven Track Record: Staff have successfully managed similar on - call SUE projects and contracts for multiple municipalities and agencies. We have done our homework and are ready to go! • Close Proximity: Our team is familiar with the Southern California area. Local staff are within close proximity to the City's location. Our team has the ability to be deployed quickly as needed. e. Relevant Project Experience The projects presented below represent T2's relevant SUE experience utilizing the Cl/ASCE 38-02 Standard. Our team of professionals have extensive experience working together to find solutions for clients. This experience is invaluable and offers no "learning curve" when hiring T2. T2 is providing utility designating and SUE (potholing) services (ASCE 38-02 Quality Levels B and A) for LACDPW on multiple public works projects. Tasks involve site assessments, coordination with the client, stakeholders, utility companies/inspectors, permitting, traffic control, utility designating, potholing and deliverable production. T2 is providing complete Underground Utility Systems surveying and comprehensive mapping of existing wet and dry utilities to update and obtain accurate data for future site development, District archiving and access to accurate campus infrastructure records. The project covers 9 campuses with 800+ acres to designate and 1,200 test holes (potholes). T2 also oversees the Topo survey and condition assessment. The project is currently 80% complete and is on time and within budget. 1. STATE LIFICATIONS 110 This project will rehabilitate and reconstruct the entire length of the Orange Western Sub -trunk, Los Alamitos Sub -trunk, Westside Relief Interceptor and Seal Beach Boulevard Interceptor. The sewer lines are located in the western most portion of the Orange County Sanitation District (OCSD) service area including the Cities of Anaheim, Cypress, Los Alamitos, Seal Beach and La Palma. The project is approximately 16 miles and includes 217 manholes. The project goal is to extend the service life of the sewer system by an additional 50 years. T2 is providing SUE services in accordance with ASCE 38-02 to support the design of the sewer rehabilitation. Services include records research and creation of the utility base map (Quality Level D), geophysical utility investigation, survey (Quality Levels C and B) and test holes (Quality Level A). Included in the utility investigation is approximately 30,000 LF of designating and up to 1,000 test holes. Information obtained during the field investigations and surveys will be used to update the Utility Map and qualify the depicted alignments. Deliverables include Utility Plan Sets, AutoCAD Civil 3D files and Test Hole Data Reports. This project increases the size of the upper reaches of the existing Newhope-Placentia Trunk Sewer to provide additional capacity for future flows projected with new development that allow for the abandonment of the Yorba Linda Pumping Station. This includes the abandonment of the wastewater disposal company sewer originally constructed in the early 1900s and is now owned by the OCSD. The project includes 34,800 LF of pipe, 18" to 36" VCP and 49" to 42" RCP located within State College Boulevard from the Cal State Fullerton campus continuing to Angel Stadium. T2 staff provided full SUE services to support design of the Newhope- Placentia Trunk Sewer Replacement including utility records research, utility mapping and potholing services (ASCE 38-02 Quality Levels D, C, B and A). Crews designated and mapped all utilities in approximately 7 miles of State College Boulevard (Anaheim and Fullerton) and completed over 400 test holes. Final deliverables included Utility Base Maps identifying subsurface utility alignments, ASCE 38 Quality Levels of the alignments, Test Hole Data Sheets and Photo Logs. T2 staff provided SUE (potholing) services (ASCE 38-02 Quality Levels B and A) to map the horizontal and vertical position of underground utilities to support design of water, sewer and reclaimed water design projects. Utilities located include petroleum, data transmission, telephone, gas, electric, water and sewer pipelines. T2's team completed over 600 (Quality Level A) test holes. 1. STATE LIFICATIONS 111 T2 staff led Utility Engineering services on this Sacramento Municipal Utility District (SMUD) project that involved 3.3 miles of transit lines from Civic Center to Midtown. Streetcar stations were spaced every few blocks and two maintenance facility sites are located along the alignment. T2 crews provided SUE services for approximately 150,000 LF of existing utilities including locating, surveying and mapping (Quality Levels D, C and B). Civil 3D was utilized to process field data, generate a Subsurface Utility 3D Model and incorporate 3D elements of existing pipes. This was completed after the pipes were exposed by vacuum excavation. The field data was compiled in the office with CADD, incorporating depth, size and invert data. T2 staff also performed conflict analysis, utility coordination and non- destructive vacuum excavation (Quality Level A) of over 125 test holes within a highly congested area of downtown Sacramento. The Port of Long Beach is reconfiguring, expanding and enhancing the existing Pier B rail facility located southwest of West Anaheim Street and the 710 Freeway. The improved facility will support more efficient use of "on -dock" rail at the Port's shipping terminals, which will ease roadway traffic congestion and improve air quality. Approximately 171 acres to be impacted during construction. T2 staff provided full SUE services to support design of this major new rail system for Pier B, including utility designating, survey and test hole services (ASCE 38-02 Quality Levels D, B, C and A). The scope included investigation and mapping of over 400,000 LF of subsurface utilities, survey of the designated utilities and preparation of ASCE 38-02 compliant deliverables. Following review of the updated Utility Map, the decision was made to complete utility trenches in place of traditional test holes, due to extremely heavy utility congestion. T2 crews completed 10 utility trenches, ranging from 80' to 120' in length, to obtain precise horizontal/vertical utility position information, across major cargo transportation roadways. T2 staff successfully overcame several project challenges including coordination and scheduling with the Port, traffic control, tenants and stakeholders to minimize disruption to operations; safe implementation of traffic control setups and field work in highly congested areas; and restricted work times requirements. T2 staff provided electronic designating, ground penetrating radar (GPR), locating (ASCE 38-02 Quality Levels D, C, B and A) SUE (potholing) and utility mapping services. Crews also provided soil sampling services due to contamination issues. T2's services were completed on time and within budget. 1. STATENDQ&LIFICATIONS 112 f. References (also see Appendix - Attachment 4) T2 has extensive experience with managing SUE projects for municipalities with similar needs relevant to this SUE contract. References for T2's SUE contracts are identified below and in Appendix —Attachment 4). AECOM/Orange County Sanitation District (OCSD) Keith Campbell, PE (AECOM) 559-906-2464 keith.campbell@aecom.com 300 S. Grand Avenue, Suite 800, Los Angeles, CA 90071 SUE for Rehabilitation of Western Regional Sewers $2.6 million; 2017 to Present Matt Tomanek, Shawn Clark, Richard Hernandez Los Angeles County Department of Public Works (LACDPW) Gus Nakhoul 626-458-3124 gnakhoul@dpw.lacounty.gov 900 South Freemont Avenue, Alhambra, CA 91803 SUE; As -Needed Exploratory Subsurface Excavation $5 million; 2017 to 2019 Matt Tomanek, Shawn Clark, Richard Hernandez Port of Long Beach Engineering Design Division Miguel Hernandez, PE, Chief Harbor Engineer —GIS Supervisor 562-972-8920 Miguel. Hernandez@polb.com 4801 Airport Plaza Drive, Long Beach, CA 90815-1263 SUE; Utility Locating $3 million; 2013 to 2019 Matt Tomanek, Richard Hernandez Build -Los Angeles Community College District Program Management Office Johnson Nee, Design Manager 323-980-2625 Johnson.nee@build-Iacod.org 1055 Corporate Center Drive, Monterey Park, CA 91754 SUE $12.6 million; 2018 to Present Matt Tomanek, Shawn Clark, Glen Robison, Robert Ramsey 1. STATE 7ALIFICATIONS 113 PARYK01»01M9ANIN16 MILlIN:111111:1:1B1l14 Underground Utility Locating T2 field technicians will perform air -vacuum excavation of test holes on existing subsurface utilities requested by the team. Our approach is to remove a small 12"x12" plug from the surface and excavate using an air lance to break the sub -grade up. This is the most non-invasive method of vacuum excavation and is favored over hydro excavation as it does not disturb the surrounding soils and allows for a stronger back -fill using native soils. Test hole locations will be identified during the development of the plans. Utility data obtained through our standard procedures includes the depth, horizontal and vertical location tied to a reference marker set 1' away from the test hole, size and material composition of the utility exposed. T2's general approach to test hole procedures is to begin by working with the City to identify preliminary areas where test holes may be required. We will begin the process by performing a records research campaign to ascertain the utilities are present and who owns those utilities. During this process, T2 will coordinate with the City to obtain any records or plans available that may show utilities and ownership. T2 additionally will contact One -Call to obtain utility records and a list of utility owners in the area. Depending on the location and City right-of-way requirements, Traffic control plans will be prepared and submitted for approval. T2 will hire a barricade firm from an approved vendor list to perform all traffic control if needed. Prior to commencing work, T2 field crews will ensure that all traffic control devices are set up according to the approved traffic control plans. Field crews will expose the utility, documenting the elevation of the top and bottom of the utility as referenced to the reference marker set in the adjacent grade, outside diameter or size of utility, material and pavement thickness, soils material and any other anomalies encountered. This information is documented on a Test Hole Data Report form using T2's proprietary software that captures all of the information and photographs of the hole. Completed and final Test Hole Data Reports are reviewed and stamped by T2's in-house PE. Schedule As stated above, T2's Project Manager and Task Managers hold regular project team meetings — with a major emphasis placed on reviewing progress and discussing upcoming milestones. The initial step is to create a realistic schedule including critical path items such as coordination with the City early in the scheduling process to verify the milestone submittal dates. Major work tasks will be planned as a series of subtasks and accommodate a bottoms -up approach at schedule development stage, a proper linkage of predecessor/successor activities and an effective management tool to track/adjust schedules or reallocate resources as work proceeds. 2. SCOPE AND SCHEDULE 114 T2's team uses the following techniques to achieve schedule success: • Assign Work Assignment Manager for individual assignments • Initiate brainstorming meeting to discuss project requirements and critical schedule path task items • Prepare a Work Plan outlining all project requirements • Communicate Work Plan and detailed schedule to team members • Prepare a realistic schedule allowing time for unforeseen circumstances • Schedule and host a Kick-off Meeting • Schedule up -front meetings with utility companies/permitting agencies • Hold regular production meetings • Complete progress reporting T2's approach to SUE investigations begins with a thorough site reconnaissance. County records, Title Commitments, existing surveys, oral recollection, maps and any available utility records provide the foundational information our team will research to start the investigation. Using this information, our team will work with the City to fine-tune the scope, investigation limits and Quality Levels to match the existing site conditions and proposed design. Subsurface Utility Engineering (SUE) Approach T2 professionals have extensive experience with quickly mobilizing staff and equipment necessary for SUE and survey projects. With a developed, proven and systematic project mobilization approach for open- end type contracts, we can easily mobilize ("pools") resources from other offices to complete projects with accelerated schedules. As with most as - needed contracts, crews simultaneously work on multiple projects. We schedule activities concurrently when feasible to expedite project completion. While field services are completed, office operations will concurrently be performed to allow staff to furnish the Test Hole Data Report and CADD files as close to the completion of field operation as possible. Tasks include converting survey data of designated utilities into CADD files, preparing Test Hole Data Reports, scheduling and coordinating with utilities and surveyors. Test Hole (Potholing) Services T2 field technicians will perform air -vacuum excavation of test holes as needed for the project on existing subsurface utilities requested by the team. Test hole locations will be identified during the development of the plans. Utility data obtained through our standard procedures includes the depth, horizontal and vertical location tied to project datum performed by the survey team, size and material composition of the utility exposed. T2 staff have performed numerous SUE projects involving test hole throughout the West and understand local agency requirements and procedures. When a project task order is assigned, our field supervisor will initially meet with an inspector to walk the project area and determine the safest traffic control plan to complete the test holes. T2 will submit traffic control plans for approval and will hire a barricade firm from an approved vendor list to perform all traffic control including an off -duty police officer, if needed. Proactive communication between the Contract/ Project Managers, team members and the City is necessary for a successful project outcome. 2. SCOPE AND SCHEDULE 115 Innovative Technologies and Techniques In addition to our full suite of geophysical equipment, T2 offers a host of innovative equipment, services and approaches to utility investigations. Although not applicable for every project, T2's expertise will assist the City with deciding when and where such techniques may be appropriate. Perform Advanced Geophysics Investigation Multi -Channel GPR (MCGPR) is a relatively newtechnologyto the Utility Engineering industry. T2 uses the Stream EM and Stream C, which are MCGPR solutions dedicated to utility locating and mapping. These units employ 40 separate channels with double polarized antennas enabling the system to gather data both longitudinal and transversal simultaneously. The high number of antennas increases the quality of the data and allows our crews to detect utilities at greater depth, even in sub -optimal soil conditions. Stream EM and Stream C are equipped with a GPS unit that enables the data set to be easily georeferenced to the project survey datum. The system is towed behind a vehicle permitting technicians to gather the GPR data using minimal traffic control — reducing impacts to local traffic and improving field team and general public safety. Tasking • Mobilize advanced geophysical equipment to site. • Review with clients where test holes may be necessary to calibrate advanced geophysics tools. • Perform a MCGPR sweep of the site using the STREAM EM and/or STREAM C where applicable. • Prepare deliverables showing results of each of the above technologies. Prepare 3D Deliverables Collect data and compile a 3D utility model per ASCE 38-02 showing the horizontal location of the underground utilities at the achieved Quality Level over the project area. The drawings will be completed in AutoCAD or MicroStation and referenced into the design drawing. • Record electronic depths to the Quality Level B investigation. T2 will provide estimated depths at specific points from records/field measurements and geophysics and document the readings. Geophysical depths are noted and are not assumed to be a definitive measurement of utility depth. 2. SCOPE AND SCHEDULE 116 Statement of Qualifications for Subsurface Utility Engineering Services, RFP No.: 20-060 2 1. w Nz:T?neers When you work with --v T2 you get a single point of contact for s all aspects of utility —_ risk management and integrated infrastructure services T2 compiles and creates 3D utility models in AutoCAD or MicroStation per ASCE 38-02 Quality Level Standards ' Er tAR 3 a M o. _ a o O N 3 t�i m C 9 O `U O N R m RRL O d N R N ��5°L.yy -a3 N.�.°D`�n m tea. of s.�° v`i o,`°' w� 3v�°n urns' a 5! o �C 0 ° �O�0 n oy�g5�, 3 m? N M. ° m O 5 g F - ° ° n v a a'a m� a o Wig _ _ ONE H hi I'£96M �Tia� Z➢ y u a �§ o y y��� x i a tl§ .. �^� M P 0 O 1HU F '§3§(' Qpg3&,5: UN HIP. F£3 5Q 22 � 9 S 3�� A 9� N P E A F t �y�i� IN 6 b 3�8 0;Y3yg as £3 n ,M �saoo GmGmS 8'go 1; — Y P_ a pg ?.a pp'4-I.. I'. x aa. II �5 _E E6xdL3 0 9M a g n re s o s 0y 9JH Fe=. zo S `e a�o PLAN AND PROFILE 3oj �z 33 �9°9 VN INOIAST-BORELINE NA 3 § w`g .,a, MCI METRO ACCESS TRANSMISSION SERVICES v 11 MIN � \ !\ .[ |[|) ) . ..,Doom !!!;r]§ >,— TELECOM STRUCTURE DIAGRAM �en ek iA�_-- /\d: : � - � -- - � y�� Appendix ATTACHMENT 2 FEESCREDULE EXHIBIT C SUBSURFACE UTILITY ENGINEERING SERVICES RFP NO.: 20-060 Certification — I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Appendix: Attachment 1) and I am familiar with the scope of work. I am familiar with all the existing conditions and limitation that may affect work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposer Item Price — Pricing must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, fuel and taxes - Fee Pr000sal• In addition to Section IV.13.3 (Submittal Requirements: Fee Proposal) fee schedule shall be structured as follows: The fee nronosal shall include the firm's standard hourly fee schedule, and/or oroiect fee schedule where applicable and as outlined in this this documents. A list of all positions and hourly rates required to perform the services described herein. A more detailed scope of work will be provided when/if a specific oroiect or Task Order Pr000sal is reauested of a consultant. Other Terms and Conditions: 1. The project will be implemented in compliance with the City of Santa Ana's policies, as well as Prevailing Wages and State/Federal Requirements. 2. The City regards the inclusion of California based designs, engineering, and construction professionals, facilities, and services as part of the Team to be highly desirable, but not mandatory. 3. The City reserves the right to amend this Request for Proposal by addendum prior to the final dates of submission. 4. All reports, proposals, or other data or materials, which are submitted, shall become the sole property of the City of Santa Ana with the exception of the confidential Financial Capacity information and fee proposals. 5. All products used or developed in the execution of any contract resulting from this request will remain in the public domain at the completion of this project. City of Santa Ana RFP 20-060 Page A2-1 P OSAL 6. The City has an affirmative action program. The purpose of the affirmative action program is to encourage certified minority business enterprises and women business enterprises. All submitting firms must have established affirmative action programs approvable by the City. During the REP stage, all firms will need to complete a "Certification of Non -Discrimination by Contractors" for each firm on their team. The undersigned bidder agrees to furnish all labor, tools, material and supplies, and to sustain all expense incurred in doing the work for the items included herein and in accordance with the contract documents and engineering plans provided by the City. This schedule is used for comparison purposes only. All quantities are estimated and the City reserves the right to increase, reduce, or eliminate the contract quantities in any amount. Underground Utility Locating and Potholing Local Streets ITEM # BID ITEM QUANTITY (Each) UNIT PRICE TOTAL 1. Depth from 0' - 3 1 400 $ 775 $ 310,000 2. Depth from >3' - 6' 200 $ 810 $ 162,000 3. Depth from > 6 100 $ 845 $ 84,500 Arterial Streets ITEM # BID ITEM QUANTITY (Each) UNIT PRICE TOTAL 1. Depth from 0' - 3' 400 $ 950 $ 380,000 2. Depth from >3'-6 200 $ 1,000 $ 200,000 3. Depth from (> 6) 100 $ 1,100 $ 11Q,000 ITEM # BID ITEM QUANTITY UNIT TOTAL (LF) PRICE Utility locating/designation/marking including all subsurface location services 1. required for underground utilities 20,000 $ 1.15 $ 23,000 City of Santa Ana RFP 20-060 Page A2-2 P OSAL The proposer shall complete and submit a total markup schedule. This schedule will be used for comparison purposes only. COMPANY NAME TITLE BILLING RATE Project Manager/Coordinator $ 145 Professional Surveyor- California $ 185 Traffic Control- Setup man $ 105 Truck/Machine- Operator $ 120 Pothole- Utility Serviceman $ 120 Traffic Control -Flagman $ 105 Utility Locator- Technician $ 120 CADD Technician $ 85 City of Santa Ana RFP 20-060 Page A2-3 P OSAL Rate Schedule Subsurface Utility Engineering Services Pothole Under Natural Ground (SUE) Bill Rate $600.00 Services and Overtime $685.00 Hourly Prevailing Wage $685.00 Rates Prevailing Wage . $1,025.00 Unit per hole Pothole Under Paving/Concrete $700.00 $805.00 $855.00 $1,365.00 per hole Pothole Exceeding 6.99 feet in Depth $105.00 $125.00 $130.00 $165.00 per foot Air -Vacuum Excavation Truck/Crew/Equipment $335.00 $395.00 $425.00 $510.00 per hour Utility Designating/Investigation Underground $0.91 $1.14 $1.15 $1.48 perfoot Utility Designating/Investigation Overhead $0.45 $0.58 $0.581 $0.74 per foot Utility Designating: 2-Man Crew/Equipment $275.00 $350.00 $335.00 $440.00 per hour Utility Designating 1-:Man Crew/Equipment $195.00 $220.00 $210.00 $260.00 per hour Concrete/Asphalt Coring $165.00 $205.00 $205.00 $225.00 per hour Survey: 2-Man Crew/Equipment $255.00 $345.00 $260.00 $350.00 per hour Survey: 1-Man Crew/Equipment $180.00 $225.00 $185.00 $230.00 per hour Senior Project Manager $205.00 N/A N/A N/A 1perhour Project Engineer $185.00 N/A N/A N/A per hour Project Surveyor $185.00 N/A N/A N/A per hour Project Manager $145.00 N/A N/A N/A per hour SUE Manager $125.00 N/A N/A N/A per hour CADD Supervisor $120.00 N/A I N/A N/A per hour SUE Supervisor $90.00 $135.00 $120.00 $160.00 per hour SUE Technician III $80.00 $120.00 $120.00 $160.00 per hour SUE Technician II $75.00 $112.50 $120.00 $160.00 per hour SUE Technician 1 $70.00 $105.00 $120.00 $160.00 per hour CADD Technician $85.00 $127.50 N/A I N/A per hour Administrative Support 1 $75.00 $112.50 N/A N/A per hour Mobilization: Air -Vacuum Excavation Truck/Crew $4.32 $5.68 $5.77 $7.50 per mile Mobilization: Designating/Survey Truck/Crew Per Diem 1 $3.02 $4.081 I GSA rates $4.261 $5.74 per mile Encroachment and Traffic Permits actual cost Subcontractors cost plus 10% Miscellaneous Expenses cost plus 10% P OSAL Typical Task Schedule Below is a general breakdown of T2's typical SUE tasks and hours. Actual task -specific orders will vary. SUE Services Services Records Research Tasks Project Manager 2 hours and Hours Field Field Supervisor Crew 2 hours PE Review/ e 1 hour Admin 1 hour Permitting 1 hour 2 hours 1 hour Project Coordination 2 hours 1 hour Field Work — 1 Week; 20 Test Holes 5 hours 5 hours 40 hours Test Hole Data Report Form Preparation 8 hours 1 hour Quality Control Review 1 hour 2 hours P OSAL AGREEMENT TO PROVIDE SUBSURFACE UTILITY ENGINEERING SERVICES THIS AGREEMENT is made and entered into this 15th day of September, 2020 by and between AZTEC Engineering California, Inc. ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On April 24, 2020, the City issued Request for Proposal No. 20-060, by which it sought qualified contractors to provide subsurface utility engineering services for the City's Public Works Agency. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 20-060. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES On an as -needed basis, and at the City's sole discretion, Contractor shall perform the services described in the scope of work that was included in RFP No. 20-060 and that is attached as Exhibit A, and as further delineated in Contractor's proposal, which is attached as Exhibit B and incorporated in full. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under this Agreement. Contractor shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit C. Contractor is one of three contractors selected to provide services on an as -needed basis under RFP No. 20-060. The total compensation for services provided by all contractors selected under RFP No. 20-060 shall not exceed the shared aggregate amount of $750,000 during the term of this agreement, including any extension periods. b. Payment by City shall be made within forty-five (45) 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 and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on September 14, 2023, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for one 2-year period upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, 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. Ifthe services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to Bally comply with such Prevailing Wage Laws. 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. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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 Contractor under this Agreement ("Documents & Data"). Contractor 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. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor 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. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional 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 Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. hi accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. 2=41 (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by contractor, without thirty (30) days prior written notice to the City. (iv) Contractor shall supply City with a fully executed additional insured endorsement. f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section I of this Agreement; 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 Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terns of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. 2 -42 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor 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 Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor 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. Contractor 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 Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. 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 2=�3 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Contractor: AZTEC Engineering California, Inc. 2151 Michelson Drive, Suite 100 Irvine, CA 92612 Attn: Carlos Tarazaga 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 timeframes, weekends, federal, state, County or City holidays shall be excluded. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor 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. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other contractors retained by City. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, relation, 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 in connection with any activities under this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 19. 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. 20. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, 2=�5 permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: 7g, -f.4, J in XI. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL Nabil Saba Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONTRACTOR Name: CARLOS TARAZAGA Title: VICE PRESIDENT 2=46 EXHIBIT A Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SUBSURFACE UTILITY ENGINEERING SERVICES RFP NO.: 20-060 Introduction and Background: The City of Santa Ana ("Santa Ana" or "City") is the county seat and the second most populous city in Orange County, California, with over 343,000 residents. It is the 57a' most -populous city in the United States. Santa Ana is located in Southern California, adjacent to the Santa Ana River, about 10 miles away from the California coast. Founded in 1869, the City is part of the Greater Los Angeles Area, the second largest metropolitan area in the United States with almost 18 million residents in 2010. The City of Santa Ana Public Works Agency (PWA) is soliciting proposals for Subsurface Utility Engineering (SUE) Services. These tasks include location and identification of underground utilities in the planning, design, pre -construction, and construction phases. These services are on - call and on an as -needed basis. This request for proposal (RFP) provides interested qualified firms with the information enabling them to submit a Service Bid Proposal and to provide the services described herein. Description of Work: On as needed basis, the selected firm/s shall provide the City with the following services as described herein. Underground Utility Locating: Determine the precise horizontal and vertical position, size, condition, material, utility owner/s name and other characteristics of underground utilities using vacuum excavation and or other comparable means. • Obtain and review plans provided by the City showing areas requiring locating (test boreholes) sites as identified by the plans. • Excavate using a method to enable vertical and horizontal exploration and locating means. • Furnish and install permanent above ground marker and color code for each of the utilities (i.e., P.K. nail, peg, steel pin, or hub) directly above the centerline of the structure and record the elevation of the marker along with all the characteristics of the utility. • All horizontal and vertical data shall meet survey standards in accordance and as detailed by the Engineer • Provide the following as part of the borehole test information: a. Elevation top and bottom of the utility tied to the datum and or furnished information by the Engineer. The accuracy of the vertical elevation shall be within (+/- J ft). b. Elevation of the existing grade over the utility test borehole and the pavement and backfill City of SanPta�FP ft06O material c. Horizontal location referenced to the provided datum and or as requested by the Engineer d. Obtain pipe, duct bank, encasement, and multi- conduit configuration width (outside diameter) e. Provide utility structure material composition and condition f Identify benchmarks used to determine elevations and include it as part of the final deliverable report. g. Identify and provide pavement thickness, material and condition and soil type characteristics. • All completed reports shall be certified to be correct and signed by a professional land surveyor registered in California. (Only if required by the Engineer). Work under this category will be paid on hourly basis. • Backfill all test holes shall be backfilled with in -kind material and compact to a relative compaction of 90%. • Boreholes greater than 2112 shall be paved and match existing pavement thickness section unless stated otherwise and or approved by the Engineer. • Clean and sweep work site at the end of the work day. • Provide additional surveying, and underground utility mapping services at an hourly rate General Requirements and Proiect Deliverables: • All work for this work for traffic control shall be done in accordance with the Federal Highway Administration's Manual (MUTCD) • The selected firm/s shall obtain all necessary permits from the City and local jurisdiction prior to commencing any of the work in Public Right of Way. • Any work required on private property shall be authorized by the Engineer prior to commencement of work. • All work shall be done in accordance with ASCE Standard 38-02; Standard Guideline for the collection and depiction of the existing subsurface utility data. • The firm/s shall secure all permits to work in the City. These fees are not reimbursable. • All work shall be performed to the specific project and or location as detailed in the notice to proceed and indicated by the Engineer. • All reports and technical memoranda shall be submitted electronically to City and shall include all the information as required and detailed in the notice to proceed. All Computer Aided Drafting Design (CADD) work shall be submitted on electronic format (Microstation). In addition, a hard copy of the project findings and a digital file in Microstation shall be submitted to the engineer for review before final approval and final payment is authorized. A list of positions and hourly rates shall be included as part of the proposal and included in the seal bid package. See Attachment 4 — ADDITIONAL PROVISIONS for a sample breakdown. The consulting firm/s are responsible for any damage to utilities during the locating efforts. 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 and Investigations (A&I), other state audit organizations, or the federal government. The selected Consultant shall complete Exhibit 10-K — Consultant Certification Contract Costs and Financial, in the Appendix of this RFP as Attachment 4. Time is of the essence and work shall commence within 5 days of the Notice to Proceed for planned underground utility locating services. • The consultant shall be available to provide on -call services within 24-hours for unplanned utility locating services. City Responsibilities: The City will provide information in its possession relevant to the preparation of the required information in the RFP. The City will provide only the staff assistance and the documentation specifically in referred to herein. May 14, 2020 EXHIBIT B AZTEC Engineering California, Inc. AZTEC � 2151 Michelson Drive Suite 100 Irvine, CA 92612 City of Santa Ana P: 714.862.9286 1 F: 714.754.1690 Santa Ana Public Works Agency TYPSAGroup w .aztec.us 20 Civic Center Plaza Santa Ana, CA 92701 RE: SUBSURFACE UTILITY ENGINEERING SERVICES (RFP #20-060) Dear Agreement Services and Members of the Selection Panel: AZTEC Engineering California, Inc. (AZTEC) is excited to present our team of utility -focused professionals to provide Subsurface Utility Engineering (SUE) services for the City of Santa Ana (City). AZTEC has been providing this service to clients since 2001, and we completely understand that accuracy in locating underground utility lines using non-invasive, vacuum excavation technology is a valuable part of the foundation for delivering projects successfully. Our experienced SUE team is proud of our proven skills in providing successful utility locating services on numerous municipalities and agencies task assignments throughout California, and we would be honored to have a working relationship with the City. Our AZTEC office is just minutes away from the City limits, which allows us to quickly respond and deliver assignments. AZTEC has a valid California contractor's license with (A) designation #826065. AZTEC offers you the following value adds: Commitment to Client Services — We are committed to availability, consistency, and the right blend of staff throughout the life of this contract to deliver quality products, on time and within budget. Proven SUE Experience — We have served clients since 2001 with the successful delivery of more than 700 utility designating and locating task orders. These efforts have involved designating more than 400,000 linear feet of underground utilities and excavating more than 2,500 test holes for utility locations. • All the Necessary Equipment —A full range of the latest state-of-the-art utility designating and locating equipment to provide accurate and timely services to keep projects moving forward. • Relationships with Utility Owners — These established long-term relationships and familiarity with the major utility owners in California, will allow our team to quickly identify and develop a plan to resolve conflicts before they encroach on a project's schedule. By selecting AZTEC for this contract, the City will receive the services of our experienced staff including Carlos Tarazaga (Project Principal); George Enriquez (Project Manager); Art Mehler (Contract Manager) and Robert Rappleyea (CADD Technician Lead). Another important team member is Steve Slocum, PLS from Michael Baker International who brings relevant and local experience as a Professional Surveyor. George will be the direct contact for all tasks assigned under this contract. By signing and submitting this proposal, I certify that I have read, understand and agree to the terms and conditions of this Request for Proposal #20-060, Subsurface Utility Engineering Services with the City of Santa Ana as outlined in Appendix: Attachment 2. 1 have examined the Scope of Services (Appendix: Attachment 1) and I am familiar with the scope of work requests. I understand and agree that I am responsible for reporting any errors, omissions, or discrepancies to the City for clarification prior to the submission of my submittal. Sincerely, AZTEC Engineering California, Inc. r- George Enriquez•_/ Car os Tarazaga Principal I Vice President 25r 4 .266.4547 1 ctarazaga@aztec.us Project Manager P: 714.862.9286 1 genriquez@aztec.us C. Firm and Experience AZTEC Engineering California, Inc. (AZTEC) is a multi -discipline consulting firm with a staff of over 150 professional, technical and support personnel. Founded in 1992, AZTEC has developed a reputation as a provider of quality engineering services. In 2006, AZTEC became a subsidiary of the TYPSA Group which has a staff of more than 2,500 employees located in 50 offices world-wide. One of AZTEC's core business disciplines is providing proven Subsurface Utility Engineering (SUE) services for public agencies, municipalities and private clients. Over the past 19 years, AZTEC has provided SUE services for numerous clients throughout the California and the greater southwest on a variety of projects and look forward to providing our services to the City. Firm Organization AZTEC has assembled an outstanding team of professionals to perform the SUE services for this contract (see Figure 1: AZTEC Team Organization Chart). AZTEC's Project Manager, George Enriquez, and key personnel are committed to leading this contract and developing effective and cost - conscience solutions to each assigned task. Capabilities of Organization Through effective project management, experienced staff and team dedication we pride ourselves on meeting/ exceeding the needs of our clients and their projects. AZTEC has the personnel, resources and financial capabilities to provide the City with the full range of SUE services needed for this contract. and support staff who have proven their knowledge and ability on hundreds of similar projects. Our unsurpassed expertise in SUE, Professional Utility Coordination and GIS mapping are the capabilities that make AZTEC an ideal provider of the SUE services the City requires. Subconsultants While AZTEC will perform the majority of the contract and serve as the prime consultant, we have chosen Michael Baker as a subconsultant for surveying services. For more than 30 years, Michael Baker has played a significant role in the development of southern California's expansive transportation network, including work directly for or on behalf of Caltrans and other local jurisdictions. Proximity of Company's Resources AZTEC maintains a fleet of utility designating and vacuum excavation trucks at our Irvine, CA office, approximately 9 miles from the City of Santa Ana offices and facilities. Our fleet of trucks have all the required equipment to perform the SUE tasks that will be assigned under this contract. Figure 1: AZTEC Team Organization Chart 'Art Mehler "Key Personnel (Resume included) Q Michael Baker International Carlos Tarazaga Dave Goos, PE AZTEC has a highly experienced team in l 'George Enriquez place with the technical expertise essential to this contract, having completed more than 700 SUE tasks for over 100 separate entities. AZTEC has designated and mapped Anselmo Pablo -Bello 'Steve Slocum, PLS Q more than 230 miles of underground utility Allen Autagavaia 4 Survey Teams lines and safely excavated more than 60,000 4 SUE Crews potholes for utility locating. Under our SUE Project Principal, Carlos 'IML'Robert Rappleyea Tarazaga, AZTEC offers the City the William Morales Najati Burrow industry's most experienced SUE technicians Russell Cameron Key Personnel AZTEC has assembled a team of our best and qualified professionals. Below, we have highlighted their experience and relevant projects. We have also included their resumes in Section 5. Art Mehler I Contract Manager Art supervises the operations of the AZTEC SUE Division, including supervision, staffing, scheduling, project planning, and coordination. During his 35-year career, Art has completed a variety of projects throughout the Southwest region His recent relevant experience includes managing and overseeing several SUE on -call contracts including Caltrans District 7; Arizona Department of Transportation (ADOT); the City of Phoenix, Arizona; Valley Metro Rail Transit and Maricopa County Department of Transportation (Arizona). George Enriquez I Project Manager George has over 14 years of experience in the SUE field. He is AZTEC's SUE Project Manager for our California operations. His expertise is in designation, supervision, and quality control of projects. This includes data collection from utility owners, project planning and support for survey and CAD departments. As Project Manager, his responsibilities include coordination with clients, scheduling and distributing work orders. George is based out of our Irvine office and is ready to respond to the City for this contract. George is well known for his very involved approach, and routinely serves many roles on contracts, such as Task Manager for both Potholing and Utility Designating. His recent relevant experience includes managing two on -call potholing contracts for Caltrans and an on -call with the EMWD. Additional project related experience include SR-91 HOV Widening, 1-215/ Van Buren Interchange, SR-91 HOV Widening, Perris Valley Line, 1-215 Central Widening, 1-215 Bi-County, 1-15 Express Lanes DB and the Metro Gold Line projects. Steve Slocum, PLS I Survey Lead Steve comes from Michael Baker International and has 18 years of progressive surveying experience. He has worked on several significant projects, including recently serving as Project Manager for Port of Long Beach On -Call services. His project services include boundary and street monumentation, topographic data collection, H IDS ground based LIDAR (laser scanning surveys), aerial control and validation surveys. He is a former president of the Orange County Chapter of California Land Surveyors Association. Robert Rappleyea I CADD Technician Lead Robert has 20 years of experience producing engineering drawings and CADD designs. As a designer, he has been responsible for grading and drainage designs, earthwork calculations and the design of utility relocation plans. Robert is AZTEC's AutoCAD Manager and has delievered 15 SUE projects and is a member of AZTEC's CAD Standards Committee. He has worked closely with Art to produce CADD designs. He has served as CADD technician on our Caltrans and ADOT SUE on -calls, and on numerous SUE task orders by developing and delivering accurate utility base files. D. Understanding of Neec' AZTEC has a complete understanding of the requirements to perform subsurface utility engineering work to the ASCE 38-02 Quality Level standards. These services are required in the planning, design, pre -construction, and construction phases of infrastructure projects. For this contract, the City of Santa Ana Public Works Agency will, on an as -needed basis, assign task orders for various SUE services. AZTEC approaches SUE task orders in a systematic manor to ensure completion of the work on time, with the highest quality standards and within allotted budgets. The steps are: Review the entire task order and get any scope clarifications required to completely understand the needs. 2. Properly delineate the work area for all pothole locations as required by law. Call 811 Dig Alert ticket for each pothole/work area location 72 hours prior to commencement of work. 3. Assess traffic control as need for each pothole location and determine if such needs would require site specific traffic control plans that cannot be covered under the latest MUTCD Standards. Given the City's dense population and high volume of traffic on arterial streets, we anticipate that some task orders might be required to be performed at night to minimize traffic congestion. These scenarios will be presented to the City during the permit application process to avoid delays to the project schedule. 4. Perform excavation of test holes after verifying utility locations. Figure 2-Test Hole Data Report 5. Collect all data. This includes, but is not limited to, a photograph of the exposed utility, X, Y, Z location data, size, type and material of infrastructure found. Information concerning pavement thicknesses and basic soil information will also be noted. 6. Restore the work area as required under the permit and mark the location with a permanent marker such as a PK nail. 7. From the data collected, a report will be generated containing all the information as well as the surveyed coordinates with a benchmark provided for reference. This report is then run through a complete QA/QC process to ensure the transmission of accurate information. An example of Test Hole Data Report is shown as Figure 2. TEST HOLE DATA REPORT Test role# a SUE Crew O. Ennouez Data Dug fl/14/21115 �mJEC Tmck# 377 P ject# CAu1412 15510 Pasadena Stree[untt C Lake Elsinore, CA 92530 Ctty Menttae Phase# 001 Tel.(951) 471619U Fax (951)4716194 County Riverside Location Menllee Lift Station LOCATION PLAIN -NOT TO SCALE D 1:1 - OC W�1- o qe a SITE BENCHMARK CROSSSECTION-NOTTOSCALE FACING NCUT wiTHRO 11 1 TO T F o1EET1 RIBBON COLOR Green oToioM [L[vaTo M OEET) COORDINATES'. NORTHING ACTING STATIONING . STATION OFFSET PAVINGTHICKNESS3" PAVING Asphalt SOILCONDITION DM SIZE 10" TYPE DIP FACurvOVNER EMwDBVPass COMMENTS PREPARED BY A Mahler CHECKED BY S. Estle K E. Relevant Project Experience AZTEC has completed more than 700 projects for numerous public agencies. As part of these efforts we designated over 230 miles of underground utilities and completed more than 60,000 potholes. In California, AZTEC's SUE team members have provided utility designating and potholing services for Eastern Municipal Water District (EMWD), Caltrans (multiple districts), Riverside County Transportation Commission (RCTC),Orange County Traffic Control (OCTC), Port of Long Beach AZTEC's SUE core personnel have been with us since the creation of the team in 2001. AZTEC's team is presented in Figure 3 below and identifies each team member's role on this contract, applicable professional registrations and total years of experience. Figure 3: Team's Individual Professional Registrations Name Project PROWIFFM0 arse Role Registrations Experien Carlos Project TX PE 18 Tarazaga Principal #136631 Art Mehler Contract N/A 35 Manager George Project N/A 14 Enriquez Manager Steve Survey CA PLS 18 Slocum, Lead #9044 PLS Robert CADD N/A 20 Rappleyea Technician The following is an overview of projects completed within the last five years that are most relevant to the tasks by the City. Caltrans District 7 Contract #07A0462, On - Call Roadway Design and Related Project W Development and Construction Support, Los Anaeles, CA Description: Under this on -call for Caltrans District 7, AZTEC has provided on -call support, including potholing, for task orders as assigned. Projects vary from ADA improvement, Metal Guard Rail Beam improvements, BMP improvements and pavement improvement projects. AZTEC has assisted with laying out all the potholes to maximize efficiency while facilitating an operation that was completed on time and within budget. Year Completed: 2020 (Expected) Client Name: Caltrans Contact Name and Phone Number: William Howard, 213.897.3017 Riverside County Flood Control District (RCFCD) Utility Potholing On -Call, Riverside, CA Description: AZTEC performed 35 potholes to expose existing utilities to determine size, material of utility, depth and actual location for the North Norco Channel Line project in Norco, CA as part of the RCFCD as -needed Utility Potholing On -Call. AZTEC provided personnel to assist in laying out pothole locations. This close cooperation with the client kept the project on time and within the projected cost. We continue to provide RCFCD with as -needed potholing services under this contract. Year Completed: Ongoing Client Name: RCFCD Contact Name and Phone Number: Ruby Tabares, 951.955.0087 French Valley Recycled Water Pipeline Project, Winchester, CA Description: AZTEC performed 30 potholes to expose existing utilities to determine size, material of utility, depth, and actual location. AZTEC also assisted in the laying out of all potholes and utility designating to maximize efficiency of work while facilitating an operation that was completed on time and within budget. Year Completed: October 2016 Client Name: EMWD Contact Name and Phone Number: Cameron Valenzuela, 951.928.3777 ext. 6107 F. References Appendix ATTACHMENT 4 REFERENCES SUBSURFACE UTILITY ENGINEERING SERVICES RFP NO.: 20-060 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 CustomerName: Caltrans District 7 Contact Individual: William Howard Address: 100 S Main Street Phone Number: 213.897.3017 Los Angeles, CA90012 FacsimileN„mber N/A ContmctAmount: $915,000 year: 2020 Description of supplies, e uipment, or services provided: Provided on -call potholing services for a variety of projects. Atotal of 57 task orders were Riverside County Flood Control District Customer Name: Contact Individual: Rudy Tabares Address: 1995 Market Street Phone Number 951.955.0087 Riverside, CA92501 Facsimile Number: N/A ContractAmount: $30,000 year: Ongoing Descri ton of supplies, e ui ment, or services provided: AZT�C performedg3�potholes to expose existing utilities to determine size, material of Reference Customer P Address: Contract Eastern Municipal Water District 2270 Trumble Road Individual: Cameron Valenzuela Perris, CA, 92570 Facsimile $21,025 951.928.3777 ext. 6107 2018 Description of supplies, equipment, or services provided: AZTEC performed 30 potholes to expose existing utilities to determine size, material of utility, depth, and actual location. THIS FORM MUST BE COMPf .RTF.D AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. �1 Scope of Services A. Data Collection: AZTEC will contact the utility owners within the boundaries of the assigned project. This contact will be to request and collect the available utility maps, plans, and as -built records for the areas indicated. The information will be collated and referenced for use in designating all requested facilities in the project area. B. Designating: AZTEC will designate all known utilities in the area required by the designer to the ASCE 38-02 Quality Level B where possible. This will be accomplished using various electronic locating equipment and the plans provided by the facility owners. These utilities will be marked using the color coding for the national 811 One Call system standards and further marked to indicate that these marks are for design purposes only with a pink dot at either end of each mark and a white slash in the center to ensure that the marks are not confused with an 811 response. C. Survey (Designating): Our team will provide survey to pick up the utility locations using GPS survey equipment and expressed to match the client's project survey datum. D. Mapping: The surveyed information gathered will be provided in the form of a computer aided drafting reference file using a format the City specifies. The utility reference file will include an ownership table, labels to indicate size, type and ownership of each utility line, labels to indicate the ASCE 38-02 Quality Level of any line not located to Level B, and a table indicating the source of quality level C or D information. E. Potholing: Our team will pothole all facilities determined by the design team to be in potential conflict with the project design. This excavation will be performed using a non-destructive method consisting of high-pressure air or water and vacuum extraction of spoils. Each hole will be restored using the appropriate standard materials and techniques as required by the permit grantee for the project. F. Survey (Potholing): Our team will provide survey to pick up the northing, easting, and elevation of each pothole location using the City's project survey datum. All this information will be signed and sealed by a Professional Land Surveyor. G. Reporting: The information gathered will be provided in the form of individual test hole reports accompanied by a summary of the data for the entire project. Each report will include an area map of the location of the holes, the size, type, and ownership of the facility and the holes coordinates and elevation at the surface, top and bottom of the facility. Project Schedule Utility Designating (ASCE Quality Levels 8, C, and D) AZTEC's designating team will begin all assigned tasks upon of receiving the notice to proceed. It is understood that being engaged in a job order contract assignments are expected to be smaller, have more demanding timelines and be under a certain budget level. Compressed schedules are always a challenge. AZTEC has a long and particularly good track record of meeting tough deadlines and the particular challenges each task order may present. The key to success is a systematic approach, not contributing to unnecessary delays and prompt action. The process for utility designating is dependent upon the cooperation of the facility owners. It is our approach to follow each company's mapping request procedure and after a reasonable time follow up to avoid delays. It is important to stay in contact with the utility companies as they have their own procedures and timelines. The time required for field work, survey and CADD to take us to final product is entirely dependent upon the size of the project and the number of utilities in the area. AZTEC's response time to each utility designating assignment is described below and illustrated in Figure 4: Typical Designating Assignment Flow Chart on the following page. Project Schedule Utility Potholing (ASCE 38-02 Quality Level A) AZTEC's experienced technical team has the ability to begin all assigned tasks within two working days of receiving the notice to proceed. AZTEC's response time to each assignment is described below and illustrated in Figure 5: Typical Potholing Assignment Flow Chart on the following page. Understanding that every assigned task is different, AZTEC will respond quickly to provide the information our client's need. We pride ourselves on enabling critical schedules to proceed without delay. Receive Project Limits 8 Survey Results of Investigation 1 Pick -Up Materials & NTP From City 5 Coordinate Barricades and Off -Duty Police 2 Contact 811 Center to Acquire a List of Utility Owners 7 Create a Reference File from the Survey Results 9 Layout Test Holes Schedule Crews Request Plans from Each Utility Owner 8 Check Results Using the AZTEC QAIQC Procedure $ Assess Traffic Control Situation Contact Inspector Dispatch Vacuum Excavation Units 1 Create Database Electronic File and QAIQC Accuracy 4 Collate and Organize Plans for Field Work E Deliver Final Product to City 4 Submit for Appropriate Permits 9 Dig Test Holes & Collect Data Measurements Restore Test Holes Forward Reports and Backup Materials to City ! 5 Perform Field Investigation Place USA Ticket Request Check Field Forms for Accuracy and Completeness Before Departing Site vi W W J U� 0• W W = yU LL 00 W Z as 0 U Subsurface Utility Engineering Spn cis &' RFP No. 20-060 _ _' . page 8 �t RZTEC TYPSAGroup 3 J a O a O w a w w LL Appendix ATTACHMENT 5-1: NON -COLLUSION AFFIDAVIT CERI3 ncAmNS NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any , breakdown thereof; or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non -collusion Affidavit BIDDERS are cautioned that making a false cation may subject the certifier to ca-iminal prosecution. Signed State of California \.J County of Or_ QVt Subscribed and sworn to (or affirmed) before me on this I day of 11 , 2019 by Ctalas Tc T-AZ . G i 114 proved to me on the basis of satisfactory evidence to be the person who appeared bef2re me. a HAIAN 0. SHAH COMM. #2243807 z �. Notary Public California a z Orange County 4bN�Z' MyCommpires Notary Public Seal A Xt q WO91 rgrt alias taplialtlirstitia� , wan 41 tat aaiq d ik idirisa 6 t4 60W a"tw, aWinh Asa +ed rat the tNMbW, Wiwi, a nM4 a trt dx�t, City of Santa Ana RFP 20-060 Page A5-1 Appendix ATTACHMENT 5-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm AZTEC Engineering Signed and Printed Name. 7' a�7 Carlos Title Vice President I Project Principal Date May 14, 2020 City of Santa Ana RFP 20-060 Page A5-2 Appendix ATTACHMENT 5-3: NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS 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 comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction 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 City of Santa Ana RFP 20-060 Page A5-3 by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened 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 aA the penalties imposed for a violation of the Chapter. EA Signed: � Title: Vice President I Project Principal Firm: AZTEC Engineering California, Inc. Date: May 14, 2020 City of Santa Ana RFP 20-060 Page A5-4 ART MEHLER Contract Manager BACKGROUND Art has been involved in utility designation and locating since 1985. His expertise is in designation, supervision, and quality control of proje collection from utility owners, project planning and s departments. He has worked in both technical and supervision/management positions for several firms in the utility designation industry. Since early 2002, Art has provided project management for SUE work performed by AZTEC. He has 35 years of experience in this field in the southwest region of the U.S. RELEVANT EXPERIENCE Eastern Municipal Water District -As-Needed Potholing and Design Services On -Call, Riverside and San Bernardino Counties, CA: SUE Contract Manager. AZTEC has performed 36 potholes on four task orders to expose existing utilities to determine size, material of utility, depth, and actual location. In addition, AZTEC assisted in the laying out of all potholes as well as utility designating to maximize efficiency of work while facilitating an operation that was completed on time and within budget. On -Call Consultant Services for Existing Utility Locating; Statewide, AZ (ADOT): SUE Contract Manager. AZTEC is providing SUE excavation, locating and utility designating services for the Arizona Department of Transportation. Under Art, AZTEC performed 80 projects statewide under this contract. Of these projects 38 were specific assignments to designate utilities to an ASCE Quality Level B. AZTEC was later given potholing requests based on the results. On -Call SUE Job Order Contract for 2003 to 2016; Phoenix, AZ (City of Phoenix): SUE Contract Manager responsible for providing subsurface utility excavation and locating services to the City of Phoenix on Job Order Contract (JOC) projects. Utility locating was done using high pressure air knife and vacuum extraction rigs. Over 2,500 test holes were dug to Level A quality by six crews. Test holes were dug in asphalt or concrete surfaced roadways, sidewalks, and in unsurfaced areas. Test holes were surveyed by AZTEC licensed surveyors when required. Utility location electronic files and hard copy sealed, and signed reports were submitted 98% of the time within the required seven days' time schedule. City & County of Denver Wastewater Management (CCD), Utility Locating On- Call Services; Denver, CO (CCD): SUE Contract Manager. This on -call agreement requires performance of utility records research, utility designating/locating, permitting, traffic control, and vacuum excavation throughout Denver County. Valley Metro Rail Transit Utility Marking forAz811 Response; Phoenix, AZ (Valley Connections): As the contract manager, Art is responsible for providing equipment, training, and personnel to Valley Metro to meet the state requirement to respond to the Az811 system requests. The team he has established provides horizontal marks to verify the locations of all Valley Metro Rail Transit facilities daily. These facilities AZTEC is responsible to protect include system power, communications, lighting, irrigation, storm drain, water, sanitary sewer, compressed air, and industrial waste pipelines. AZTEC receives between 25 and 50 individual requests each day for an average total of 825 each month. Requests are due within 2 days of receipt. AZTEC also responds to emergency calls after regular working ours. As a result of the service provided there have no damages to Valley Metro facilities to date. K GEORGE ENRIQUEZ Project Manager ACKGROUND George has 14 years of experience in the Subsurface Utility Engineering field and is AZTEC's SUE Project Manager for California. His expertise is in utility designation, task oversight quality submittals. This includes data collection from usury owners, project planning, and support for survey and CAD departments. George routinely coordinates with clients, schedules task execution, and manages multiple work orders. He has led several projects working with California clients including on -call contracts with Caltrans District 7 and the Eastern Municipal Water District. 'ELEVANT EXPERIENCE Caltrans Districts 7, 11, 12 - On -Call Project Management Services Utility Locating Contracts, Southern CA: George was the Project Manager for these multiple On -Call contracts. He was responsible for coordinating with the client utility lead and project engineer to set up, schedule, and complete various SUE functions. George was also responsible for coordinating with USA Dig Alert and having roadways redlined for existing utilities. Under these contracts, 1000 potholes have been coordinated and completed, allowing the project engineer to have the necessary information to include the PS&E package, and assists in minimizing, eliminating, and/or relocating utility facilities. Eastern Municipal Water District -As-Needed Potholing and Design Services On -Call, Riverside and San Bernardino Counties, CA: George is the Project Manager for this On -Call. He is responsible for overseeing the SUE services (potholing and designating). AZTEC has performed 36 potholes on two task orders to expose existing utilities to determine size, material of utility, depth, and actual location. In addition, AZTEC assisted in the laying out of all potholes as well as utility designating to maximize efficiency of work while facilitating an operation that was completed on time and within budget. Riverside County Transportation Commission - I-15 Express Lanes Design- Build, Riverside, CA: George is the SUE Lead for this design build. The Riverside County Transportation Commission (RCTC), in partnership with Caltrans, is investing approximately $455 million to improve I-15 between Cajalco Road and State Route 60 (SR-60). The project will add two tolled express lanes in each direction on I-15 between Cajalco Road and SR-60, a distance of approximately 15 miles. An enhanced project feature is that drivers will be able to access and exit the tolled facility at multiple locations, and the project continues RCTC's ongoing commitment to expand the express lanes network. George is in charge of and oversees all SUE work for this project. Orange County Transportation Authority - SUE Services for I-5 PS&E Segment 2 Widening Project, Mission Viejo, CA: George served as the Project Manager for this project. He was responsible for overseeing the SUE services. AZTEC performed 60 potholes as part of the I-5 PS&E Segment 2 Widening Project. Eight of these potholes were within the SCRRA Metrolink right of way. In addition, AZTEC assisted in the laying out of all potholes to maximize efficiency of work while facilitating an operation that was completed on time and within budget. SR91 HOV Widening Project Riverside; Riverside, CA: Project Manager. Responsible for coordinating all task orders with the client, including the utility lead and project engineer, to set up, schedule, and complete various subsurface utility engineering functions. Responsible for coordinating Dig Alert and having the roadways white lined for existing utilities. Under this contract, over 575 potholes were to be coordinated and completed, allowing the project engineer to have the necessary information to include in the PS&E package, and to assist in minimizing, eliminating, and/or relocating utility facilities. STEVE SLOCUM, PLS Survey Lead `BACKGROUND Mr. Slocum has 18 years of progressive surveying experience. He has worked on several significant projects, including recently serving as Port of Long Beach on -call services Project Manager. His project services include boundary and street monumentation, topographic data collection, HDS ground based Lidar (laser scanning) surveys, aerial control and validation surveys, grading and utility construction staking, control, and settlement and deformation monitoring verification. He is a former president of the Orange County Chapter of California Land Surveyors Association. RELEVANT EXPERIENCE On -Call Professional Civil Engineering Services Port of Long Beach; Long Beach, CA (Long Beach Port): Party Chief. Responsible for field surveys. Under an on -call, five-year contract, Steve provided a variety of design and engineering services. The primary task orders have included: Task order no. 1 - Pier D Water System Interconnect; Task order no. 2 - Pier C Sewer Abandonment Project; Task order no. 3 - Matson Terminal Berth 60 Pavement Condition Investigation; Task order no. 4 - Trailer Village PS&E; Task order no. 5 - Pier D Roadway Improvements; Task order no. 6 - Anaheim/ 1-710 Health and Safety Services; Task order no. 7 - Middle Harbor Pavement Analysis and Report; and Task order no. 8 - Interim Headquarters Tenant Improvements 4801 Airport Plaza Drive. Metro Gold Line Intermodal Parking Facilities and Enhancements; Arcadia, Duarte, Irwindale, and Azusa, CA (Metro Gold Line Foothills Construction Authority): Party Chief. Responsible for field surveys. Steve provided professional services for the Metro Gold Line Authority's Intermodal Parking Facilities and Enhancements Design -Build Project. The project involved six transit station sites, four of which will include the design of structured parking, located within the cities of Arcadia, Monrovia, Duarte, Irwindale and Azusa. Sewer Master Plan and Capital Improvement Program; Long Beach, CA (Port of Long Beach): Party Chief. Responsible for field surveys. Steve provided engineering services to the Port of Long Beach for its sewer master plan and capital improvement program within the Harbor District. Services included developing and analyzing a hydraulic model of the sewer system, updating the GIS, performing closed circuit television (CCTV) inspection of 24 miles of pipeline, performing a condition assessment of 449 manholes and 40 lift stations, performing a flow monitoring and inflow and infiltration (0) study, and preparing a sewer master plan and capital improvement program. Western Regional Trunk Sewer Rehabilitation; Orange County, CA (Orange County Sanitation District): Survey Manager. Responsible for land survey field crews. Steve provided engineering design services for the rehabilitation of four sewer reaches and one pump station in Anaheim, Long Beach, Seal Beach, Cypress, Buena Park, and Los Alamitos; a total of 84,000 linear feet of sewer line. I N T E R N A T 1 0 N A L ROBERT RAPPLEYEA CADD Technician Lead `BACKGROUND Robert has 20 years of experience in producing engineering drawings and CADD design. Mr. Rappleyea as a Designer was responsible for the grading and drainage/ earthwork calculations. He designed paving, water and sewer plans. He is a CADD Technician is a member of the CADD standard committee. He drafted all civil documents enduring accuracy and quality. He prepared the plan and profile for water, sewer and paving plans. He designed grading cross sections and details.Mr. Rappleyea completed construction noting for both phased and non -phased projects. RELEVANT E�oFp��nir� Caltrans District 7,11,12 - On -Call Project Management Servies Utility Locating Contracts, Southern CA: CADD Designer. Robert supported CADD designs for these on -call contracts. Chandler Boulevard and Kyrene Road Bike Lanes, Chandler, AZ ( City of Chandler): Robert was the lead designer for this project which required the modification of existing raised medians and landscaping to allow for the installation of bike lanes on both sides of the streets from the Loop 202 Freeway North to the Chandler City limits where the bike lanes tied into the existing bike lanes within the City of Tempe. The total project length was approximately 3 miles. T2050 Cave Creek Road 26th St/Angela Drive -Marco Polo Road (City of Phoenix): Robert was the senior designer for this project which addressed the existing infrastructure, lighting and landscape deficiencies along Cave Creek Road and Contention Mine Road such as filling in gaps in the roadway curb, gutter, sidewalk, addresseding non-ADA compliant sideway ramps and driveways. Traffic signal upgrades were installed at Grovers Avenue and Union Hill Drive intersections. Annual Engineering/Consulting Services Contract (2010-2011 & 2011-2012), Phoenix, AZ (City of Phoenix): Lead CADD Designer for the right-of-way and design services for the 1-17 to North Valley Parkway section of Sonoran Desert Drive. Responsibilities included estimating and documenting the full right-of-way acquisition area required from State Land. Design evaluation included roadway modeling, hydraulic evaluation of Skunk Creek and maintenance access requirements. In addition, full legal descriptions and exhibits for the affected State Land Parcels were prepared. Robert is providing CADD supportfor the second task assigned under this contract which includes providing services to complete the 64th Street connection from SR101 L to Mayo Boulevard. Responsibilities for this task include development of an interim embankment stockpile plan and updating the previously shelved 100% design plans based on the interim condition and current geotechnical investigations. Avenida Rio Salado/Broadway Road, Phoenix, AZ (City of Phoenix): CADD Design associated with this City of Phoenix project. Responsible for the preparation of the Enhanced Project Assessment and Environmental Documentation for the Avenida Rio Salado/ Broadway Road project located in Phoenix, Arizona. Appendix ATTACHMENT 2 FEESCHEDULE SUBSURFACE UTILITY ENGINEERING SERVICES RFP NO.: 20-060 Certification — I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Appendix: Attachment 1) and I am familiar with the scope of work. I am familiar with all the existing conditions and limitation that may affect work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposer Item Price —Pricing must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, fuel and taxes - Fee Proposal: In addition to Section IV.B.3 (Submittal Requirements: Fee Proposal) fee schedule shall be structured as follows: The fee proposal shall include the firm's standard hourly fee schedule, and/or proiect fee schedule where applicable and as outlined in this this documents. A list of all positions and hourly rates required to perform the services described herein. A more detailed scope of work will be provided when/if a specific proiect or Task Order proposal is requested of a consultant. Other Terms and Conditions: 1. The project will be implemented in compliance with the City of Santa Ana's policies, as well as Prevailing Wages and State/Federal Requirements. 2. The City regards the inclusion of California based designs, engineering, and construction professionals, facilities, and services as part of the Team to be highly desirable, but not mandatory. 3. The City reserves the right to amend this Request for Proposal by addendum prior to the final dates of submission. 4. All reports, proposals, or other data or materials, which are submitted, shall become the sole property of the City of Santa Ana with the exception of the confidential Financial Capacity information and fee proposals. 5. All products used or developed in the execution of any contract resulting from this request will remain in the public domain at the completion of this project. 6. The City has an affirmative action program. The purpose of the affirmative action program is to encourage certified minority business enterprises and women business enterprises. All submitting firms must have established affirmative action programs approvable by the City. During the REP stage all firms will need to complete a "Certification of Non -Discrimination by Contractors" for each firm on their team. The undersigned bidder agrees to furnish all labor, tools, material and supplies, and to sustain all expense incurred in doing the work for the items included herein and in accordance with the contract documents and engineering plans provided by the City. This schedule is used for comparison purposes only. All quantities are estimated and the City reserves the right to increase, reduce, or eliminate the contract quantities in any amount. Underground Utility Locating and Potholing Local Streets ITEM # BID ITEM QUANTITY (Each) UNIT PRICE TOTAL 1. Depth from 0' - 3' 400 $1,090.00 $436,000.00 2. Depth from >3'-6' 200 $1,115.00 $223,000.00 3. Depth from >6' 100 $1,165.00 $116,500.00 Arterial Streets ITEM # BID ITEM QUANTITY (Each) UNIT PRICE TOTAL 1. Depth from (0' - Y) 400 $1,090.00 $436,000.00 2. Depth from (>3' - 6') 200 $1,115.00 $223,000.00 3. Depth from (> 6') 100 $1,165.00 $116,500.00 ITEM # BID ITEM QUANTITY UNIT TOTAL (LF) PRICE Utility locating/designation/marking including all subsurface location services 1. required for underground utilities 20,000 $2.05 $41,000.00 The proposer shall complete and submit a total markup schedule. This schedule will be used for comparison purposes only. COMPANY NAME TITLE BILLING RATE Project Manager/Coordinator $142.45 Professional Surveyor- California $195.00 Traffic Control- Setup man $221.87 Truck/Machine- Operator $205.12 Pothole- Utility Serviceman $148.01 Traffic Control -Flagman $221.87 Utility Locator- Technician $156.91 CADD Technician $96.83 W.'_j 9� . ' 1�. r "' z�_ EXHIBIT 3 AGREEMENT TO PROVIDE SUBSURFACE UTILITY ENGINEERING SERVICES THIS ACTRF.FMF,NT is made and entered into this 15th day of September, 2020 by and between C Below, Inc. ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). Iti�INYlI�1I.9 A. On April 24, 2020, the City issued Request for Proposal No. 20-060, by which it sought qualified contractors to provide subsurface utility engineering services for the City's Public Works Agency. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 20-060. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terns and conditions hereinafter set forth, the parties agree as follows: I. SCOPE OF SERVICES On an as -needed basis, and at the City's sole discretion, Contractor shall perform the services described in the scope of work that was included in RFP No. 20-060 and that is attached as Exhibit A, and as further delineated in Contractor's proposal, which is attached as Exhibit B and incorporated in full. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under this Agreement. Contractor shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit C. Contractor is one of three contractors selected to provide services on an as -needed basis under RFP No. 20-060. The total compensation for services provided by all contractors selected under RFP No. 20-060 shall not exceed the shared aggregate amount of $750,000 during the term of this agreement, including any extension periods. b. Payment by City shall be made within forty-five (45) 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 and Scope of Work, which may reasonably be Page 1 of 8 25D-71 expected by City. This Agreement shall commence on the date first written above and terminate on September 14, 2023, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for one 2-year period upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, 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. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. 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. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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 Contractor under this Agreement ("Documents & Data"). Contractor 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. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor by the City. City shall not be limited in Page 2 of 8 25D-72 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. I1►`kYilTii:[�fl Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional 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 Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (e) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be cancelled Page 3 of S 25D-73 or reduced in coverage or changed in any other material aspect, by contractor, without thirty (30) days prior written notice to the City. (iv) Contractor shall supply City with a fully executed additional insured endorsement. f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor or its 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 Contractor 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 Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 4. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. Page 4 of 8 25D-74 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor 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 Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor 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. Contractor 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 Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. 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 Page 5 of S 25D-75 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Contractor: C Below, Inc. 14280 Euclid Ave Chino, CA 91710 Attn: Chris Loera 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 timeframes, weekends, federal, state, County or City holidays shall be excluded. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor 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. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Page 6 of 8 25D-76 Agreement performed by City personnel or by other contractors retained by City. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of term ination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, relation, 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 in connection with any activities under this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 19. 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. 20. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, Page 7 of 8 25D-77 permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney -f.�&— A51m M. Funk Assistant City Attorney 114DIlIIL5101D1►117Di7all] 7T Nabil Saba Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager KII►YYR .Mft01Rl Name: Chrlskbprla Title: CEO Page 8 of 8 25D-78 EXHIBIT Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SUBSURFACE UTILITY ENGINEERING SERVICES RFP NO.: 20-060 Introduction and Background: The City of Santa Ana ("Santa Ana" or "City") is the county seat and the second most populous city in Orange County, California, with over 343,000 residents. It is the 57`h most -populous city in the United States. Santa Ana is located in Southern California, adjacent to the Santa Ana River, about 10 miles away from the California coast. Founded in 1869, the City is part of the Greater Los Angeles Area, the second largest metropolitan area in the United States with almost 18 million residents in 2010. The City of Santa Ana Public Works Agency (PWA) is soliciting proposals for Subsurface Utility Engineering (SUE) Services. These tasks include location and identification of underground utilities in the planning, design, pre -construction, and construction phases. These services are on - call and on an as -needed basis. This request for proposal (REP) provides interested qualified firms with the information enabling them to submit a Service Bid Proposal and to provide the services described herein. Description of Work: On as needed basis, the selected firm/s shall provide the City with the following services as described herein. Underground Utility Locating: Determine the precise horizontal and vertical position, size, condition, material, utility owner/s name and other characteristics of underground utilities using vacuum excavation and or other comparable means. • Obtain and review plans provided by the City showing areas requiring locating (test boreholes) sites as identified by the plans. • Excavate using a method to enable vertical and horizontal exploration and locating means. • Furnish and install permanent above ground marker and color code for each of the utilities (i.e., P.K. nail, peg, steel pin, or hub) directly above the centerline of the structure and record the elevation of the marker along with all the characteristics of the utility. • All horizontal and vertical data shall meet survey standards in accordance and as detailed by the Engineer • Provide the following as part of the borehole test information: a. Elevation top and bottom of the utility tied to the datum and or furnished information by the Engineer. The accuracy of the vertical elevation shall be within (+/- ,1 ft). b. Elevation of the existing grade over the utility test borehole and the pavement and backfill City of Santa Ana RFP 20-060 Page Al-1 25D-79 material c. Horizontal location referenced to the provided datum and or as requested by the Engineer d. Obtain pipe, duct bank, encasement, and multi- conduit configuration width (outside diameter) e. Provide utility structure material composition and condition f. Identify benchmarks used to determine elevations and include it as part of the final deliverable report. g. Identify and provide pavement thickness, material and condition and soil type characteristics. • All completed reports shall be certified to be correct and signed by a professional land surveyor registered in California. (Only if required by the Engineer). Work under this category will be paid on hourly basis. • Backfiil all test holes shall be backfilled with in -kind material and compact to a relative compaction of 90%. • Boreholes greater than 2111 shall be paved and match existing pavement thickness section unless stated otherwise and or approved by the Engineer. • Clean and sweep work site at the end of the work day. • Provide additional surveying, and underground utility mapping services at an hourly rate General Requirements and Project Deliverables: • All work for this work for traffic control shall be done in accordance with the Federal Highway Administration's Manual (MUTCD) • The selected fouls shall obtain all necessary permits from the City and local jurisdiction prior to commencing any of the work in Public Right of Way. • Any work required on private property shall be authorized by the Engineer prior to commencement of work. • All work shall be done in accordance with ASCE Standard 38-02; Standard Guideline for the collection and depiction of the existing subsurface utility data. • The firmis shall secure all permits to work in the City. These fees are not reimbursable. • All work shall be performed to the specific project and or location as detailed in the notice to proceed and indicated by the Engineer. • All reports and technical memoranda shall be submitted electronically to City and shall include all the information as required and detailed in the notice to proceed. All Computer Aided Drafting Design (CADD) work shall be submitted on electronic format (Microstation). In addition, a hard copy of the project findings and a digital file in Microstation shall be submitted to the engineer for review before final approval and final payment is authorized. A list of positions and hourly rates shall be included as part of the proposal and included in the seal bid package. See Attachment 4 — ADDITIONAL PROVISIONS for a sample breakdown. The consulting firmis are responsible for any damage to utilities during the locating efforts. Consultant Responsibilities: City of Santa Ana RFP 20-060 Pa e 2 296-80 Consultant Audit and Review Process: Prior to awarding the contract, the selected Consultant shall be subject to an audit or review by Caltrans' Audits and Investigations (A&I), other state audit organizations, or the federal government. The selected Consultant shall complete Exhibit I0-K — Consultant Certification Contract Costs and Financial, in the Appendix of this RFP as Attachment 4. Time is of the essence and work shal l commence within 5 days ofthe Notice to Proceed for planned underground utility locating services. The consultant shall be available to provide on -call services within 24-hours for unplanned utility locating services. City Resnansibifities: The City will provide information in its possession relevant to the preparation of the required information in the RFP. The City will provide only the staff assistance and the documentation specifically in referred to herein. City of Santa Ana RFP 20-060 Page 3 26D-81 GPR ' Mapping Potholing Utility Locating CCTV Pipe Inspection SUBSURFACE IMAGING .-. 1-888-90-BELOW 14280 Euclid Ave. China, CA 91710 CL# 959964 25D-82 BELOW SUBSURFACE IMAGING May 13, 2020 City of Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92701 Attn.: Rudy Roses 714-647-3379 rrosas@santa-ana.org Subject: Proposal for Proposal No. 20-060 Subsurface Utility Engineering Services Dear Mr. Rosas, 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE 1.A COVER LETTER C Below appreciates the opportunity to submit our qualifications to the City of Santa Ana for Utility Locating in response to the Request for Proposal for the On -Call Subsurface Utility Engineering Services. Our objective is to support the City with qualified Utility Locators and to ensure that the City's projects required surveying and locating needs are met. C Below has a legacy of successfully providing Utility Locating and Mapping to many public entities and private sectors developers throughout the Southern California region. We serve customers in San Bernardino, Orange, Riverside, LosAngeles, Ventura and San Diego counties. C Below currently has on -call contracts with several Southern California cities including the City of Corona Department of Water and Power and Public Works. After a detailed review of the RFP issued on Thursday April 24, 2020, C Below is confident we have the qualified personnel and resources necessary to accomplish the required services an that you will be pleased with our professional approach, project experience and desire to provide a cost effective service. RFP No. 2M60 Subsurface Utility Engineering Services w .cbelow.com Page 1 25D-83 BELOW �J SUBSURFACE IMAGING 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE 1.121 AGREEMENT STATEMENT We look forward to supporting the City of Santa Ana on this on -call opportunity. Should you have any questions during the proposal evaluation period, feel free to contact: Nick Loera Vice President of Sales and Marketing 14280 Euclid Avenue Chino, CA91710 Main: (888) 902-3569 Ext. 210 Cell: (310) 749-9351 NickL@cbelow.com This proposal shall remain valid for a period of not less than 120 days for the date of this submittal. C Below will not be using any sub consultants. Mr. Chris Loera, CEO and Ashley Salvino, VP of Operations are authorized to bind C Below, Inc. to the terms of this proposal and agree to the standard agreement in the Appendix of the RFR %Respectfully Submitted, ly V uc� �6�Jla C Below, Inc. Chris Loera CEO 888-902-3569 Ext. 501 Christ@cbelow.com REP No. 20-050 Subsurface Utility Engineering Services w .cbelow.conn Page 2 25D-84 v BELOW SUBSURFACE IMAGING 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE 1.0 FIRM & TEAM EXPERIENCE C Below offers professional locating and mapping services throughout Southern California. Our highly experienced technicians utilize the most advanced equipment in the industry. We locate horizontal and vertical locations of underground utilities including Water, Gas, Power, Waste Communications, and Cable TV. Many different methods include GPR (Ground Penetrating Radar) , CCTV Pipe Inspection, Utility Locators, electromagnetic locators, and Potholing. Accurate information is vital in planning and can prevent costly delays from damages caused by cutting, coring, drilling, or digging in areas congested by unseen hazards in concrete, masonry, and underground. Information can be provided in the form of a pull box or electrical reports, potholing reports, underground mapping, 3D modeling, CAD drawings or simply marking surfaces. C Below has been in the utility locating business for 11 years; since 2009, and employs the most experienced technicians in the industry, some with over ten years of experience. With our corporate office located at 14280 Euclid Avenue, Chino, CA 91710 and our Operations yard in Eastvale we can mobilize quickly throughout the City of Santa Ana. C Below currently has fifty-five employees, including thirty-five technicians, the sales department, a Project Engineer, a Licensed Surveyor and a CAD technician. C Below's Chief Executive Officer, Chris Loera, maintains a hands-on approach by researching and acquiring equipment that utilizes the most accurate technology available in the industry. He attends Industry Workshops and meets with equipment manufacturers to stay up to speed on new technology and software applications. Through our years of experience, C Below has been able to troubleshoot hard to find lines and provide locating solutions to utilities considered "un-locatable" by other companies. We have performed Utility Investigations with multiple City's on an On -Call basis. REP No. 20-060 Subsurface Utility Engineering Services www.cbelow.conn Page 3 Lon 25D-85 BELOW SUBSURFACE IMAGING 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW isM- lilCx-iEMA 1.0 FIRM & TEAM EXPERIENCE Subsurface Utility Engineering Services TProjectanagers Jerry Newman - Utility Locating Cole Kurimay - Utility Potholing F"Technicians" Locating/Potholing 35 + RFP No. 20-060 Subsurface Utility Engineering Services w ,cbelow.com Page 4 Lon 25D-86 BELOW SUBSURFACE IMAGING CHRIS LOERA PROJECT MANAGER/CHIEF EXECUTIVE OPFICFR YEARS OF EXPERIENC'.E 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE 1.0 FIRM & TEAM EXPERIENCE Chris Loera has over 16 years of experience in the construction industry. He maintains a hands-on approach by researching and attending industry workshops. He meets with the equipment manufactures to stay up to speed on the new technologies available. He plans, organizes, directs and controls the activities of the Operations function of the division. Responsible for the performance of all Departments including Research and Development, Material Management, Order Services, Engineering and Surveying. CITY OF CORONA DEPARTMENT OF WATER AND POWER CORONA, CA ROLE: CHIEF OPERATING OFFICER/ PROJECT MANAGER Since 2014 C Below has had an on -call contract with the City of Corona to provide utility locating, mapping, and potholing services. Mr. Loera supervises all operations to ensure the projects are scheduled in a timely manner and the client receives the information needed. 16 PORT OF LONG REACH ON -CALL ROLE: CHIEF OPERATING OFFICER/ PROJECT MANAGER Supervised all operations to assure they were conducted and EDUCATION completed as directed by the POLE. Services included: Utility locating East LA Skills Center- Construction via GPR, Electromagnetic locating, ram rod locating, potholing via Inspection vacuum excavation, and Surveying/CAD work, CCTV Pipe Inspection. REGISTRATIONS/ CERTIFICATIONS LADWP PIPELINE PROJECTS LOS ANGELES, CA Ground Penetrating Radar Technician ROLE: CHIEF OPERATING OFFICER/ PROJECT MANAGER C Below has completed well over twenty projects for the Los Angeles I. evel III Department of Water and Power, Mr. Loera oversees all operations of Technician Locator Level III utility investigation and potholing. Most of the sites involve utility mark out and mapping of over 5,000 linear feet from curb to curb. Services included: utility locating via GPR and Electromagnetic locating, site PROGRAM MANAGIFMENI" surveying, and CAD work, coordination with the client is key in orderto Auto CAD 201 D-2013 schedule the work at the most appropriate time due to high traffic Auto CAD volume. Careful planning ahead of time and communicating with Operations and Dispatch allows for successfully completing the Civil 3D projects on schedule. Solid Works 31) Micro Station ORANGE COUNTY PUBLIC WORKS SANTA ANA, CA ROLE: CHIEF OPERATING OFFICER/ PROJECT MANAGER InRoads Suite C Below currently has a Master Service Agreement with Orange Service CEO County Public Works, this helps streamline the process from request of quote to scheduling, Mr. Loera supervises all operations to ensure they are conducted as directed by OCPW. Services include: utility locating via electromagnetic locating, GPR, ram rod locating, and potholing via vacuum excavation. RFP No. 20-060 Subsurface Utility Engineering Services www.cbelow.com Page 5 25D-87 v /0 BELOW SUBSURFACE IMAGING HECTOR VARGAS PROJECT MANAGER YEARS OF EXPERIENCE 7 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW 1.0 FIRM & TEM EXPERIENCE Mr. Vargas has over 10 years of experience in the construction industry 7 of which he has dedicated to the utility locating industry. He has worked as a sales representative, a project manager and a lead supervisor. These different roles have given him a well-rounded knowledge of the industry from project inception to project completion. He can step in and help our Lead Surveyor and Field Manager with daily requests and large project needs. He oversees the coordination of all office and field efforts within the project limits to ensure the highest standards for utility location accuracy. SR-55 WIDENING PROJECT ROLE: PROJECT MANAGER Oversaw all field efforts when performing the 155 potholes. Responsible for coordinating with the client and the technicians. Managingthe project budget, pulling permits, and reviewing technician findings. Completed 2019 PLACENTIA SEWER RELOCATION POTHOLING REGISRATIONSf CERTIFICATIONS ROLE: PROJECT MANAGER Ground Penetrating Radar Technician Oversaw all field efforts, responsible for coordinating with the client Level III and the technicians. Managing the project budget, pulling necessary Utility Locator Technician Level III permits, and reviewingthe findings priortosending outthe final report to the client. Completed 2018 489 E. ST LATERAL LOCATE AND MANHOLE DIPS ROLE: PROJECT MANAGER Oversaw all field operations, including coordinating with the client and the technicians, managing the project budget, and reviewing the technicians daily report. Completed 2018 JEFFREY POTHOLING INVESTIGATION ROLE: PROJECT MANAGER C Below performed 57 potholes and Mr. Vargas was responsible for overseeing all permitting, traffic control, and communicating with the client and technicians. Completed 2018 SAN CARLOS STREET SEWER POTHOLING ROLE: PROJECT MANAGER Oversaw all field operations including coordinating with the client and technicians, pulling permits, and reviewing the teens final report. Completed 2018 REP No. 20-060 Subsurface Utility Engineering Services wwwcbelow.com Page 6 r :: v BELOW SUBSURFACE IMAGING 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE inRIilj,i71f&Af:T.Is] I. e . 9 C Below understands that the City of Santa Ana is based on an On -Call basis and each job will have different job specifics. A) Aooroach C Below will perform Utility Locating services using Ground Penetrating Radar as well as electromagnetic locators. All GPR scanning will be performed at locations delineated by the City. Utility Locating will be performed only at locations delineated in accordance with the Common Ground Alliance (CGA) Best Practices. All indications located during the GPR scanning will be marked directly on the scanning surface using methods recorded on the technicians report. Indications found during the Utility Locating will be marked directly on the scanning surface utilizing the American Public Works Association (APWA) Uniform Color Code. B Tasks The C Below Project Manager will attend the Pre -Construction meetings to establish and understand the following: • Points of contact; • Site access and safety protocols • Distribution of Daily Reports/ Results, etc. C Below has a designated Dispatcher and she electronically sends out job assignments to the technicians. The job assignment contains all pertinent information for the project including; location, contacts, arrival times and the scope of work. All field technicians are equipped with smart phones in the field. Each day the technicians generate an electronic report. The daily report includes a detailed account of work performed, hours on -site and locating methods performed. The reports are electronically signed on the project site by the technician and a client representative (if available). The reports are then immediately available for e-mail distribution to the client. Additionally all surveying is performed in-house by a licensed Surveyor. Reports and drawings are provided by our Lead Drafter who has the Quality Control checked first by the field technicians that performed the work and than sent directly to the client. Having our services "in -House" streamlines the investigation and allows us to determine ways to reduce the overall projects by finding more efficient methods to locate line once we arrive on site. RFP No. 20-060 Subsurface Utility Engineering Services www.cbelow.com Page 7 LIM 25D-89 C 14280 Euclid Ave Chino, CA 91710 BELOW 1-888-90-BELOW SUBSURFACE IMAGING Certified SBE Client: Los Angeles Department Arbor Vitae Utility Investigation of water and Power Los Angeles, CA Contact: Jesus Gonzalez (213) 367-1218 Project Scope: C Below was contracted by LADWP to clear and mark Project Duration: out existing utility for multiple utility upgrade alignments in the road. Our December 2018-July 2019 crews worked on the street, performing their own Traffic Control, during Contract value: rush hour traffic and weekends to complete our investigation and to ac- $ 184,552.59 commodate the cities' traffic congestion.0 Below performed over 8,000 Key Personnel: linear feet of utility locating from curb to curb,and 40 potholes to con- Chris Loera firm the locaiton and depth of the lines. C Below's final reporting was sent to our client in the form of a CAD file and a detailed pothole report. City of Corona On -Call As Needed Utility Locating and Vacuum Client: Excavation City of Corona Department of Public Corona, CA Works Contact Mauro Casas Project Scope: (951) 903-9336 C Below has a current three year contract with the City of Corona that Project Duration: zoos- Present began in August of 2009 and has since been renewed. C Below provides Combined Contract Utility Locating Potholing services to the City of Corona on private property Value: and in the public right of way. Potholing has been done to visually verify NTE $500,000.00 the marking of utility lines located by C Below and Dig Alert. The public Key Personnel: street work has often been conducted at night and most times requires Chris Loera Traffic Control. C Below has worked on many difficult projects for the City of Corona that required us to Pothole locations in the middle of streets with very heavy traffic. RFP No. 20-060 Subsurface Utility Engineering Services page 8 25D-90 Irp BELOW SUBSURFACE IMAGING Port of Los Angeles Los Angeles, CA 90731 Project Scope: 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE C Below was hired to perform a massive 228 acre, (combined) Utility Investigation and Mapping effort at the Port of Los Angeles over the course of five months. The project included CCTV Video Pipe Inspections of all sewer and storm drain lines to record the pipes current conditions and exact locations. Over 250 potholes were performed across the Port to visuallyverify all other existing utilities' horizontal and vertical specifications. Additionally, by special request, a detailed analysis of all electrical and communication vaults was completed to verify duct bank configurations across the entire site. The final Deliverable of the acquired utility details was provided in 3D model created for the Port of Los Angeles. The model incorporates all current subsurface site details and is being used as a reference for all new Port Construction projects. Client: C.A. Rasmussen Sukut Construction Griffith Company Shimmick Construction Contact: Steven Reiser Project Manager (714)460-1083 Project Duration: Jan 2014- May 2014 Combined Contract Value: $300,000.00 Key Personnel: Chris Loera RFP No. 20-060 Subsurface Utility Engineering Services *0 25D-91 C u BELOW SUBSURFACE IMAGING Appendix ATTACHMENT REFERENCES 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE 1.F REFERENCES SURSURFACE UTILITY ENGINEERING SERVICES RFP NO.: 20-060 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. Attaoh additional oases if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Customer Name- City of Corona Dept. of Water and Power Contact Individual MauroCases Address: 755 Public Safety Way Phone Number: 951-903-9336 Corona, CA 92880 Facsimile Number: Contract Amount: NTE $500.000,00 Year 2020 Description of supplies, equipment, or services provided. Utility Locating, Mapping, and Potholing Reference CUsurmcr Name: Orange County Public Works Contact Individual: Elsa Ramirez Address: 601 N Ross Street Phone Nunber: 714-647-3916 Santa Ana, CA 92703 F csimile Nuir l:f. Contract AmnunV NTE $600,000.00 Year: 2020 Description oFsupplies, equipment, or services provided. Utility Locating, Mapping CCTV, and Potholing Reference Customer Name Angeles Department of Water and Povfe�nlac[ Individual; Jesus Gonzalez Address: 111 N, Hope Street Phone Number: 213-367-1218 Los Angles, CA 90012 Facsimile Number:. Contract Amount.$184,552.59 year: 2019 Description of supplies, equipment, or services provided: THIS FORM Mn<T RF('(!MPl.ETF.n AND FNf I.ITDFII WI'ii Fl TFIF PRDPfICAF- PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL RE CONSIDERED NONRESPONSIVE. RFP No. 20-060 Subsurface Utility Engineering Services tiw✓w.cbelow.com Page 10 LIM 25D-92 BELOW ''- SUBSURFACE IMAGING 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE FA�'I•i01 4F3ki11�143:I:411FM C Below is proactive about budget and schedule control. We propose to provide Utility Locating, Ground Penetrating Radar and Mapping services in accordance with the attached estimated hourly breakdown. All of the services mentioned in this proposal will be provided by an experienced C Below technician. While we do not control the project schedule, C Below can assure the City that our personnel hours can be flexible and our Locating and Mapping services will not hinderthe project schedule. In order to provide the best quality service, all projects are managed by a dedicated account team. A Business Development Manager (BDM) is assigned to all accounts to provide estimates, project budget monitoring, and additional client support. A Project Manager (PM) is also assigned to each project to direct field personnel and sure completeness/accuracy of all the work. The PM collects all pertinent reports, as-builts and any other existing documents for our field personnel to use as part of their investigation. The PM also sets and monitors the project schedule and assists in all progress and review of all deliverables. C Below will provide a full service utility investigation to determine an accurate horizontal location to top of the pipe/cable/conduit, and size of the pipe for all utilities within the City Limits if needed. C Below will utilize several technologies prior to potholing services to help determine the location of the lines prior to digging. Utilizing locating equipment with Electromagnetic locators, GPR, etc has proved to be a cost effective strategy that can save our client time and money on every project. Locating the underground lines ensure the accuracy when potholing, and can eliminate " Dry Holes." Which is an area where the potholing contractor began digging and was unable to find the utility. At the completion of the locating investigation and added our findings to a CAD drawing, C below will deploy our Vacuum Excavation trucks to begin Potholing. Vacuum Excavation or Potholing is the practice to expose an underground utility for the purpose of identifying it positive horizontal and vertical location. You can also identify the material and utility size. Based on soil conditions or the scope of the project, C Below will choose to use air or water to create the pothole. Once the utility is exposed and documented the hole is filled and an appropriate patch is put in- place, restoring the surface to the County Standards outlined in the RFP. In the appendix is a Sample report of our CAD drawing and Pothole Reports for reference. RFP No. 20-060 Subsurface Utility Engineering Services w .cbelmcom Page 11 2501-93 BELOW \u SUBSURFACE IMAGING Appendix ATTACHMENT 5-1; NON -COLLUSION NON -COLLUSION AFFIDAVIT ('Iltte23 United States Code Section I t2and Public Contact Code Section 7106) 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE 4X CERTIFICATIONS To the CITY OF SANfA AN,A DEPAR-1'MEN'F OF Pt AIIAC 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 an behalf of, any undisclosed person, partnership, company, association, organization, w corporation; that the bid is Violas and not collusive or sham; that the BIDDER has not directly er odimctly induced to solicited airy other BIDDRR to put in a false or sham bid, and has not directly or hldimedy colluded, conspired, connived or agreed with any BIDDER. or anyone else to put in it sham bid, or that anyone shall refrain from bidding; that the BIDDER has not In any manner, directly or indiroctly, sought by agreement, communication. or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or io E. any overhead, profit or cost element of the bid price, or of that of any other BIDDER, or to secure any adwntage against the public body awarding the contract of anyone interested in the proposed contract; that all shipments contained in the bid arc muc; and, (umber, that the R1DDF.R her not, directly or indirectly, submitted his or her bid (Rice or any breakdown thereof, or the contains thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to my contomtion, partnerhip, company association, organuattion, bid depository, or to any nremher or agent thercoNa effectuate a uotlusn,v or sham bid. Note: The above Nun -collusion Affidavit is pact of the Proposal. Signing this Proposat on the signature portion thereof shall also constitute signature of this Non -collusion Affidavit BIDDERS are cautioned that mnkinga false oerliBeaQon may subject the card Fier to criminal prosecution. Signed State ofCalifonda County of�tan (hPfnea-drrap lt'c-bed and &wore to (or affirmed) befam me on this Alin day of _ 2f X) by L I proved to me on the basis of satisfactory eridenec to be the perms 1 whu apprarc l Ixdbra m LINGSEY ME SMIt ^ C6YY.�!!!10lS a, aim _ cow.rwr.rxaPw UI '1tydtlL pith i -no. Notary Public Seal City of Santa Ana RFP 20-060 Page A5-i RFP No. 20-060 Subsurface Utility Engineering Services www.cbelow.com Page 12 *0 25D-94 rp BELOW SUBSURFACE IMAGING 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE 4. CERTIFICATES Appendix ATTACHMENT 5-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: L 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 ofany 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 my federal contract, the making of my federal grant, the making of my 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 my 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 tact upon which reliance was placed when this transaction was made or entered into. Submission of this certification Is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of -not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Finn Signed and Printed Name: Title CEO Date Chris Loera City of Santa Ana RFP 20-060 Page A5-2 RFP No. 20-060 Subsurface Utility Engineering Services www.cbelow.com Page 13 25D-95 BELOW SUBSURFACE IMAGING 14280 Euclid Ave Chino, CA 91710 1-888-90-BELOW Certified SBE 4. CERTIFICATES by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 Order 11246 of September 24, 1965, so that such provisions will be binding upon each or purchase order as the administering agency may direct as means of enforcing suct including sanctions for noncompliance; provided, however, that in the event the Consult involved in, or is threatened with, litigation with a sub -consultant or vendor as a re direction by the administering agency, the Consultant may request that the United Stat such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. I amended, No discrimination shall be made in the employment of persons upon public works beca religious creed, color, national origin, ancestry, physical handicaps, mental condition, mari sex of such persons, except as provided in Section 1420, and any consultant of public wo this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: A.4. Title: CEO Firm: C Below, Inc. Date: 5/13/2020 RFP No. 20-060 Subsurface Utility Engineering Services www.cbelow.com Page 14 *0 25D-96 :XH 1BET_C Appendix ATTACHMENT FEESCHEDULE SUBSURFACE UTILITY ENGINEERING SERVICES REP NO.: 20-060 Certification — I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Appendix: Attachment 1) and I am familiar with the scope of work. I am familiar with all the existing conditions and limitation that may affect work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposer Item Price — Pricing must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, fuel and taxes: Fee Proposal: In addition to Section IV.B.3 (Submittal Requirements: Fee Proposal) fee schedule shall be structured as follows: The fee proposal shall include the firm's standard hourly fee schedule, and/or proiect fee schedule where applicable and as outlined in this this documents. A list of all positions and hourly rates required to perform the services described herein. A more detailed scope of work will _be provided when/if a specific proiect or Task Order proposal is requested of a consultant. Other Terms and Conditions: 1. The project will be implemented in compliance with the City of Santa Ana's policies, as well as Prevailing Wages and State/Federal Requirements. 2. The City regards the inclusion of California based designs, engineering, and construction professionals, facilities, and services as part of the Team to be highly desirable, but not mandatory. 3. The City reserves the right to amend this Request for Proposal by addendum prior to the final dates of submission. 4. All reports, proposals, or other data or materials, which are submitted, shall become the sole property of the City of Santa Ana with the exception of the confidential Financial Capacity information and fee proposals. 5. All products used or developed in the execution of any contract resulting from this request will remain in the public domain at the completion of this project. City of Santa Ana RFP 20-060 Page A2-1 25D-97 6. The City has an affirmative action program. The purpose of the affirmative action program is to encourage certified minority business enterprises and women business enterprises. All submitting firms must have established affirmative action programs approvable by the City. During the RFP stage, all firms will need to complete a "Certification of Non -Discrimination by Contractors" for each firm on their team. The undersigned bidder agrees to furnish all labor, tools, material and supplies, and to sustain all expense incurred in doing the work for the items included herein and in accordance with the contract documents and engineering plans provided by the City. This schedule is used for comparison purposes only. All quantities are estimated and the City reserves the right to increase, reduce, or eliminate the contract quantities in any amount. Underground Utility Locating and Potholing, Local Streets I"fEM # BID ITEM QUANTITY (Each) UNIT PRICE TOTAL l , Depth from 0' - 3' 400 $ 729 $ 291,600.00 2. Depth from >!Y - 6' 200 $ 734 $ 146,800.00 3. Depth from > 6' 100 $ 787 $ 78,700.00 Arterial Streets ITEM # BID ITEM QUANTITY (Each) UNIT PRICE TOTAL 1. Depth from 0' - 3' 400 $ 729 $ 291,600.00 2. Depth from >!Y - 6' 200 $ 734 $ 146,800.00 3. Depth from > 6' 100 $ 787 $ 78,700.00 ITEM # BID ITEM QUANTITY UNIT TOTAL (LF) PRICE Utility locating/designation/marking including all subsurface location services 1, required for underground utilities 20,000 $ 2,715.00 $ 54,300.00 City of Santa Ana RFP 20-060 Page A2-2 25D-98 The proposer shall complete and submit a total markup schedule. This schedule will be used for comparison purposes only. COMPANY NAME TITLE BILLING RATE Project Manager/Coordinator $ 95.00 Professional Surveyor- California $ 215.00 Traffic Control- Setup man $ 950.00 Truck/Machine- Operator $ NIA Pothole- Utility Serviceman $ 215.00 Traffic Control -Flagman $ 110.00 Utility Locator- Technician $ 180.00 CADD Technician $ 95.00 City of Santa Ana RFP 20-060 Page A2-3 25D-99 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPROVE QUITCLAIM OF ACCESS EASEMENT AT 1102 NORTH KING STREET, APN 405-214-04 (GENERAL FUND) /s/ Kristine CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER RECOMMENDED ACTION Authorize the City Manager to execute a quitclaim deed relinquishing the City's interest in an access easement at 1102 North King Street to Ana Mesa Investment Group, LLC, a California Limited Liability Company. DISCUSSION On September 18, 2018, the City Council approved Tentative Tract Map 2018-03 and Variance No. 2018-08 at 1102 North King Street to allow subdivision of a single parcel into five single-family residential lots. According to a title report submitted by the project developer, the City owns a 10- foot wide access easement within the property. To accommodate the project, the property owner, Ana Mesa Investment Group, LLC, wishes to remove the easement in order for the property title to be clear and a new development to move forward. The applicant is requesting the City quitclaim the easement, which effectively relinquishes the City's rights over the private property to allow for the housing development to proceed (Exhibit 1). The 10-foot wide easement, about 300 feet in length, was created in 1957 prior to the existence of Fairview Street to allow a landlocked parcel access to King Street through the property at 1102 North King Street (Exhibit 2). With the creation of Fairview Street (Exhibit 3) in the early 1960s, the easement was no longer necessary for its original purpose and quitclaimed to the City. The easement received by the City did not include public use rights. Consistent with previous practice, the City can relinquish its rights to this easement through a quitclaim deed. In reviewing historical aerial photographs and recorded street improvement drawings, it is apparent that the original pathway providing access to the formerly landlocked parcels was not used after Fairview Street was completed in the 1960s. The Fairview Street project installed a fence,later replaced by a block wall, along the eastern right-of-way, precluding use of the former path. Aerial photographs beginning in 1970 show the path increasingly being overtaken by vegetation indicating a lack of use. Therefore, the City has no present, nor prospective use for the subject easement. The City received an opinion of value of $2,900 for the easement to be quitclaimed. 30A-1 Quitclaim of Access Easement September 15, 2020 Page 2 The new five -unit single-family residential subdivision site is on a 1.0-acre lot. The development will take access from King Street through a new private street as shown on previously approved Tentative Tract Map 2018-03. FISCAL IMPACT Proceeds in the amount of $2,900 from the quitclaim of the easement at 1102 North King Street will be deposited into the General Fund, Public Works, Sale of Land revenue account (No. 01117002-57071). Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Exhibit(s): 1. Quitclaim of Easement 2. Depiction of Easement 3. Depiction of Fairview Street 30A-2 When recorded, please mail this Instrument to: Clerk of the Council City of Santa Ana 20 Civic Center Plaza, M-30 Santa Ana, California 92701 Free recording requested by The City of Santa Ana per Government Code Section 6103. 27383. SPACE ABOVE THIS LINE FOR RECORDER'S USE Cancel Approved AS TO Approved By Description Description A.P. Number RNV Map Number Project Taves Form BY Atty, Director Written BY Checked-O. K. 1 Number HTN AC 405-214-04 NW 247 QUITCLAIM DEED (EASEMENT) FOR VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, THE CITY OF SANTA ANA, a Charter City and Municipal Corporation of the State of California Does Hereby Remise, Release, and Forever Quitclaim to: Ana Mesa Investment Group, LLC, a California Limited Liability Company ALL RIGHTS, TITLE AND INTEREST in and to the real property in the City of Santa Ana, County of Orange, State of California, described in Exhibit "A" attached hereto and by this reference made a part hereof, and as shown on Exhibit "B", attached hereto for reference. 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. Dated: } STATE OF CALIFORNIA }SS. COUNTY OF } On personally appeared before me, For: The City of Santa Ana who proved to me on the basis of satisfactory evidence to be the persons) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the persons) or entity upon which the persons) acted, executed the instrument. By: Kristine Ridge City Manager, City of Santa Ana By: Daisy Gomez Clerk of the Council 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. (This area for official notarial seal) Deed No. 8772 TV m c Y EIjkT31 EXHIBIT "A" LEGAL DESCRIPTION QUITCLAIM OF EASEMENT FOR TRANSPORTATION BY VEHICLES AND ON FOOT, INCLUDING TRANSPORTATION OF LARGE AND HEAVY TRACTOR EQUIPMENTOVERTHAT PORTION OF LOT OF LANDS OF S. H. FINLEY, PER QUIT CLAIM DEED RECORDED IN BOOK 6458, PAGE 37, OFFICIAL RECORDS IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA A STRIP OF LAND WHICH IS DESCRIBED AS FOLLOWING: BEGINNING AT THE NORTHEAST CORNER OF SAID LOT OF LANDS OF S. H. FINLEY, IN THE CITY OF SANTA ANA, AS SHOWN ON A LICENSED SURVEYOR'S MAP RECORDED IN BOOK 2, PAGE 9, RECORDS OF SURVEY, IN THE OFFICE OF THE COUNTY RECORDER OF COUNTY OF ORANGE, SAID POINT BEING ON THE WESTERLY LINE OF KING STREET, 50.00 FEET WIDE; RUNING THENCE SOUTH 27030, WEST 26.00 FEET LONG ALONG THE EASTERLY LINE OF SAID LOT 9, BEING ALONG THE WESTERLY LINE OF SAID KING STREET; THENCE, NORTH 52025'17" WEST 9.10 FEET; THENCE, NORTH 63032'39" WEST 6.33 FEET; THENCE, NORTH 79032'35" WEST 12.73 FEET; THENCE, SOUTH 89005'00" WEST 12.50 FEET; THENCE, NORTH 87041'22" WEST 25.03 FEET; THENCE, SOUTH 88025'16" WEST 25.00 FEET; THENCE, SOUTH 88052'45" WEST 25.00 FEET; THENCE, SOUTH 89006'30" WEST 25.00 FEET; THENCE, SOUTH 89034'00" WEST 25.00 FEET; THENCE, NORTH 89044'44" WEST 25.00 FEET; THENCE, SOUTH 89034'00" WEST 25.00 FEET; THENCE, NORTH 88049'45" WEST 25.01 FEET; THENCE, NORTH 88036'01" WEST 25.01 FEET; THENCE, NORTH 88057'35" WEST 27.21 FEET; THENCE, SOUTH 80003'56" WEST 5.61 FEET, MORE OR LESS, TO A POINT ON THE WESTERLY LINE OF SAID LOT 9, SAID POINT BEING LOCATED 11.80 FEET SOUTH 27030'WEST FROM THE NORTHWEST CORNER OF SAID LOT 9; THENCE, NORTH 27030' EAST 11.80 FEEET ALONG THE WESTERLY LINE OF SAID LOT 9 TO THE NORTHWEST CORNER THEREOF; THENCE, NORTH 89034' EAST 302.20 FEEET ALONG THE NORTH LINE OF SAID LOT 9 TO THE POINT OF BEGINNING. CONTAINING 3,637 SQUARE FEET MORE OR LESS. ATTACHED HERETO AND MADE A PART HEREOF IS A MAP ENTITLED EXHIBIT "B". THIS LEGAL DESCRIPTION IS PREPARED BY ME OR UNDER MY SUPERVISION 08/18/2020 HUYTHAI NGO Date P.L.S. No. 8765 EX P: 12/31/2020 30A-4 SHEET 1 OF 1 Q z OR * b / NCO w 0 ozwzz0=o N h � zUm 4 Q O Z0 O O Q Z CV -> z a a o���W q mom wdsa d d m N 0 W W f X .9 Z W J I(� W <� N �•oo sg� O z0z�w m 0, Z� v 2 ��OQ41 Z O Q O Z <ZN O m Wm= Q O r� O Z w J Q � U 0o O H O I� w Q H ( N N N m m 0 S I� ►t !! FORMERLY f i LAND-LOCKEDL I , , J PARCEL C F w.14) • '•, •• ' 10' ACCESS EASEMENT Q 4j I ail 1 e. FRONTAGE la 1� a SANTA ANA 97 IL LSEP EMBAGENDER 15,2( PUBLIC WORKS AGENCY PROPERTY 1102 N. KING ST T��-- 1' ! mnvl1 a i' ilffi ' ! AERIAL PHOTOGRAPHY 1960 (ORANGE COUNTY ARCHIVES) EXHIBIT 2 1102 N. KING STREET SANTA ANA REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: BIENNIAL REVIEW OF CONFLICT OF INTEREST CODE POLICY, LIST OF DESIGNATED CLASSIFICATIONS REQUIRED TO FILE ANNUAL DISCLOSURE FORM (STATEMENT OF ECONOMIC INTERESTS FORM) /s/ Kristine Ridge CITY MANAGER CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 sl Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CK�7►111►U1q�iC�. FILE NUMBER RECOMMENDED ACTION Adopt a resolution amending the City of Santa Ana's Conflict of Interest Code Policy. DISCUSSION The California State Government Code specifies that local agencies must review their Conflict of Interest Codes each even -numbered year. Changes to the codes must be adopted by the City Council as the code -reviewing body for City agencies and departments. Pursuant to State requirements, each agency in the City of Santa Ana has reviewed the classifications in their department and proposed the changes as reflected in the attached resolution (Exhibit 1). The recommendations include the addition of new classifications added to the City's budget, deletion of positions removed from the budget, or positions whose duties have changed and no longer include making or participating in governmental decisions. The changes to the Conflict of Interest Code list of designated filers are reflected in the attached resolution. FISCAL IMPACT There is no fiscal impact associated with this action. Submitted By: Daisy Gomez, Clerk of the Council Exhibits: 1. Resolution 2. Redline Version 55A-1 RESOLUTION NO. 2020-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING THE CONFLICT OF INTEREST CODES OF CERTAIN CITY AGENCIES AND DEPARTMENTS 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 various offices, agencies, and departments of the City of Santa Ana have maintained Conflict of Interest Codes pursuant to the Political Reform Act of 1974 (California Government Code sections 81000 et seq.) since the enactment of that law. B The last comprehensive revision of the Conflict of Interest Code of the various offices, agencies, and departments of the City is set forth in City Council Resolution No. 2018-074 adopted September 18, 2018. C Certain agencies and departments of the City now desire to amend the list of designated employees in the Conflict of Interest Code set forth in Resolution No. 2018-074. Section 2. The persons holding designated positions defined in Exhibit A attached to and made part of this resolution shall file statements of economic interest pursuant to the requirements of the City's Conflict of Interest Code. Section 3. The disclosure categories as defined in Exhibit B are attached to and made a part of this resolution. 074. Section 4. This resolution shall supersede and replace Resolution No. 2018- Resolution No. 2020-xxx 55A-2 Page 1 of 9 Section 5. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of 12020. Miguel A. Pulido Mayor I_1»:ZH1F/AIL'F-2ril7i1V dill) Sonia R. Carvalho City Attorney By: Claw�Q- A. R Laura A. Rossini Acting Chief Assistant City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2020-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on 2020. Date: Resolution No. 2020-XXX Page 2 of 9 55A-3 Daisy Gomez, Clerk of the Council City of Santa Ana Exhibit A CITY OF SANTA ANA CONFLICT OF INTEREST CODE DESIGNATED POSITIONS 2020-2022 This Conflict of Interest Code is adopted for the City of Santa Ana California pursuant to the Political Reform Act of 1974 (California Government Code, Sections 81000 g.). It consists of the model code set forth in Regulation 18730 of the Fair Political Practices Commission, incorporated herein by reference, together with the following Appendix: DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Elected Officials Mayor' 1 Councilmembers1 Successor Agency Members 1 CUy Manaaer City Manager 1 1 Assistant to the City Manager 1 Assistant City Manager 1 Deputy City Manager 1 Strategic Communications Manager 1 Senior Management Assistant 1 Public Affairs Information Officer 1 Consultants 2 1 Clerk of the Council Clerk of the Council 1 Assistant Clerk of the Council 1 CWy Attorney City Attorney 1 1 Chief Assistant City Attorney 1 Senior Legal Management Assistant 4 Senior Assistant City Attorney 1 Assistant City Attorney 1 Deputy City Attorney 1 Community Development Aae Executive Director of Community Development 1 Arts and Culture Specialist 2,4 Community Development Analyst 2,4 Economic Development Manager 1 55A-4 Resolution No. 2020-xxx Page 3of9 DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Economic Development Specialist II 2,4 Economic Development Specialist III 2,4 Homeless Services Manager 1 Housing and Project Management Consultant 2,4 Housing Authority Analyst 2,4 Housing Authority Operations Supervisor 4 Housing Division Manager 1 Housing Programs Analyst 2,4 Housing Specialist 1 2, 6 Housing Specialist 11 2, 6 Loan Specialist 2 Management Aide 2 Management Analyst 2,4 Principal Management Analyst 1 Residential Construction Specialist 2, 5 Senior Community Development Analyst 2,4 Senior Housing Specialist 2 Senior Residential Construction Specialist 2, 5 Workforce Specialist 111 2,4 Workforce Specialist IV 2,4 ** Consultants (Grants) 2,4 Finance Management Services Agency Executive Director' 1 Accounting Manager 1 Assistant Director of Finance Management Services 1 Budget Analyst 1 Budget Supervisor 1 Administrative Services Manager 1 Management Analyst 1 Payroll Manager 1 Payroll Systems Analyst 1 Principal Management Analyst 1 Senior Budget Analyst 1 Senior Financial Analyst 1 Supervising Accountant 1 Treasury and Customer Services Manager 1 Treasury Services Supervisor 1 Information Technology Department Chief Technology Innovations Officer 1 Information Services and Network Manager 1 Resolution No. 2020-xxx 55A-5 Page 4of9 DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Parks Recreation and Community Services Executive Director 1 Administrative Services Manager 1 Recreation and Community Events Supervisor 1 Recreation and Community Services Manager 1 Recreation Community Services Supervisor 1 General Maintenance Supervisor 1 Management Analyst 1 Park Services Inspection Supervisor 1 Park Services Superintendent 1 Senior Management Analyst 1 Youth Services Supervisor 1 Zoo Manager 1 Zoo Curator 1 Zoo Curator of Education 1 Zoo Curator of Health 1 Libra[; Services Agg= Executive Director 1 Library Operations Manager 1 Principal Librarian 1 Human Resources Department Executive Director 1 Assistant Director of Human Resources 1 Benefits & Compensation Supervisor 1 Payroll Systems Analyst 1 Risk Manager 1 Senior Human Resources Analyst 1 Worker's Compensation Administrator 4 Planning and Building Aaencv Executive Director 1 Administrative Services Manager 1 Assistant Director of Planning and Building 1 Assistant Plan Check Engineer 1 2, 7 Assistant Plan Check Engineer 11 2, 7 Assistant Planner 1 2, 6, 7 Assistant Planner 11 2, 6, 7 Associate Plan Check Engineer 2, 7 Associate Planner 2, 6, 7 Building Safety Manager 1 55A-6 Resolution No. 2020-xxx Page 5of9 DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Building Technician 6 Code Enforcement Associate 6 Code Enforcement Manager 1 Code Enforcement Officer 6 Code Enforcement Principal 2,6 Code Enforcement Supervisor 2,6 Combination Building Inspector 6 Management Aide 4 Management Analyst 2,4 Part-time Permit Services Technician 6 Part-time Planning Technician 2, 6,7 Permit Services Processor 6 Permit Services Supervisor 2, 6,7 Permit Services Technician 6 Planning Assistant 2,6,7 Planning Manager 1 Planning Technician 2, 6, 7 Plans Examiner Electrical 2,6 Plans Examiner Plumbing/Mechanical 2,6 Principal Planner 2, 6,7 Senior Accounting Assistant 4 Senior Code Enforcement Officer 6 Senior Combination Building Inspector 6 Senior Community Planner 1 Senior Electrical Systems Specialist 2, 6 Senior Plan Check Engineer 2, 7 Senior Planner 2, 6,7 Senior Plumbing / Mechanical Systems Specialist 2,6 Supervisor of Inspections 2, 6,7 Police Department Police Chief 1 Correctional Manager 1 Police Administrative Manager 1 Police Captain / Deputy Chief 1 Police Communications Manager 4 Police Lieutenant/ Commander 1 Police Systems Manager 1 Police Administrative Budget Manager 1 Public Works Agency Executive Director 1 Administrative Services Manager 1 Resolution No. 2020-xxx 55A-7 Page 6of9 DESIGNATED EMPLOYEES / FILERS Assistant Engineer II Assistant Public Works Maintenance Manager Deputy Public Works Director/City Engineer Construction Inspector I Construction Inspector 11 Contracts Administrator Deputy City Engineer Principal Civil Engineer Projects Manager Deputy Public Works Director/ Maintenance Services Manager Senior Civil Engineer Senior Engineer Senior Transportation Analyst Street Maintenance Supervisor Transit Program Manager Tree Maintenance Supervisor Deputy Public Works Director/ Water Resources Manager Water Services Supervisor Deputy Public Works Director/ Construction Services Manager Board / Commission Members Arts and Culture Commission Parks, Recreation and Community Services Commission Community Development Commission Environmental and Transportation Advisory Commission Historic Resources Commission Personnel Board Planning Commission' Workforce Development Board Santa Ana 2018 Measure X Citizen Oversight Committee OTHERS Successor Agency Housing Authority DISCLOSURE CATEGORY 2, 5,7 1 1 5 5 5 1 2, 5,7 1 1 2, 5,7 2, 5,7 2, 5,7 1 1 1 1 1 1 The Mayor, City Council, City Manager, City Attorney, Executive Director of Finance Management Services Agency, and Planning Commissioners file Economic Disclosure Form 700 with the Fair Political Practices Commission per Government Code Section 87200. 2 City Consultants shall be included when the City Manager determines in writing that a particular consultant is hired to perform duties that would constitute a "designated position". Such written determination shall include a description of the consultant's duties and, based 55A-8 Resolution No. 2020-xxx Page 7of9 upon the description, a statement of the extent of disclosure requirements. The determination by the City Manager is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code. Resolution No. 2020-xxx 55A-9 Page 8of9 Exhibit B CITY OF SANTA ANA CONFLICT OF INTEREST CODE ■D]l;.191161-11]N eye%I=Ke]N1*1111111 Required filers must review Form 700 Schedules and complete forms as mandated by the specific Disclosure Category designated. Disclosure Category 1: Full Disclosure Persons in this category shall disclose all applicable investments, business positions, income, any interests in real property located in the City or within a two-mile radius outside of the City limits, and, any interests in property owned or used by the City. Disclosure Category 2: Decision Making Authority Affecting Real Property Persons in this category shall disclose all applicable investments, business positions, and income, including loans and gifts, from sources which engage in land development, construction, or the acquisition or sale of real property; also reportable are all interests in real property located in the City and within a two-mile radius outside of the City limits or of any property owned or used by the City. Disclosure Category 3: City-wide Purchasing Responsibilities Persons in this category shall disclose applicable investments, business positions, and income, including loans and gifts, from sources which provide services, supplies, materials, machinery, or equipment of the type utilized by the City Disclosure Category 4: Department/Division Purchasing Responsibilities Persons in this category shall disclose all applicable investments, business positions, and income, including loans and gifts, from sources which provide services, supplies materials, machinery, or equipment of the type utilized by the designated employee s agency, department, or division. Disclosure Category 5: Public Works/Construction Projects Responsibilities Persons in this category shall disclose all interests in and income from businesses engaged in construction, landscaping, street repair, traffic signal installation or modification or the supply of materials for any of the above. Disclosure Category 6: Regulatory Power Persons in this category shall disclose all applicable investments, business positions, and income, including loans and gifts, from any source which is subject to the regulatory, permit, or licensing authority of the designated employee's agency, department, or division. Disclosure Category 7: Planning and Engineering Persons in this category shall disclose all applicable investment, business positions, and income, including loans and gifts, from any source engaged in engineering, planning, and design services. 55A-1 U Resolution No. 2020-xxx Page 9of9 EXHIBIT 2 REDLINE VERSION EXHIBIT A CITY OF SANTA ANA CONFLICT OF INTEREST CODE DESIGNATED POSITIONS 2020-2022 This Conflict of Interest Code is adopted for the City of Santa Ana California pursuant to the Political Reform Act of 1974 (California Government Code, Sections 81000 g.). It consists of the model code set forth in Regulation 18730 of the Fair Political Practices Commission, incorporated herein by reference, together with the following Appendix: DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Elected Officials Mayor' 1 Councilmembers1 Successor Agency Members 1 City Manager City Manager ' 1 Assistant to the City Manager 1 Assistant City Manager 1 Deputy City Manager 1 Strategic Communications Manager 1 SpeGial AcciGtaRt tG the City MaRa er 4- Senior Management Assistant 1 Public Affairs Information Officer 1 Consultants 2 1 Clerk of the Council Clerk of the Council 1 Assistant Clerk of the Council 1 City Attorney Resolution No. 2020-xxx Page 3 of 10 55A-11 DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY City Attorney ' 1 Chief Assistant City Attorney 1 Assistant City Attorney 4- Deputy City Attorney 1 Senior Assistant City Attorney 1 Senior Legal Management Assistant 4 Communitv Development Aaenc Executive Director of Community Development 1 Arts and Culture Specialist 2, 4 Community Development Analyst 2,4 Economic Development Manager 1 Economic Development Specialist II 2,4 Economic Development Specialist III 2,4 Homeless Services Manager 1 Housing and Project Management Consultant 2, 4 Housing Authority Analyst 2, 4 Housing Authority Operations Supervisor 4 Housing Division Manager 1 Housing Programs Analyst 2, 4 Housing Specialist 1 2, 6 Housing Specialist 11 2, 6 Loan Specialist 2 Management Aide 2 Management Analyst 2,4 Principal Management Analyst 1 Residential Construction Specialist 2, 5 Senior Community Development Analyst 2,4 Senior Housing Specialist 2 Senior Residential Construction Specialist 2, 5 Workforce Specialist 111 2, 4 Workforce Specialist IV 2,4 ** Consultants (Grants) 2, 4 Finance Manaaement Services Aaenc Executive Director' 1 Accounting Manager 1 AGG96IRtS Payable SupeFvisoF 4- Assistant Director of Finance Management Services 1 Resolution No. 2020-xxx Page 4 of 10 55A-12 DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Budget Analyst 1 Budget Supervisor 1 ❑ —;ine�� I Tax reue + . i IRSPeGtGF 4 ❑uildiRg Main+ens e Supervisor 4 z ren+ral Ser„iAes Super„iser a F;;nili+iec end Flee+ A4;;0n+en;;nne Ma Raney '3 Fleet Eq iinmen+ SupeFviseF a Fleet Seryinec SupeFyicer a Administrative Services Manager 1 Management Analyst 1 Payroll Manager 1 Payroll Systems Analyst 1 Principal Management Analyst 1 Senior Budget Analyst 4 Senior Financial Analyst 4 Senior MaRa a n+ Analyst 4 Steres u rity YaFd orener+„ SpeGiia� a Superin+e Rden+ Financial Analyst 4- Supervising Accountant S Buyer- 1 �7 Treasury and Customer Services Manager 1 Treasury Services Supervisor 1 Information Technology Department Chief Technology Innovations Officer 1 Information Services and Network Manager 1 Parks Recreation and Communitv Services Executive Director 1 Administrative Services Manager 1 Recreation and Community Events Supervisor 1 Recreation and Community Services Manager 4, 5, 7 1 Recreation and Community Services Supervisor 1 General Maintenance Supervisor 1 ib FaFy QpeFatin c Manager 4- Management Analyst 1 Park Services Inspection Supervisor 1 Park Services Superintendent 1 c� Y Resolution No. 2020-xxx Page 5 of 10 55A-13 DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Senior Management Analyst 1 ce , o;;.kc; ee." es lRGPeGtiGR e e.,, 4- Youth Services Supervisor 1 Zoo Manager 1,4�7 Zoo Curator 1 Zoo Curator of Education 1 Zoo Curator of Health 1 Library Services Agency Executive Director 1 Library Operations Manager 1 Principal Librarian 1 Human Resources Department Executive Director 1 Assistant Director of Human Resources PPrc;nnnP1 SprvmGes 1 Benefits & Compensation Supervisor 1 Payroll Systems Analyst 1 Risk Manager 1 Senior Human Resources Analyst 1 Worker's Compensation Administrator der 4 Plannina and Buildina Aaenc Executive Director 1 Administrative Services Manager 1 Assistant Director of Planning and Building 1 Assistant Plan Check Engineer 1 2, 7 Assistant Plan Check Engineer 11 2, 7 Assistant Planner 1 2, 6, 7 Assistant Planner 11 2, 6, 7 Associate Plan Check Engineer 2, 7 Associate Planner 2, 6, 7 g61ildi,,, G+ ra, Building Safety Manager 1 Building Technician 6 Code Enforcement Associate 6 Code Enforcement Manager 1 Code Enforcement Officer 6 Code Enforcement Principal 2,6 Resolution No. 2020-xxx Page 6 of 10 55A-14 DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Code Enforcement Supervisor 2,6 Combination Building Inspector 6 COMMUnit„ PreneFyatign'ncnentgr ra E'en+r'ne' Innnentgr ra E'en+rind P';;n Cheeler F=wf0rgnn.en+ (`nnrrlin +nr enr'Gnape Ansgnie+e Development Management Aide �7 2-, 4 Management Analyst Pert time Among fete Planner? 2,4 6-,-7 Pert time rgmhine+ign Quui'r iRg'nnnen+gr ra Part tome Deputy Quui'nling Inene..+gr ra Part-time Permit Services Technician 6 Part-time Planning Technician 2, 6, 7 Pert time Plena P en.iner I 2-7 Per+ time Plena Eveminer II Per+ time Spnonr Planner? 2-7 Permit Services Processor 6 Permit Services Supervisor 2, 6, 7 Permit Services Technician Ple 6 Pr Planning Assistant4 2, 6, 2, 6, 7 Planning Manager 1 Planning Technician 2, 6, 7 Plans Examiner Electrical 2,6 Plans Examiner Plumbing/Mechanical 2,6 Plumbing Innnentgr ra Plumbing Menhg al Innnentgr ra Principal P'en Gheel Engineer 2-7 Principal Planner 2, 6, 7 Senior Accounting Assistant 4 Senior Code Enforcement Officer 6 Senior Combination Building Inspector 6 Senior Community Planner 1 Ceninr E'en+ring''ncpen+gr ra Senior Electrical Systems Specialist 2,6 Senior Manage n+ Anel,n+ 4—,7- Senior Plan Check Engineer 2, 7 Resolution No. 2020-xxx Page 7 of 10 55A-15 DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Senior Planner 2, 6, 7 Senior Plumbing / Mechanical Systems Specialist 2,6 Supervisor of Inspections 2, 6, 7 Police Department Police Chief 1 Jail ^l Correctional Manager 1 Police Administrative Manager 1 Police Captain / Seanmander Deputy Chief 1 Police Communications Manager 4 Police Lieutenant /Commander 1 Police Systems Manager 1 Police Administrative Budget Manager 1 Public Works Aaenc Executive Director 1 Administrative e^:e Services Manager 1 Assistant Engineer II 2, 5, 7 Assistant Public Works Maintenance Manager 1 Deputy Public Works Director/City Engineer 1 Construction Inspector 1 5 Construction Inspector 11 5 Contract Administrator 5 Deputy City Engineer 1, 2, 4, 5 7 Principal Civil Engineer 2, 5, 7 Projects Manager 1 Deputy Public Works Director /Maintenance Services Manager 1 Senior Civil Engineer 2, 5, 7 Senior Engineer 2, 5, 7 Senior Transportation Analyst 2, 5, 7 Street Maintenance Supervisor 1 Transit Program Manager 1 Tree Maintenance Supervisor 1 Deputy Public Works Director/ Water Resources Manager 1 Water Services Supervisor 1 Deputy Public Works Director/ Construction Services Manager 1 Board / Commission Members Arts and Culture Commission 1 Resolution No. 2020-xxx Page 8 of 10 55A-16 DESIGNATED EMPLOYEES / FILERS ❑ver.+ es o;;rkc; ;;nel Denre;;+ie., Mprnheri; Parks, Recreation and Community Services Commission Community ReDevelopment & HG616ing Commission ^ems Environmental and Transportation Advisory Commission Historic Resources Commission Personnel Board Planning Commission' Workforce Development Board Santa Ana 2018 Measure X Citizen Oversight Committee OTHERS Successor Agency Members Housing Authority Member G GURtyWide Dublin FiRaRGiRg Autherity Mernberc DISCLOSURE CATEGORY 4- 4- 1 1 1 4- ' The Mayor, City Council, City Manager, City Attorney, Executive Director of Finance Management Services Agency, and Planning Commissioners file Economic Disclosure Form 700 with the Fair Political Practices Commission per Government Code Section 87200. 2 City Consultants shall be included when the City Manager determines in writing that a particular consultant is hired to perform duties that would constitute a "designated position". Such written determination shall include a description of the consultant's duties and, based upon the description, a statement of the extent of disclosure requirements. The determination by the City Manager is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code. Resolution No. 2020-xxx Page 9 of 10 55A-17 CITY OF SANTA ANA CONFLICT OF INTEREST CODE DISCLOSURE CATEGORIES Required filers must review Form 700 Schedules and complete forms as mandated by the specific Disclosure Category designated. Disclosure Category 1: Full Disclosure Persons in this category shall disclose all applicable investments, business positions, income, any interests in real property located in the City or within a two-mile radius outside of the City limits, and, any interests in property owned or used by the City. Disclosure Category 2: Decision Making Authority Affecting Real Property Persons in this category shall disclose all applicable investments, business positions, and income, including loans and gifts, from sources which engage in land development, construction, or the acquisition or sale of real property; also reportable are all interests in real property located in the City and within a two-mile radius outside of the City limits or of any property owned or used by the City. Disclosure Category 3: City-wide Purchasing Responsibilities Persons in this category shall disclose applicable investments, business positions, and income, including loans and gifts, from sources which provide services, supplies, materials, machinery, or equipment of the type utilized by the City Disclosure Category 4: Department/Division Purchasing Responsibilities Persons in this category shall disclose all applicable investments, business positions, and income, including loans and gifts, from sources which provide services, supplies materials, machinery, or equipment of the type utilized by the designated employee s agency, department, or division. Disclosure Category 5: Public Works/Construction Projects Responsibilities Persons in this category shall disclose all interests in and income from businesses engaged in construction, landscaping, street repair, traffic signal installation or modification or the supply of materials for any of the above. Disclosure Category 6: Regulatory Power Persons in this category shall disclose all applicable investments, business positions, and income, including loans and gifts, from any source which is subject to the regulatory, permit, or licensing authority of the designated employee's agency, department, or division. Disclosure Category 7: Planning and Engineering Persons in this category shall disclose all applicable investment, business positions, and income, including loans and gifts, from any source engaged in engineering, planning, and design services. Resolution No. 2020-xxx Page 10 of 10 55A-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED ❑ As Recommended ADOPT A RESOLUTION APPROVING THE ElAmended ❑ OOrrdinance on 1 s' Reading APPLICATION FOR GRANT FUNDS TO THE ❑ Ordinance on 2od Reading CALIFORNIA NATURAL RESOURCES ❑ Implementing Resolution AGENCY FOR THE YOUTH COMMUNITY ❑ Set Public Hearing For_ ACCESS GRANT PROGRAM FOR THE SANTA ANA ZOO LITTLE FARMERS PROJECT IN THE AMOUNT OF $300,000 CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Adopt a resolution approving the application for grant funds to the California Natural Resources Agency for the Youth Community Access Grant Program for the Santa Ana Zoo Little Farmers Project in the amount of $300,000. DISCUSSION The California Natural Resources Agency is accepting proposals for the Youth Community Access Grant Program. The program, funded by Proposition 64, seeks projects that support youth access to natural or cultural resources with a focus on low-income and disadvantaged communities including, but not limited to, community education and recreational amenities to support youth substance use prevention and early intervention. Approximately $5.7 million in awards will be funded by this program. Applicants submitting the most competitive proposals will be invited to participate in the next level of the competitive process, estimated to begin Spring 2021. No later than September 16, 2020, the Parks, Recreation and Community Services Agency (PRCSA) will submit an application to the California Natural Resources Agency for the Santa Ana Zoo Little Farmers Project. Santa Ana Zoo Little Farmers Protect — Grant Request $300,000 Little Farmers is a nature -based play and learning area to be located in a currently underutilized space in the northwest corner of the Family Farm. This concept is a place for children to find adventure in their natural world, while learning about food production and life on a farm. The project will include elements like climbing boulders, fallen logs, and giant insect sculptures that encourage discovery, creativity, and imagination. Youth are encouraged to participate in the design process and staff will identify local youth interested in participating in development of this project. 55B-1 Adopt a Resolution for submittal of a grant application for the Santa Ana Zoo Little Farmers September 15, 2020 Page 2 The project is consistent with the Santa Ana Zoo Master Plan, which identifies several potential enhancements to the Family Farm. Friends of Santa Ana Zoo (FOSAZ) has received a matching grant commitment for improvements in the Family Farm and up to $100,000 can be matched to funding received from this grant. Total project cost is $400,000. A requirement of the grant is for the City is to adopt a resolution approving the application, acknowledging availability of funds to complete the project, agreeing to the terms of the grant if awarded, and designating officers and/or employees to act as representatives to complete grant requirements and documentation (Exhibit 1). FISCAL IMPACT Approval of the resolution has no fiscal impact. If the City is allowed to continue to the next phase of the application process and should the City be awarded the grant, then a fiscal impact would occur, which would require the City to have sufficient funding to complete the project. City staff would return to seek approval to appropriate the grant funding, if awarded. Submitted By: Lisa Rudloff, Executive Director— Parks, Recreation, and Community Services Agency Exhibits: 1. Santa Ana Little Farmers Project Resolution 2. Grant Guidelines 55B-2 Exhibit 1 RESOLUTION 2020-XXX RESOLUTION OF THE CITY COUNCIL FOR THE CITY OF SANTA ANA APPROVING THE APPLICATION FOR GRANT FUNDS FOR THE YOUTH COMMUNITY ACCESS GRANT PROGRAM WHEREAS, the Legislature and Governor of the State of California have provided funds for the program shown above; and WHEREAS, the California Natural Resources Agency has been delegated the responsibility for the administration of this grant program, establishing necessary procedures; and WHEREAS, said procedures established by the California Natural Resources Agency require a resolution certifying the approval of application(s) by the Applicant's governing board before submission of said application(s) to the State; and WHEREAS, the Applicant, if selected, will enter into an agreement with the State of California to carry out the project. NOW, THEREFORE, BE IT RESOLVED by the City Council for the City of Santa Ana: Section 1. The City Council for the City of Santa Ana hereby finds, declares, and determines as follows that it: 1. Approves the filing of an application for the Santa Ana Zoo Little Farmer's Project; and 2. Certifies that Applicant understands the assurances and certification in the application package; and 3. Certifies that Applicant or title holder will have enough funds to operate and maintain the project(s) consistent with the land tenure requirements; or will secure the resources to do so; and 4. Certifies that it will comply with all provisions of Section 1771.5 of the California Labor Code;and 5. If applicable, certifies that the project will comply with any laws and regulations including, but not limited to, the California Environmental Quality Act (CEQA), legal requirements for building codes, health and safety codes, and disabled access laws, and that prior to commencement of construction all applicable permits will have been obtained; and 6. Certifies that Applicant will work towards the State Planning Priorities intended to promote equity, strengthen the economy, protect the environment, and promote public health and safety as included in Government Code Section 65041.1; and 7, Appoints the City Manager, or designee, as agent to conduct all negotiations, execute and submit all documents including, but not limited to, applications, agreements, payment requests and so on, which may be necessary for the completion of the aforementioned project(s). Resolution No.2020-XXX Page 1 of 2 55B-3 Exhibit 7 Section 2. 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 September, 2020. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:'T"� A. R Laura A. Rossini Acting Chief Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby certify the attached Resolution No. 2020 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on 12020. Date: Clerk of the Council City of Santa Ana Resolution No. 2020-XXX Page 2 of 2 55B-4 Exhibit 2 YOUTH COMMUNITY ACCESS GRANT PROGRAM GUIDELINES PROP 64 Youth Community Access x-.,Moog E;.1f_lI del Wfil41; 101 N►I Fil NATURAL RESOURCES AGENCY JULY 2020 n�tural Cresources IAGENCY 55B-5 Exhibit 2 (page intentionally left blank) 55B-6 Exhibit 2 TECHNICAL ASSISTANCE WORKSHOPS The California Natural Resources Agency will conduct technical assistance workshops through the State. A list of workshop dates and times can be found on the California Natural Resources Agency website at https://resources.ca.gov/grants/youth. All workshops will be held online. Please RSVP in order to receive login information. Each workshop will have limited number of participants. RSVP one of three ways: Online: https://forms.gle/aBMVUrYd7XKgflt29 Email: bondsandgrants@resources.ca.gov Phone: (916) 653-2812 These Guidelines include information to assist applicants in applying for funding. Please read them in their entirety for important information on project eligibility, evaluation criteria and submission requirements. For general project evaluation process questions, contact the California Natural Resources Agency at: Phone: (916) 653-2812 Email: bondsandgrants@resources.ca.gov Website: www.resources.ca.gov/grants 55B-7 Exhibit 2 1:19171111COIFII11JAIkI This grant program consists of a progressive, three -step evaluation process: 1) Project Proposal 2) Field Inspection (virtual or onsite) 3) Supporting Documents All documents are submitted using the California Natural Resource Agency's System for Online Application Review (SOAR), which can be found at http://soar.resources.ca.gov/. To access SOAR, applicants must create a user account. A detailed SOAR user manual is located on the California Natural Resources Agency's website at http://resources.ca.gov/grants/. SOAR is not compatible with Mac computers or the Mozilla Firefox browser. SOAR works best on a PC using Internet Explorer. SOAR SYSTEM QUESTIONS For technical assistance with SOAR, please call or e-mail the SOAR help desk. Hours: 8:00 AM to 4:00 PM M-F Phone: (916) 653-6138 Email: soar.admin@resources.ca.gov When contacting the SOAR help desk, please provide the following: • Proposal Identification Number (PIN) assigned to the proposal • Name of the Grant Program • Short description of the problem, including where it is within the application • A screen shot of the error received, if applicable If you have barriers to accessing the internet, please contact us to discuss alternate means of communication and submittal. 55B-8 Exhibit 2 TABLE OF CONTENTS Page INTRODUCTION 1 STATUTORY REQUIREMENTS AND PRIORITIES 2 SELECTION PROCESS 5 EVALUATION AND SCORING CRITERIA 6 STEP 1: PROJECT PROPOSAL 6 STEP 2: FIELD INSPECTION 12 STEP 3: SUPPORTING DOCUMENTATION 13 PROJECT ADMINISTRATION 15 STATE AUDIT AND ACCOUNTING REQUIREMENTS 17 APPENDIX A: SUBMITTAL CHECKLIST 19 APPENDIX B: COST ESTIMATE 20 APPENDIX C: ELIGIBLE COSTS 22 APPENDIX D: NON-PROFIT QUESTIONNAIRE 25 APPENDIX E: RESOLUTION TEMPLATE 28 APPENDIX F: CERTIFICATION LETTER TEMPLATE 29 APPENDIX G: ENVIRONMENTAL COMPLIANCE 30 APPENDIX H: PROPERTY DATA SHEET 32 APPENDIX I: SITE CONTROL/LAND TENURE 33 APPENDIX J: PROJECT PERMIT APPROVAL STATUS 34 APPENDIX K: SIGNAGE AND RECOGNITION 35 APPENDIX L: REPORTING TEMPLATE 37 APPENDIX M: AVAILABLE RESOURCES 38 APPENDIX N: DEFINITIONS 39 55B-9 Exhibit 2 INTRODUCTION California voters passed the Control, Regulate and Tax Adult Use of Marijuana Act (Proposition 64) on November 8, 2016. Proposition 64 created the Youth Education, Prevention, Early Intervention and Treatment Account (YEPEITA) whereby the State Controller deposits 60 percent (60%) of the marijuana tax for programs that emphasize accurate education, effective prevention, early intervention, school retention, and timely treatment services for youth, their families and caregivers. In 2019, the Legislature appropriated $5.7 million to the California Natural Resources Agency (the State) for competitive grants to support youth access to natural or cultural resources with a focus on low-income and disadvantaged communities including, but not limited to, community education and recreational amenities to support youth substance use prevention and early intervention. Research demonstrates the connection between the outdoors and the physical, emotional, and mental success of young people. From camp experiences to urban parks, being in nature reduces stress, builds confidence, promotes creativity, encourages exercise, and teaches responsibility. Each of these aspects, in addition to others, contribute to a young person's health and well-being, including substance use prevention. In accordance with Proposition 64 and the research discussed above, the Youth Community Access Grant Program will focus awards on communities disproportionately affected by past federal and state drug policies, also known as the War on Drugs, as well as other underserved communities. Funding Allocation Approximately $5.7 million is available for Youth Community Access projects. Grant Amounts The maximum award for an individual project is $300,000. The minimum award amount is $25,000. Eligible Applicants Eligible applicants include local, state and federal agencies; nonprofit organizations; federally -recognized Native American tribes; or non -federally -recognized California Native American tribes listed on the California Tribal Consultation List maintained by the Native American Heritage Commission. Eligible Projects This program is a competitive grant program to support, public programs, educational programs, job training programs, outreach programs and small capital asset projects to support youth access to natural or cultural resources. 55B-10 Exhibit 2 STATUTORY REQUIREMENTS AND PRIORITIES General Requirements 1. Project must serve youth. For the purposes of this program, youth is defined as a person between the ages of birth and 26. 2. Project must increase youth accessibility to natural or cultural resources and associated services. (For definitions of natural and cultural resources, see Appendix N.) 3. Project must include design features and program elements to promote youth health, safety, well-being, and comfort. Funding Priorities Projects containing the following elements will be given priority consideration in funding decisions: 1. Projects that feature youth -led opportunities. Youth -led means projects in which youth are a participant in the planning, decision making, facilitation, and evaluation; 2. Projects that propose resource awareness campaigns featuring youth and using youth vernacular; and 3. Projects that empower youth to make healthy choices. Underserved Communities The historical context around the War on Drugs is critical to understanding the impact the Youth Community Access Program aspires to achieve. The War on Drugs disproportionately impacted communities of color, particularly low-income communities. Harsh federal and state drug policies enacted during the War on Drugs led to mass incarceration of people of color, decreased access to social services, loss of educational attainment due to diminished federal financial aid eligibility, prohibitions on the use of public assistance, and the separation of families. The Youth Community Access Program aims to be a resource to address and repair the multi -generational community impacts of the War on Drugs. To fulfill this aim, the statutory focus of disadvantaged will be referred to as underserved communities. Underserved communities means communities of color and vulnerable populations. Communities of color are American Indian/Alaskan Native, African American, Asian -Pacific Islander, and Latinx. Vulnerable populations are foster and transition age youth, LGBTQIA youth, youth with disabilities, youth involved in the juvenile or criminal justice system, and other youth populations disproportionately affected by past state and federal drug policies. The statutory focus on low-income communities will prioritize communities with an annual median household income less than 80 percent of the statewide average. Ir 55B-11 Exhibit 2 In order to qualify as an underserved and low-income community, a project must be "Located Within" and "Provide Benefits To" the selected community. To be considered "Located Within", eighty percent (80%) or more of the physical project for capital projects or eighty percent (80%) or more of the program participants for programming projects must be within the selected community. This program intends to award a minimum of 90 percent of all grant funding to projects located within and providing benefits to underserved and low-income communities. Projects that meet the underserved and low-income community approach as defined will be the most competitive. Other Funding Considerations In evaluating project proposals, scores are used to determine initial rankings and facilitate discussions for each proposal among a multidisciplinary team. To achieve equitable distribution of funds, the State may consider additional factors including, but not limited to, geographic distribution of funds, priority populations, previous grant performance, disadvantaged community status, and feasibility to accept partial funding. In addition, projects must: 1. Comply with all labor codes; 2. Comply with the California Environmental Quality Act (CEQA), Division 13, commencing with Section 21000 (if applicable); and 3. Provide public access. Website addresses and links to legislation and other available resources and reference materials may be found in Appendix M. Examples of Potential Funded Activities This program is a competitive grant program to support public programs, educational programs, job training programs, outreach programs and small capital asset projects to support youth access to natural or cultural resources. For the purposes of this program, 'capital project' means a project involving tangible physical property with an expected useful life of 10 years or more. A capital project is the acquisition of tangible, physical personal property or the development of tangible, physical real property, including costs of construction. For the purposes of this program, capital projects are broken into two categories: capital development projects and capital vehicle acquisition projects. All projects, both capital and programming, must serve youth as defined. Applicant must propose a program project or a capital project or a combination of a program and capital project. For combination projects the program and capital aspects must directly tie to and support each other. Below is a list of eligible project activities. Activities are divided between programming, capital, and combination projects. This is not a comprehensive list of examples. 3 55B-12 Exhibit 2 Programming Activities: • Cultural festivals and outreach events for youth • Youth -led outdoor skills workshops and classes • Youth -led outdoor experiences • Outreach campaign targeted at underserved communities to build community awareness of a natural or cultural resource • Youth -led volunteer stewardship programs • Free or reduced admission to a natural or cultural resource • Free bus passes to youth for access to resources • Language translation and interpretation services for youth • Outdoor cultural healing practices for youth • Workforce development and job training programs • Hands-on program to educate and involve youth in agriculture, cultivation, and farming • Training to increase cultural competency of program staff • Youth -led outdoor education programs Capital Project Activities (Development and Vehicle Acquisition): • Acquisition of clean vehicles to transport youth to natural and/or cultural resources • Redesign cultural exhibitions to increase youth accessibility • Construct ADA improvements to increase youth accessibility to natural and/or cultural resources Create cultural installations and exhibitions for youth Combination Programming and Capital Project Activities: • Purchase a clean vehicle and create a program which uses that vehicle to transport youth to a nearby cultural resource • Build a garden space and create a hands-on program that teaches youth how to grow and prepare healthy foods • Youth -led design and construction of an outdoor classroom accompanied with regular outdoor education classes Ineligible Project Examples The list below provides examples of projects and elements that are not eligible under the Youth Community Access Grant Program. This is not an exhaustive list. • Project Proposals that include more than one project (however, more than one Project Proposal can be submitted by an applicant) • Development projects contingent on future land acquisition for project implementation • Acquisition of non-eco-friendly or clean vehicles (use of existing non -clean vehicles is allowed) • Cash reserves, endowments, or fundraising activities • Payment of a debt or mortgage • Projects that do not serve youth • Lobbying or lawsuits 4 55B-13 Exhibit 2 • Sub -granting or regranting • Development projects where the applicant cannot satisfactorily gain permission to develop/maintain the site • Development projects that are intended to correct problems caused by inadequate maintenance SELECTION PROCESS Step 1 • Applicants submit Project Proposals though the System for Online Application Review (SOAR). No hardcopy Project Proposals are required. • Project Proposals are reviewed and evaluated. Incomplete or ineligible Project Proposals may be removed from the competitive process. Step 2 Field Inspections are conducted for the most competitive projects. Applicants maybe required to provide additional documentation prior to a field inspection. Step 3 • Applicants selected to further compete submit additional documentation. • Documentation is evaluated, with the most competitive projects being recommended for funding. Once Step 3 evaluations have been completed, recommendations are submitted to the California Secretary for Natural Resources. Upon approval by the Secretary, grant awards are announced. All information contained in the Project Proposal and supporting documentation is confidential until grant awards are announced. The State reserves the right to reject any Project Proposal from an applicant who is in violation of law or policy at any other public agency. Potential violations include, but are not limited to, being in default of performance requirements in other contracts or grant agreements issued by the State, being engaged in or suspected of criminal conduct that poorly reflects or beings discredit to the State or failing to have all required licenses necessary to carry out the project. The State further reserves the right to reject any Project Proposal from an applicant who has a history of performance issues with past grants or other agreements with any public entity. Tribal Consultation Applicants should consult and involve Native American Tribes and stakeholder groups regarding projects that affect California tribal communities. 5 55B-14 Exhibit 2 Conflict of Interest All applicants and individuals who participate in the review of submitted Project Proposals are subject to state and federal conflict of interest laws. Any individual who has participated in planning or setting priorities for a specific solicitation over and above the public comment process or who will participate in any part of the grant development and negotiation process on behalf of the public is ineligible to receive funds or personally benefit from funds through that solicitation. Failure to comply with conflict of interest laws, including business and financial disclosure provisions, will result in the Project Proposal being rejected and any subsequent grant agreement being declared void. Other legal actions may also be taken. Applicable statutes include, but are not limited to, California Government Code section 1090 and Public Contract Code sections 10365.5, 10410, and 10411. EVALUATION AND SCORING CRITERIA Information provided during the evaluation process should demonstrate how effectively the proposed project meets statutory requirements, funding priorities, and program objectives. Projects will be evaluated using established criteria and any additional funding considerations. Project Proposals will receive an initial ranking, with a score of 100 points possible. The initial ranking will be used to facilitate discussions about each proposal among a multidisciplinary team. Points will be attributed to each category and not to individual questions. Scoring Criteria Points Underserved Communities 30 Requirements and Project Need 0-25 Funding Priorities 0-15 Project Readiness 0-15 Organizational Capacity and Collaboration 0-10 Additional Project Characteristics 0-5 Total Points Possible 100 I,119 4 i A :J:telU MESA ! :J:t91191,9e1, Applicants are required to submit an online Project Proposal in SOAR. Refer to the solicitation notice for due dates. No hard copies of the Project Proposal are required. Applicants proposing the most competitive eligible projects will be invited to compete in the next phase of the evaluation process, a virtual or on -site field inspection. The most competitive projects receiving a field inspection will be invited to submit additional supporting documentation for further evaluation. Incomplete or noncompliant proposals may be eliminated from the competitive process. C31 55B-15 Exhibit 2 All Project Proposal submittals will include the following: Project Summary Describe the discrete project including expected project deliverables. Summaries are limited to 4,000 characters. If applicable: • Include a brief description of current site conditions, extent of public access, and expected useful life. • Describe the program goals and objectives, intended audience, how it services the public, and how the program will be evaluated. Project Questions Applicants must answer the following questions, as applicable. If a question does not apply to the project, indicate "Not Applicable" with a brief explanation. Do not leave blank fields. Answers are limited to 4,000 characters. Underserved Communities 1. Provide a detailed explanation of the community that will be served by the project. Include in your description the age of participants, the participants' city or county of residence, how the community was affected by past state and federal drug policies, and the specific underserved and low-income community being served. Underserved communities include: youth of color, LGBTQIA youth, youth with disabilities, foster and transition -age youth, youth involved in the juvenile or criminal justice system, and youth populations disproportionally affected by past state and federal drug policies. 2. Explain how the project engages youth from underserved and low-income communities (e.g. youth of color, foster and transitional -age youth, youth involved in the juvenile or criminal justice system, youth with disabilities, and LGBTQIA youth). Requirements and Project Need 3. Project Type (CHOOSE ONE) a. Program Project b. Capital Project c. Program and Capital Project 4. Describe how the proposed project relates to your organization's mission, goals, and programming, especially how it relates to youth engagement and leadership? 5. How does the project increase youth access to California's natural or cultural resources? 7 55B-16 Exhibit 2 6. Explain how the project addresses a critical need for youth, including evidence of need or demand for services. 7. How will the effectiveness of the project be monitored and assessed? Include how the organization will measure success, expected outcomes, and know if the project benefitted the intended audience. 8. Discuss how the project addresses youth safety, well-being, comfort, and cultural relevance. Funding Priorities 9. Explain how youth are involved in the project planning, decision -making, facilitation, and evaluation. 10. What skills, abilities, and knowledge will youth participants gain as a result of the project? 11. Explain how the project empowers youth to make healthy choices. 12. Describe the public awareness and outreach campaigns included in the project. Project Readiness 13. If the requested funds are insufficient to cover all project costs, what is the funding gap and how will it be bridged? 14. Describe the immediate steps to be taken post -grant award. 15.If proposing a capital development project, list the owner(s) of the project property. 16. List all entities with jurisdiction over the project and the status of notifications, agreements, meetings, etc. about the project with each jurisdictional entity. Organizational Capacity and Collaboration 17. Describe applicant's experience in completing similar projects. 18. Describe the applicant's plan for long-term sustai nabi lity/ope ration and maintenance of the project. Include existing internal resources and/or identify new outside funding. 19. Describe the applicant's fiscal capacity to carry out the proposed project. 20. Describe the type of training staff receive in areas such as safety, risk management, cultural competency, trauma informed practices, etc. H 55B-17 Exhibit 2 21. Describe partnerships with other entities and their corresponding roles in the project. Additional Project Characteristics 22. Describe any other project characteristics not previously discussed that would assist in evaluating the Project Proposal. 23. Describe both physical and electronic ADA access and/or improvements included in the project. End of Project Questions W 55B-18 Exhibit 2 Required Documentation for Project Proposal The following documents must be uploaded into SOAR as part of the Project Proposal For All Projects - 1. Proposal Form Signature Page — The signature page of the completed Project Proposal Form should be printed and signed by the same Authorized Representative to be identified in the resolution or certification letter (see Appendix E or Appendix F) and then scanned and uploaded to SOAR as an attachment. To print the Project Proposal Form from SOAR: • Log into SOAR and go into the active Youth Community Access Grant Program Project Proposal Form. • Ensure all Project Proposal page information is complete and accurate. • On the General Information tab, scroll to the bottom of the page and select the Preview/Submit button (NOTE: Clicking this button will not submit your Project Proposal). • On the Project Proposal Preview page, select the "Print Project Proposal' button on the top • Select Ctrl+P, to print the Project Proposal. Choose the correct page range for just the signature page. Click Print. 2. Cost Estimate — Provide a cost estimate reflecting all costs associated with the project. Identify costs to be funded by the grant and costs covered by other funding sources. The cost of project elements funded by the Youth Community Access Grant should not be split between the grant and other funding sources (see Appendix B for a sample format). If applicable, cost estimates should include an individual line item for funding acknowledgement signage costs (see Appendix K for signage requirements). 3. Non -Profit Questionnaire — Non-profit applicants provide a completed questionnaire (see Appendix D). For Program Projects - 4. Supporting Documentation - Up to eight pages of documentation that helps illustrate and supports the proposed program, such as, but not limited to, brochures, curriculum samples, draft workplans, logic models, sample formats, modules, photographs, marketing materials, or other relevant documentation For Capital Development Projects - 5. Location Map - Directional map, with enough detail to allow a person unfamiliar with the area to locate the project site 6. Site Plan — Plans should be for the project for which funding is requested. If the project is part of a larger project, clearly indicate the portions to be grant -funded. Plans should 10 55B-19 Exhibit 2 contain specific property details, exterior boundaries, public access points, and location of the proposed improvements described in the proposal. The plan should be specific enough to allow someone unfamiliar with the project to visualize it in detail. 7. Photographs — Provide up to five (5) labeled color photographs of different views of the project reflecting current conditions. End of Required Documentation for Project Proposal 11 55B-20 Exhibit 2 STEP TWO — FIELD INSPECTION (QUALIFYING PROJECTS ONLY) Applicants submitting the most competitive Project Proposals will be further evaluated during a field inspection, which may be conducted virtually. At the field inspection, applicants should be prepared to respond to project -specific questions including, but not limited to, the cost estimate, funding, site plan, program goals, site control, outreach efforts, operations and maintenance, sustainability, partnerships, transportation, community involvement, and any possible barriers to completion. Applicants may be required to provide additional documentation about the project before being granted a field inspection. End of Step Two Information 12 55B-21 Exhibit 2 STEP THREE - SUPPORTING DOCUMENTATION (QUALIFYING PROJECTS ONLY) Applicants with the most competitive projects after field inspections will be required to submit support documentation further demonstrating their ability to carry out the project. The following required supporting materials must be uploaded as attachments in SOAR. If an item is not applicable to the project but is required in SOAR, upload an attachment with a brief explanation of why it is not applicable. Templates for some materials can be found at http://resources.ca.gov/grants/youth/. For All Projects - Signed Authorized Resolution or Certification Letter — Provide a signed authorizing resolution from the applicant's governing board (see Appendix E for the required resolution format and content). Resolutions must include all assurances contained in the template. A Certification Letter can be submitted for agencies without a governing board (see Appendix F for required format and content). 2. Eligibility for Nonprofit Applicants — Provide evidence: 1) the corporation is qualified under Section 501 (c)(3) for the Internal Revenue Service Code (e.g., IRS Determination Letter); 2) the corporation is in good standing with the Secretary of State (e.g., Active Status printout); and 3) the corporation is current with Charity Registration with the State of California Department of Justice, Office of the Attorney General. 3. Timeline — Provide an estimated timeline for major project milestones For Program Projects — 4. Work Plan — Provide an outline of the program schedule and work plan including activities. List goals objectives, benchmarks, evaluation, timeframe, resources, and who is responsible for tasks For Capital Development Projects - 5. Environmental Compliance — At a minimum, provide a copy of the Categorical Exemption, Environmental Checklist Form, or Initial Study for the entire proposed project. Drafts are acceptable for this step. If the project is awarded funding, CEQA (and NEPA, if applicable) must be completed to the State's satisfaction before any construction funds will be disbursed (see Appendix G). 6. Assessor's Parcel Map — Provide a photocopy of relevant assessor's parcel maps, with project parcels highlighted and full parcel numbers clearly labeled. 7. Plant Palette — For projects with any plantings, provide genus, species, common name and stock size (if known). Trees must not be larger than 15-gallon (see Appendix M for resources to aid in plant selection and planting standards). 13 55B-22 Exhibit 2 8. Property Data Sheet — Provide the completed Property Data Sheet for all parcels included in the project (see Appendix H). Be sure to include properties that do not have parcel numbers (e.g. rights -of -way, etc.). 9. Proof of Ownership — Provide copies of documents verifying the current ownership of each parcel listed on the Property Data Sheet. Examples of such documents include tax records, owner data sheets from county records, recorded deeds, title reports, etc. All documents verifying ownership must have parcel numbers clearly indicated on the document (handwritten acceptable). 10.Adequate Site Control/Land Tenure — For parcels not owned by the applicant, provide a copy of an agreement giving the applicant legal access to and permission to construct and maintain the project on the property. If applicable, the agreement should also permit public access to the project for the required number of years (see Appendix 1). If an agreement has not yet been executed at the time of submitting supporting documentation, the applicant may submit a signed letter from each landowner identifying the affected parcel(s) and indicating that, if awarded funding, the owner is willing to enter into an agreement with the applicant to allow long-term access for construction, maintenance and public use of the project. 11.Operation and Maintenance — If operation and maintenance will be performed by an entity other than the applicant, explain and provide evidence of concurrence from that entity (e.g., operational agreements, letters of intent, memoranda of understanding signed by all parties, etc.). If an agreement has not yet been executed at the time of application, the applicant may submit a signed letter by the entity indicating its intent to enter into such an agreement (see Appendix I for requirements). 12. Project Permit Approval Status — Indicate the types of permits necessary to complete the project, timeline of permitting submittal, and potential project delays due to permitting (see Appendix J). If acquiring a long-term encroachment permit, submit evidence the entity with jurisdiction is aware of the project and is willing to work with applicant to issue the permit. End of Step Three Information 14 55B-23 Exhibit 2 PROJECT ADMINSTRATION All projects awarded funding will follow the general administrative procedure outlined below. 1. Grantee attends grant management workshop which addresses project administration, including proper submission of payment requests. 2. State Grant Administrator works with Grantee to develop and execute grant agreement. 3. For capital development projects, Grantee submits final site control documents. 4. Grantee commences preliminary project work (planning, outreach, staff training, design, permitting, CEQA, etc.) and submits reimbursement request for eligible expenses (subject to retention). 5. For programming projects, Grantee commences program delivery. 6. Grantee submits evidence of funding acknowledgement recognition on program materials, acquired vehicles, and/or at construction site. 7. For capital development projects, prior to commencing construction, Grantee submits final design plans for the State's review, as well as evidence of environmental compliance. 8. Grantee notifies the State of public events related to the project. 9. For capital development projects, Grantee commences project construction work. 10. Grantee submits periodic progress reports and periodic reimbursement requests for eligible expenses (subject to retention). 11. Grantee completes project and submits project completion packet. 12. The State conducts final project inspection and approves final payment request(s). Changes to Approved Project Grantees seeking changes or amendments to an approved project must obtain the State's approval. Changes in project scope must continue to meet the need cited in the original Project Proposal. Grantees jeopardize funding should changes be made without prior notice to and approval by the State. Eligible Costs Direct project -related costs and indirect costs that can be directly tied to the project that are incurred during the project performance period specified in the grant agreement are eligible for reimbursement. All eligible costs must be supported by appropriate documentation, including, but not limited to, timesheets for in-house labor. Costs incurred outside of the project performance period are not eligible for reimbursement. (see Appendix C for further information on Eligible Costs). Site Visits The State may make periodic visits to the project site, including a final inspection. The State will determine if the work is consistent with the approved project scope and ensure compliance with signage requirements. 15 55B-24 Exhibit 2 Payment of Grant Funds Funds will not be disbursed until there is a fully executed grant agreement between the State and the Grantee. Funds for construction/implementation cannot be disbursed until environmental review is complete and the funding acknowledgement sign is installed at the project site. • Payments will be made on a reimbursement basis. This means the Grantee pays for services, products, or supplies; submits invoices and proof of payment; and is then reimbursed by the State. It generally takes six to eight weeks to receive payment after Grantee submits a completed payment request. • Ten percent (10%) of the amount requested for reimbursement may be retained and issued as a final payment upon completion. • For communities that meet disadvantaged and low-income requirements, advances of up to twenty-five percent (25%) of the grant award at a time may be available upon need. Loss of Funding The following are examples of action that may result in a Grantee's loss of funding. This is not an exhaustive list. 1. Grantee fails to execute a grant agreement. 2. Grantee changes the project scope without prior notice to and approval by the State. 3. Grantee fails to submit evidence of environmental compliance as specified in the grant agreement. 4. Grantee fails to timely submit all required documentation specified in the grant agreement. 5. Grantee fails to complete the project. 6. Grantee fails to provide project updates as requested. Use of Project Property Grantee must maintain and operate project property acquired or developed in a manner consistent with the grant agreement and grant guidelines for a period commensurate with land tenure/site control requirements (see Appendix 1). In general, Grantee must own the land or hold a lease or other long-term agreement allowing the project. Project Reporting Grantee is required to keep the State informed of the project's progress throughout the project performance period. Grantee must submit periodic status reports as requested by the Grant Administrator. See Appendix L for reporting template. 97. 55B-25 Exhibit 2 STATE AUDIT AND ACCOUNTING REQUIREMENTS Audit Requirements Projects are subject to audit by the State annually and for three years following the final payment of grant funds. If the project is selected for audit, Grantee will be contacted in advance. The audit shall include all books, papers, accounts, documents, or other records for Grantee as they relate to the project. All project expenditure documentation should be available for an audit, whether paid with grant funds or other funds. Grantee must have project records, including source documents and evidence of payment, readily available and must provide an employee with knowledge of the project to assist the auditor. Grantee must provide a copy of any document, paper, record, etc., requested by the auditor. Further, Grantees must include planning, monitoring, and reporting necessary to ensure successful implementation of the project objectives and have documentation available for State review upon request. Accounting Requirements Grantee must maintain an accounting system that: • Accurately reflects fiscal transactions, with necessary controls and safeguards. • Provides a good audit trail, including original source documents such a purchase orders, receipts, progress payments, invoices, employee paystubs, and time cards, evidence of payment, etc. • Provides accounting data so the total cost of each individual project can be readily determined. Records Retention Records must be retained for a period of three years after final payment is made by the State. Grantee must retain all project records at least one year following an audit. 17 55B-26 Exhibit 2 APPENDICES FOR STEP 1 - PROJECT PROPOSAL (PAGES 18 TO 26) 18 55B-27 Exhibit 2 APPENDIX A - SUBMITTAL CHECKLIST: STEP 1 - PROJECT PROPOSAL The following is entered directly into SOAR: . Project Proposal Form . Project Summary . Project Questions The following will be uploaded into SOAR as attachments: . Project Proposal Form Signature Page (print signature page and upload) Cost Estimate . Non -Profit Questionnaire (Non -Profit Applicants Only) . Supporting Documents (Programming Projects Only) . Location Map (Capital Development Projects Only) . Site Plan (Capital Development Projects Only) . Photographs (Capital Development Projects Only) 19 55B-28 Exhibit 2 le1Uzi ►U]EAII:11WK9b32*11111ILYAFA9:4 In preparing a cost estimate for the project, applicants should comply with the following: 1. All project elements should be detailed and customized to fit the project. 2. Each element should be clearly described in the project narrative. 3. Each funding source must have its own column. Other Funding Source columns headings should specify cash or in -kind. 4. Youth Community Access Grant and Other Funding Source columns should sum to the Total Cost column. 5. The cost of specific non -labor project elements funded by the grant should not be split between the grant and other funding sources. 6. The estimates provided should be based on quotes by a general contractor, cost estimator, or provided directly by a qualified vendor or sub -contractor. 7. Add/delete elements and funding sources as needed. Be sure all costs are eligible, within allowable limits, and all columns add up correctly. 8. If Capital Development Project, total non -construction costs (direct staff time, consultants, permitting, etc.) are capped at twenty-five percent (25%) of the grant request. 9. Contingency costs can be no more than ten percent (10%) of the grant request. 10. Grantees that wish to charge overhead must include as a separate line item in the budget and limit to 15% of the total direct costs of the grant. In service payroll may not include a "billable rate" or administrative cost allocation. See Appendix C for further information on requirements if requesting overhead. 20 55B-29 =n o -no Eo2-0 =e==n 2%222mz i §k CL2Dq0 zE(!C ; §[ g]} + m \ CD 2e:)g 7a a\ A W cc k ( (\0k> ��k �/d k k z MC � q e; }E®=2 3 d (r m c m m } <3 )0 § � to — §�0 Q n k � § = CD n r ; \ ` 2 — § m ! ( �§ ` CD z m CD m CD co § � z CD — co w cc CD S0 \ CDC / U ( Lq �c f J 9030 —.}_ \7 Q) m x k N SSB- O Exhibit 2 APPENDIX C - ELIGIBLE COSTS Direct project -related costs and indirect costs that can be directly tied to the project that are incurred during the project performance period specified in the grant agreement are eligible for reimbursement and/or to be used for match. All eligible costs must be supported by appropriate documentation, including timesheets for in-house labor. Costs incurred outside of the project performance period are not eligible for reimbursement. Projects must comply with Labor Code section 1771.5. Therefore, cost estimates should include prevailing wages, as applicable. See the Department of Industrial Relations' Division of Labor Statistics and Research website at http://www.dir.ca.gov/DLSR/PWD/index.htm for general prevailing wage determinations. For questions about prevailing wage, contact the Department of Industrial Relations. All Projects 1. Direct Costs — Costs that are directly tied to the implementation of the project to be funded and incurred during the project performance period specified in the grant agreement. Endowments for ongoing project maintenance are not eligible and will not be reimbursed. 2. Contingency — Up to ten percent (10%) of the grant may be budgeted for contingency costs. All contingency costs must be eligible per these guidelines. Contingency funds may not be used to increase the amount of funds that can be used for project management/non- construction (pre -implementation) work. Contingency funds must be reprogrammed into new or existing eligible elements prior to expending. Unspent funds will be returned to the State. 3. Contracted Services — The costs of contracted services may be reimbursed if invoices are presented with payment requests that identify the specific project activities and include evidence of payment. 4. Personnel or Employee Services — Costs for the services of grantee's employees directly engaged in project execution must be computed according to grantee's prevailing wage or salary scales and may include benefits such as vacation, sick leave, Social Security contributions, etc., that are customarily charged to grantee's various projects. a. Costs charged to the project must be computed on actual time spent on the project and evidenced by time and attendance records describing the work as well as payroll records. Overtime costs may be allowed under grantee's established policy, provided the regular work time was devoted to the same project. b. Salaries and wages claimed for employees working on State grant -funded projects must not exceed grantee's established rates for similar positions. 5. Supplies and Materials — Supplies and materials may be purchased for a specific project or may be drawn from a central stock, providing they are claimed at a cost no higher than that paid by the Grantee. 22 55B-31 Exhibit 2 6. Community Engagement - Costs of engaging community members through community meetings and events directly related to the project are eligible. 7. Overhead - Overhead costs are the non -project specific costs of doing business that are not directly related to the implementation of the project to be funded (for example, rent, computers, telephones, office supplies, internet access, copy machines, electricity). Certain types of overhead are not allowed including, food and beverage, fundraising, lobbying and entertainment. Any cost that is billed as a direct cost may NOT be included in overhead. Grantees that wish to charge overhead must be able to document the appropriateness of the charges. One typical method for documentation is to have a Cost Allocation Plan. Other methods may also be adequate, but it is the grantees responsibility to determine this based on Generally Accepted Accounting Principles. It is recommended that grantees develop an appropriate method for calculating their overhead rate and determine what overhead costs may be allocated to the grant, subject to the Agency's approval and the 15% limit. It is the responsibility of the grantee to maintain appropriate records for all overhead costs and to be able to provide those records in the event of an audit. Overhead should be included as a line item in the approved project budget and limited to a maximum of 15% of total direct costs of a grant. 8. Other Expenditures - In addition to the major categories of expenditures, grant funding may be used for miscellaneous costs necessary for execution of the project at the discretion of the State. Some of these costs may include: a. Premiums on hazard and liability insurance to cover personnel and/or property. b. Work performed by another section or department of grantee's agency that can be documented as direct costs to the project (see requirements above under Personnel or Employee Services). c. Transportation costs for moving equipment, program participants, or personnel. d. Training costs for staff to increase cultural competency Capital Projects 1. Project Manage ment/Non-Construction Costs — Up to twenty-five percent (25%) of grant funds for a development project may be spent on project management/non-construction (pre - implementation) costs, including, but not limited to, planning and design, environmental documents, architecture and engineering, construction plans, permitting, and direct project administration and management. The State will award pre -implementation funds for eligible proposed projects provided the applicant agrees that if the proposed project is not ultimately approved for implementation or awarded funding by the State but is instead funded and implemented by entities independent of the State, and which rely in whole or in part on the environmental documentation paid for by the pre -implementation award, that upon approval by those other entities, all funds expended by the State for the environmental review will be repaid. 23 55B-32 Exhibit 2 2. Signs and Interpretive Aids — Costs can include construction of exhibits, kiosks, display boards or signs located at and communicating information about the project as well as the required funding acknowledgement sign (see Appendix K). 3. Exhibitions — Production, fabrication, installation of object display elements, including materials. 4. Construction a. All necessary labor and construction activities to complete the project are eligible, including site preparation (demolition, clearing and grubbing, excavation, grading), monitoring (including soil and water testing during construction), onsite/field implementation, and construction supervision, etc. The grant can pay for up to two years of plant establishment, as deemed appropriate. b. Trees, supplies and materials may be purchased for a specific project or may be drawn from a central stock, provided they are claimed at a cost no higher than that paid by grantee. Grantees in the business of growing plants may not charge retail rates for plants reared for a project; however, charges for materials and staff time are allowable. Trees larger than 15 gallons in size are not eligible for reimbursement. Equipment owned by grantee may be charged to the project for each use. Equipment use charges must be made in accordance with grantee's normal accounting practices. The equipment rental rates published by the California Department of Transportation may be used as a guide (refer to http://www.dot.ca.gov/hq/construc/equipmnt.html). • If grantee's equipment is used, a use log or source document must describe the work performed, indicate the hours used, relate the use to the project, and be signed by the operator and supervisor. • Equipment may be leased, rented, or purchased, whichever is most economical. If equipment is purchased, its residual market value must be credited to the project costs upon completion of the project. 5. Vehicle Acquisition a. Vehicles may be purchased, leased, or rented, whichever is most economical. b. All operation, care, and maintenance for the vehicle are eligible, including insurance coverage, gasoline, and scheduled/routine maintenance are eligible for reimbursement. 24 55B-33 Exhibit 2 APPENDIX D — NON-PROFIT QUESTIONNAIRE All non-profit applicants must complete the following questionnaire. ORGANIZATION NAME: GENERAL INFORMATION 1. Does your organization have appropriate segregation of duties to prevent one individual from processing an entire financial transaction? Yes No 2. Does your organization have controls to prevent expenditure of funds in excess of what is approved in your project budget? Yes No 3. Does your organization have a conflict of interest policy? Yes No 4. How much unrestricted money does your organization raise annually? 5. Does the Board of Directors have a separate Finance Committee, or does the Board make all financial decisions? 6. What are the Treasurer's duties? CASH MANAGEMENT 7. Are grant funds accounted for through segregated accounts? Yes No 8. Are all disbursements properly documented with evidence of receipt of goods or performance of service? Yes No Je\'/Y0]11 9. Does your organization have a time reporting system developed to determine and explain proper labor charges billed to the grant? Yes No 10. Have you developed procedures to ensure fair and competitive contracting? Yes No 11. Is there an effective system of identifying expenditures for time, travel and purchase of supplies to determine relevancy to individual grant projects? Yes No 25 55B-34 Exhibit 2 PROPERTY MANAGEMENT Complete this section if State grants will be used to purchase physical assets. 12. Are detailed records of individual capital assets kept and periodically balanced with the general ledger accounts? Yes No 13. Are there effective procedures for authorizing and accounting for the disposal of property and equipment? Yes No COMPLIANCE 14. Does your organization have a formal system for complying with the payment of prevailing wages? Yes No 15. Does your organization have a system in place to ensure it does not use contractors who may be suspended or debarred from receiving federal orstate contracts? Yes No Name of person completing questionnaire: Title: Signature Date 26 55B-35 Exhibit 2 APPENDICES FOR STEP 3 - SUPPORTING DOCUMENTATION (QUALIFYING PROJECTS ONLY) (PAGES 27 TO 36) 27 55B-36 Exhibit 2 APPENDIX E - RESOLUTION TEMPLATE Resolution No: RESOLUTION (GOVERNING BODY OF GRANTEE) APPROVING THE APPLICATION FOR GRANT FUNDS FOR THE YOUTH COMMUNITY ACCESS GRANT PROGRAM WHEREAS, the Legislature and Governor of the State of California have provided funds for the program shown above: and WHEREAS, the California Natural Resources Agency has been delegated the responsibility for the administration of this grant program, establishing necessary procedures; and WHEREAS, said procedures established by the California Natural Resources Agency require a resolution certifying the approval of application(s) by the Applicant's governing board before submission of said application(s) to the State; and WHEREAS, the Applicant, if selected, will enter into an agreement with the State of California to carry out the project. NOW, THEREFORE, BE IT RESOLVED that the (Governing Body) 1. Approves the filing of an application for the (name of the project); and 2. Certifies that Applicant understands the assurances and certification in the application package; and 3. Certifies that Applicant or title holder will have enough funds to operate and maintain the project(s) consistent with the land tenure requirements; or will secure the resources to do so; and 4. Certifies that it will comply with all provisions of Section 1771.5 of the California Labor Code; and 5. If applicable, certifies that the project will comply with any laws and regulations including, but not limited to, the California Environmental Quality Act (CEQA), legal requirements for building codes, health and safety codes, and disabled access laws, and that prior to commencement of construction all applicable permits will have been obtained; and 6. Certifies that Applicant will work towards the State Planning Priorities intended to promote equity, strengthen the economy, protect the environment, and promote public health and safety as included in Government Code Section 65041.1; and 7, Appoints the (designate position, not person occupying position) or designee, as agent to conduct all negotiations, execute and submit all documents including, but not limited to, applications, agreements, payment requests and so on, which may be necessary for the completion of the aforementioned project(s). Approved and adopted the day of 20. I, the undersigned, hereby certify that the foregoing Resolution Number was duly adopted by the (Governing Body) Following Roll Call Vote: Ayes: Nos: Absent: 28 Clerk/Secretary for the Governing Board 55B-37 Exhibit 2 APPENDIX F - CERTIFICATION LETTER REQUIREMENTS If an Applicant does not have a governing board, a certification letter from the organization's Director or Chief Executive Officer must be furnished. The letter should: 1. Approve the filing of an application for the (name of the project); and 2. Certify Applicant Is eligible to apply for a State grant due to status as a 501 (c) 3 non-profit organization, government entity, or Federally Registered tribe; and 3. Certify that applicant understands the assurances and certification in the application herein, and 4. Certify applicant organization has long-term control of the property and will provide satisfactory documentation of the long-term control as part of the grant agreement development process; and 5. Certify that applicant or title holder will have sufficient funds to operate and maintain the project consistent with the land tenure requirements; or will secure the resources to do so; and 6. Certify the proposed project/organization is free of any legal challenges that could undermine progress on the project; and 7. Give State permission to publish any provided digital image to its website and to crop or resize the image; and 8. Agree to acknowledge State's support in any news media, brochures, articles, publications, seminars, exhibits, buildings, displays, products, or other promotion materials about the funded project; and 9. Certify that it will comply with the provisions of Section 1771.5 of the State Labor Code regarding payment of prevailing wages on Projects awarded Proposition 84 Funds, and 10. Agree that projects involving construction, renovation, repair, rehabilitation, or ground or visual disturbances must comply with all current laws and regulations which apply to the Project, including, but not limited to, labor codes related to prevailing wage, legal requirements for construction contracts, building codes, environmental laws, health and safety codes, disabled access and historic preservation laws and environmental laws. Grantee will be required to certify that, prior to commencement of construction, all applicable permits and licenses (e.g., state contractor's license) will be obtained; and 11. Agree to adhere to the Americans with Disabilities Act of 1990 (ADA) and the 2010 ADA Standards for Accessible Design. Title III of the ADA covers places of public accommodation (such as museums, libraries, and educational institutions) and includes a specific section regarding new construction and alterations in public accommodations; and 12. Agree that projects involving construction, renovation, repair, rehabilitation, or ground or visual disturbances must comply with the National Historic Preservation Act; and 13. Waive all rights to privacy and confidentiality of the material submitted to State, and 14. Agree to execute a grant agreement prior to the encumbrance deadline, and will caused work on the project to be commenced within a reasonable time after encumbering the funds, so that the project will be complete and the final invoice submitted to the State by May 1 of the stated year; and 15. Agree that for all property acquired or developed with Youth Community Access Grant funds, applicant will accept, sign, notarize and record a declaration of covenants, conditions and restrictions (deed restrictions) which attaches the conditions of the grant, as set forth in the grant agreement, on the use and enjoyment of the property until the end land tenure date specified in the grant agreement; and 16. Appoint the (designate position, not person occupying position) , or designee, as agent to conduct all negotiations, execute and submit all documents including, but not limited to applications, agreements, payment requests and so on, which may be necessary for the completion of the aforementioned project(s). 17. Contain the signature of the Director or Chief Executive Officer. 29 55B-38 Exhibit 2 APPENDIX G - ENVIRONMENTAL COMPLIANCE Prior to approval and distribution of grant funds for construction/implementation, every proposed project shall comply with the California Environmental Quality Act, Division 13 (commencing with section 21000; 14 California Code of Regulations section 15000 et seq. ["CEQA"]). The State of California, acting through its administering agencies and departments, will typically act as a responsible agency for the purposes of CEQA. Therefore, prior to the State approving funding for a proposed project, one of the following must be submitted. a. The Notice of Exemption filed with the County Clerk and State Clearinghouse (as applicable) if the proposed project is categorically or statutorily exempt, with the appropriate Public Resources Code section citation to the exemption(s) being relied upon by the lead agency. b. The Negative Declaration or Mitigated Negative Declaration adopted by the lead agency and Initial Study, including a copy of the Environmental Checklist Form located in Appendix G of the CEQA Guidelines and the Notice of Determination filed with the County and with the State Clearinghouse. If the lead agency has adopted a Mitigated Negative Declaration, the applicant must also provide the adopted mitigation monitoring and reporting program'. c. The Final Environmental Impact Report certified and adopted by the lead agency with Initial Study, including a copy of the Environmental Checklist Form located in Appendix G of the CEQA Guidelines, the adopted mitigation monitoring and reporting program, and the Notice of Determination filed with the County and the State Clearinghouse. Please include any State Clearinghouse Responses received by the applicant'. 'For b and c, include documentation the State of California Department of Fish and Wildlife CEQA fee was paid or is not applicable. d. Projects that tier from a Programmatic, Master, or other Environmental Impact Report shall include a copy of any subsequent Initial Study for the proposed project together with a copy of any supplementary environmental documentation adopted by the lead agency, including, if applicable, any required findings pursuant to Public Resources Code section 21157.1, subdivision (c), and the Notice of Determination, filed with the County Clerk and with the State Clearinghouse, as applicable Pursuant to section 75102 of the Public Resources Code, before the adoption of a Negative Declaration or Environmental Impact Report, the lead agency shall notify the proposed action to a California Native American tribe which is on the contact list maintained by the Native American Heritage Commission, if that tribe has traditional lands located within the area of the proposed project. Native American Graves Protection and Repatriation Act (NAGPRA): Grantees must comply with NAGPRA which provides a process to return certain Native American cultural items — human remains, funerary objects, sacred objects, or objects of cultural patrimony — to lineal descendants, culturally affiliated Indian tribes and Native Hawaiian organizations. National Historic Preservation Act: Projects involving construction, renovation, repair, rehabilitation, or ground or visual disturbances must follow the Secretary of the Interior's 30 55B-39 Exhibit 2 Standards for the Treatment of Historic Properties, where appropriate, to ensure the historical integrity of the project, and comply with the National Historic Preservation Act, Section 106. 31 55B-40 W 0 Z w n. a Q s.: E O O U pawjo}jad aq of W 80 si ear( to 2 O E aL a 0 w c (aquosap) a�.4v E N c Jagl0 o E.c Jaumo 0:U E waliallal y ° =mm vdr v B o @sea] a m-@ a) u luawaaA6 w O o W'80 N T x L cmi Z C C Q U Q L y 0 U O y 0 y C m Lo N 3 a� C lO L S E U 3 O -o Cm o U O w C f0 O O N L '00 6 m O O U N C m L W w�y O e da (equosep) 3 ; o Jagl0 oho_ & c o y luawase3 �f0m CL c o aidwis aa3 N m m d Q N m O N E N � Q Z N E m z CN O E E o Z M t Lo (0 r-- co 0) p o N M N 's x W w u l6 a w 0 a a E 0 z 5 0 55B-42 Exhibit 2 APPENDIX I - SITE CONTROL/LAND TENURE REQUIREMENTS The State recognizes that specific activities on the project property may change over time; however, all uses on the property must remain compatible with the Youth Community Access Grant Program, in accordance with the following requirements: Capital Development Projects Grantee shall maintain and operate the property developed pursuant to this grant for a period of: At least 10 years for grants up to $300,000 Grantee shall not use or allow the use of any portion of the real property for mitigation (i.e., to compensate for adverse changes to the environment elsewhere). Grantee shall not use or allow the use of any portion of the real property as security for any debt. With the approval of the State, Grantee or Grantee's successor in interest in the property may enter into an agreement with another party to maintain and operate the property in accordance with this grant program. At a minimum, the agreement must do the following: • Clearly spell out the roles of each party in detail. • Be signed by both parties signifying their acceptance. • Not terminate prior to the length of site control/land tenure required by the grant agreement (only agreements that allow early termination for cause or by mutual consent will be acceptable) • Include language that Grantee will resume responsibility for ongoing operation and maintenance in the event of cancellation Grantee may be excused from its obligations for operation and maintenance of the project site only upon the written approval of the State for good cause. Good cause includes, but is not limited to, natural disasters that destroy the project improvements and render the project obsolete or impracticable to rebuild. Capital Vehicle Acquisition Projects Grantee shall maintain and operate the vehicle acquired pursuant to this grant for a period of at least eight years. Grantee may be excused from its obligations for operation and maintenance of the vehicle only upon the written approval of the State for good cause. Good cause includes, but is not limited to, natural disasters that damage the vehicle and render the use obsolete. 5913-43 Exhibit 2 APPENDIX J - PROJECT PERMIT APPROVAL STATUS Indicate the status of all federal, state and local permits required for the project. Describe any potential delays due to permitting (indicate specific permits). If acquiring a long-term encroachment permit, submit evidence the entity with jurisdiction is aware of the project and is willing to work with applicant to issue the permit. This list is not all-inclusive. It is grantee's responsibility to identify and obtain all applicable permits- 0 w 0 0 ~ O a. 0 U a PERMITTING AGENCY TYPE OF REQUIREMENT Lu a a c w State Agencies Department of Fish & Wildlife Lake or Streambed Alteration Agreement (Section 1600) ❑ ❑ ❑ Department of Fish & Wildlife Incidental Take Permit or Consistency Determination (CESA) El El El Endangered Species Act Department of Transportation Encroachment Permit ❑ ❑ ❑ Coastal Commission Coastal Development Permit ❑ ❑ ❑ Coastal Commission Letter of Consistency ❑ ❑ ❑ Regional Water Quality Control 401 Water Quality Certification or Waste Discharge Requirement ❑ ❑ ❑ Board State Water Resources Control Water Rights Permit ❑ ❑ ❑ Board State Water Resources Control General Industrial Stormwater Permit ❑ ❑ ❑ Board State Lands Commission Permit (if using State-owned property) ❑ ❑ ❑ State Office of Historic Section 106 Consultation with State Historic Preservation Officer El El El (National Historic Preservation Act of 1986) Federal Agencies U.S. Fish and Wildlife Service Section 7 Consultation, Biological Opinion or Section 10 Permit El El El Species Act) U.S. Army Corps of Engineers Section 404 Permit (Clean Water Act) ❑ ❑ ❑ U.S. Army Corps of Engineers Section 10 Permit (Rivers & Harbors Act of 1899) ❑ ❑ ❑ U.S. Coast Guard / U.S. Army Section 9 Permit (Rivers & Harbors Act of 1899) ❑ ❑ ❑ Corps of Engineers U.S. National Resources Section 106 Consultation (National Historic Preservation Act El El El Service of 1986) National Marine Fisheries Section 7 Consultation, Biological Opinion, or Section 10 Permit El El El (Endangered Species Act) Local and Regional Planning Agencies City/County Grading Permit ❑ ❑ ❑ City/County Environmental Health Department ❑ ❑ ❑ City/County Model Water Efficient Landscape Ordinance (MWELO) Landscape ❑ ❑ El Package Central Valley Flood Protection Permission to Encroach on Waterways within Designated El El El Floodways S.F. Bay Conservation and Any relevant permit ❑ ❑ ❑ Development Commission Tahoe Regional Planning Any relevant permit ❑ ❑ ❑ Agency Local Resource Conservation Consultation ❑ ❑ ❑ District Flood Control Districts Floodway & Hydrological Analysis ❑ ❑ ❑ Others (e.g., CalRecycle, El El El Contractors Board, etc.): 5913-44 Exhibit 2 APPENDIX K - SIGNAGE AND RECOGNITION GUIDELINES Types of Signs 1. Construction - A sign acknowledging the funding source is required during construction. Post Construction Completion — A funding acknowledgement sign must be installed before the final project inspection and remain in place for at least four (4) years from the date of project completion. The size of the sign is not prescribed; however, the funding source logo must comply with minimum size requirements and all required funding language. If appropriate, the same sign can be used during construction and completion. 3. Vehicle Acquisition Completion - Funding acknowledgement recognition must be installed on each vehicle before the final project inspection and remain in place for at least four (4) years from the date of project completion. The size of the recognition on the vehicle is not prescribed; however, the funding source logo must comply with minimum size requirements and all required funding language. Sign Language All signs must contain the language shown to the right. The name of the director of the local agency or other governing body may be added, as well as the names (and/or logos) of othe partners, organizations, individuals, and elected representatives. Logo All signs must contain a Youth Community Access Grant Program logo (see the box to the right). The program logo is available at https://resources.ca.gov/qrants/Grant-Program- Resources under Logo Artwork. The logo must be mounted in an area maximizing visibility and durability. The logo must measure a minimum of 12 inches in height. When appropriate, exceptions may be approved at the State's discretion. Another community access project through the Natural Resources Agency to improve youth access to natural and cultural resources PROP64 Youth Community Access GAVIN NEWSOM, GOVERNOR Wade Crowfoot, Secretary for Natural Resources Sign Construction All materials used shall be durable and resistant to the elements and graffiti. The California Department of Parks and Recreation and California Department of Transportation standards can be used as a guide for gauge of metal, quality of paints, mounting specifications, etc. Sign Cost The cost of the sign(s) is an eligible project cost. Permanent signage is encouraged. Appropriateness of Signs 5 5B-45 Exhibit 2 For projects where the required sign may be out of place or affected by local sign ordinance, the State may authorize a sign that is more appropriate to the project. Signs on State Highways Signs placed within the state highway right-of-way may require a Caltrans encroachment permit. Contact your local Caltrans District Office early in the planning process for more information. For District Office locations, see https://dot.ca.gov/caltrans-near-me. State Approval Grantee shall submit the proposed number, location(s), size, and language of sign for review prior to ordering signs. Final funds for projects will not be reimbursed until signage has been approved and installed. Program Recognition The Grantee shall use the Youth Community Access Grant Program logo on any project announcements, social media, website, marketing materials, and news releases. 59'B-46 Exhibit 2 APPENDIX L — PROGRESS REPORT TEMPLATE (not to be submitted with application) YOUTH COMMUNITY ACCESS QUARTERLY REPORT Grantee Name: Grant Number: Reporting Period: Objective/Goal: Completed to Date with Focus on Most Recent Quarter Activities (grant deliverables) Outcomes (results) Tools (how outcomes were measured) Other information (obstacles facing, expectations for next quarter, success stories, photos, etc. -may use additional pages if needed): 55B-47 Exhibit 2 APPENDIX M - AVAILABLE RESOURCES Assembly Bill 64: Cannabis: licensure and regulation https://leg info. leg islatu re.ca.gov/faces/bi I ITextCl ient.xhtml?bi I I_id=201720180A B64 California Community Reinvestments Grants Program Interactive Mapping Tool hftp://maps.gis.ca.gov/calcrg/map.htmi CAL FIRE'S Tree Planting Standards and Specifications hftp://www.fire.ca.gov/resource mgtldownloads/CALFI RE_N u rsery_Stan dards_and_Specs 11 _12. pdf California Department of Industrial Relations Prevailing Wage Determination hftps://www.dir.ca.gov/OPRL/DPreWageDetermination.htm California Department of Justice, Office of the Attorney, General Registry of Charitable Trusts hftp://rct.doj.ca.gov/VerificationNVeb/Search.aspx?facility=Y California Department of Public Health, Health in All Policies hftps://www.cdph.ca.gov/Programs/OHE/Pages/HIAP.aspx California Native American Heritage Commission http://nahc.ca.gov/ California Secretary of State Business Search hftps://businesssearch.sos.ca.gov/ California State Parks: A Valuable Resource for Youth Health https://www. ioes. ucia.ed u/wp-content/uploads/UCLA-report-on-Cal iforn ia-State-Parks-and-Youth-Health. pdf California State Parks Safety Tips hftps://www.parks.ca.gov/?page_id=29142 Community FactFinder (SCORP) hftp://www.parksforcalifornia.org/communities Department of Water Resources Disadvantaged Communities Mapping Tool hftps://gis.water.ca.gov/app/dacs/ Governor's Office of Planning and Research CEQA Documents hftp://opr.ca.gov/clearinghouse/ceqa/document-submission.htmi Natural environments and craving: The mediating role of negative affect hftps://www.sciencedirect.com/science/article/abs/pii/Sl 353829218308451 ?via%3Di h u b#! Safeguarding California — California's Climate Adaptation Strategy hftp://resources.ca.gov/climate/safeguarding/ Urban greenspace is associated with reduced psychological stress among adolescents: A Geographic Ecological Momentary Assessment (GEMA) analysis of activity space https://www. ncbi. n I m. n i h.gov/pmc/articles/PMC5863919/pdf/n i h ms946222. pdf Youth Engagement and Local Planning: Ideas for Youth Commissions https://www.ca-ilq.or_q/sites/main/files/file-attachments/ilq briefing paper 3 proof7.pdf Exhibit 2 APPENDIX N - DEFINITIONS Unless otherwise stated, the terms used in these grant guidelines have the following meanings: Acquisition - means obtaining title to a vehicle. Agency - means the California Natural Resources Agency. Americans with Disabilities Act (ADA) - means the U.S. Americans with Disabilities Act of 1990 that gives civil rights protections to individuals with disabilities, guaranteeing equal opportunity in employment, public accommodations, transportation, State and local government services, and telecommunications. Applicant - means an eligible organization requesting funding from a program administered by the State. Capital Project — means tangible physical personal property with an expected useful life of 10 years or more. A capital project may include, but is not limited to, acquisition (vehicles only), improvement, rehabilitation, enhancement, preservation and protection of tangible physical personal property. CEQA - means the California Environmental Quality Act, Public Resources Code Section 21000 et seq.; Title 14, California Code of Regulations, Section 15000 et seq. Clean Transportation - means a vehicle that uses technology to replace or reduce the direct use of fossil fuels, which generate greenhouse gas emissions. Clean transportation includes plug- in hybrid electric (PHEV), battery electric (BEV), hydrogen fuel cell, ethanol, biodiesel, natural gas, and propane -powered vehicles. Cultural Resource — means tangible physical evidence or place of past human activity. These may include buildings, structures, prehistoric sites, historic or prehistoric objects or collections, rock inscriptions, religious sites, and landscapes or natural features of significance to a group of people. Deliverables — means the "final products" of a task. It reflects the tangible result of the completion of a task. Development - includes, but is not limited to, improvement, rehabilitation, restoration, enhancement, preservation, protection, and interpretation. Direct Costs — means costs associated with the development, administration, planning and management of the project which are specifically incurred for the benefit of the project. Disadvantaged Community — see definition for underserved community. Fund or Funds - means the Youth Education Prevention, Early Intervention, and Treatment account created by The Control, Regulate, and Tax Adult Use of Marijuana Act of 2016 (Proposition 64). Exhibit 2 Grant Agreement - means an arrangement between the State and Grantee specifying the payment of funds by the State for the performance of specific project objectives within a specific project performance period by the Grantee. Grantee - means an applicant that has an agreement for grant funding with the State. Grants Administrator - means an employee of the State who manages the grants. In -Kind - means non -cash donations, from governmental or private sources, and includes volunteers, materials and services. Interpretation - includes, but is not limited to, a visitor -serving amenity that enhances the ability to understand and appreciate the significance and value of natural, historical and cultural resources and that may utilize educational materials in multiple languages, digital information, and the expertise of a naturalist or other skilled specialist. Land Tenure/Site Control - means the applicant owns the project land or has other legal long- term interest with the landowner that is satisfactory to the State. Local Agency - means any political subdivision of the State of California, including, but not limited to, any county, city, city and county, district, joint powers authority, local community conservation corps agency, or council of governments. Low Income Community — means a community with an annual median household income less than 80 percent of the statewide average (see Appendix M: Community FactFinder or Department of Water Resources Disadvantaged Communities Mapping Tool). NAGPRA — means The Native American Graves Protection and Repatriation Act that provides a process to return certain cultural Native American items — human remains, funerary objects, sacred objects, or objects of cultural patrimony — to lineal descendants, and cultural affiliated Indian tribe and Native Hawaiian organizations. Natural Resource - means materials or substances such as minerals, plants, water, animals and fertile land that occur in nature. NEPA - means The National Environmental Policy Act that establishes national environmental policy and goals for the protection, maintenance, and enhancement of the environment and provides a process for implementing these goals within federal agencies. Nonprofit Organization - means a nonprofit corporation qualified to do business in California, and qualified under Section 501(c)(3) of the Internal Revenue Code and incorporated for a minimum of two (2) years. Other Sources of Funds - means cash or in -kind contributions that are required or used to complete the project beyond the grant funds provided by the Youth Community Access Grant Program. Overhead costs — non -project specific costs of doing business that are not directly related to the implementation of the project to be funded (for example, rent, computers, telephones, office 55b-50 Exhibit 2 supplies, internet access, copy machines, electricity). Certain types of overhead are not allowed including, fundraising, lobbying and entertainment. Any cost that is billed as a direct cost may NOT be included in overhead. Plant Palette — means a recommended list of plants (shrubs, trees, etc.) which are appropriate and sustainable for a given jurisdiction and/or environment, considering economic, environmental, and social factors such as rainfall, terrain, soil, maintenance requirements, appearance, desired function and public use. Program - means a planned, coordinated group of activities or procedures, often with a common goal. Project - means the vehicle acquisition, programming, or capital development activity to be accomplished with grant funds, and other funds if necessary, that meets eligibility requirements. Project Performance Period - refers to the beginning and ending dates of the grant agreement. Eligible costs incurred during this period may be funded from the grant. Project Scope - means the description or activity of work to be accomplished by the project. Public Access - means the ability of members of the public to use or benefit from a capital project or program. Public Agency - means any State of California department or agency, a county, city, public district or public agency formed under California law. Secretary - means the Secretary for Natural Resources or his/her representative. State - means a political subdivision of the State of California. Tasks - means itemized steps that are necessary to fulfill the proposed project. Underserved Community - means a community of color and vulnerable populations. Communities of color are American Indian/Alaskan Native, African American, Asian -Pacific Islander, and Latinx. Vulnerable populations are foster and transition age youth, youth with disabilities, LGBTQIA youth, youth involved in the juvenile and criminal justice system and other youth populations disproportionately affected by past state and federal drug policies. Youth - means a person between the ages of birth and 26 years old. END OF GUIDELINES 55Y3-51 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: ADOPT A RESOLUTION AND AUTHORIZE A GRANT APPLICATION SUBMISSION FOR THE BUREAU OF RECLAMATION'S WATERSMART WATER AND ENERGY EFFICIENCY GRANTS PROGRAM FOR THE LANDSCAPED ROADWAY IRRIGATION PROJECT CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 sl Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Adopt a resolution authorizing the Executive Director of Public Works to submit a grant application for the Bureau of Reclamation's WaterSMART, Sustain and Manage America's Resources for Tomorrow, Water and Energy Efficiency Grants, Funding Group I for the Landscaped Roadway Irrigation Project, in the amount of $500,000. DISCUSSION The City of Santa Ana maintains and irrigates landscaping for many medians and roadside parkways throughout the City. Some medians and parkways contain landscaping, such as turf, with high water needs, which due to recurring drought cycles in the region, have not received adequate water to maintain a vibrant and aesthetically pleasing condition. The appearance and aesthetic appeal of our roadways is an important aspect of projecting an image of a city that works for its residents and visitors. Therefore, the City embarked on an effort to revitalize landscaping along high -visibility roadways by replacing withered vegetation with drought tolerant, low-water use plants, while still greatly improving the appearance of the medians and parkways. Moving forward, the City will improve medians and parkways along arterial roadways as part of standard street improvements. The Bureau of Reclamation (BOR) administers the WaterSMART Water and Energy Efficiency Grants (WEEG) as a competitive grant program with one of the main objectives to conserve water and use it more efficiently. The program has approximately $7.8 million available for FY 2021-22 and the program requires a minimum of 100% in matching funds. In order to implement an efficient irrigation system to conserve water, staff proposes employing a combination of a drip system to irrigate half of the new landscaping in the roadways, and using efficient sprinkler nozzles in the other half. The project also includes replacing existing turf in roadside parkways with low-water plants. 55C-1 Adopt a Resolution Authorizing grant application for Landscaped Roadway Irrigation September 15, 2020 Page 2 Staff recommends authorization to submit an application (Exhibit 1) to BOR's WEEG program in the amount of $500,000 for this project. FISCAL IMPACT There is no fiscal impact associated with this action. Staff will return to the City Council with a request for approval of further actions and will indicate the fiscal impact of any such awards and associated expenditures at that time. Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Exhibit: 1. Resolution Authorizing Grant Application for Landscaped Roadway Irrigation Project 55C-2 EXHIBIT 1 jmf 8/18/20 RESOLUTION NO. 2020-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING AN APPLICATION FOR GRANT FUNDING FROM THE BUREAU OF RECLAMATION'S WATERSMART WATER AND ENERGY EFFICIENCY GRANTS FOR THE LANDSCAPED ROADWAY IRRIGATION PROJECT BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City of Santa Ana will be updating landscaping and irrigation systems in medians and parkways along certain arterial roadways ("Landscaped Roadway Irrigation Project"). B. A combination of drip irrigation system, efficient sprinkler nozzles, turf removal and low water usage plants are proposed in the landscape areas in the project roadways. C. The United States Department of the Interior offers financial assistance in the form of grant funding through its Bureau of Reclamation's WaterSMART (Sustain and Manage America's Resources for Tomorrow) Water and Energy Efficiency Grants (WEEG) for this type of project. The program provides two levels of funding: up to a maximum of $2,000,000 for longer term projects and up to a maximum of $500,000 for other smaller projects, but not to exceed 50% of the total project cost. D. The City of Santa Ana desires to fund part of the cost of the Landscaped Roadway Irrigation Project with grant funding from the Bureau of Reclamation's WaterSMART WEEG program, Funding Group I, in the amount of $500,000. Section 2. The City Council of the City of Santa Ana hereby authorizes and directs the Executive Director of Public Works, or his or her designee, to complete, review, sign and submit, for and on behalf of the City of Santa Ana, a grant application for the Bureau of Reclamation's WaterSMART WEEG for the Landscaped Roadway Irrigation Project in the amount of $500,000. Section 3. The City Council of the City of Santa Ana hereby designates the Executive Director of Public Works, or his or her designee to provide the assurances, certifications, and commitments required for the grant application, including executing a financial assistance or similar agreement with the Bureau of Reclamation within established deadlines and any amendments or changes thereto. Section 4. The Executive Director of Public Works, or his or her designee, is designated to represent the City of Santa Ana in carrying out the City's responsibilities 55C-3 under the grant agreement, including certifying disbursement requests on behalf of the City and compliance with applicable state and federal laws. Section 5. If a grant award is made by the Bureau of Reclamation, the City of Santa Ana commits to providing a minimum of 100% in matching funds ($500,000) for the project, and up to the balance of funds needed to complete the construction of the project. Section 6. 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 12020. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: 7�'. -f.4-, John M. Funk Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby certify the attached Resolution No. 2020 - to be the original resolution adopted by the City Council of the City of Santa Ana on .2020. Date: Clerk of the Council City of Santa Ana Resolution No. 2020-XXX Page 2 of 2 55C-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: COUNCILMEMBER BACERRA'S REQUEST FOR RECONSIDERATION OF ADOPTION OF CITY COUNCIL RESOLUTION NO. 2020- 067 OVERRULING THE ORANGE COUNTY AIRPORT LAND USE COMMISSION'S DETERMINATION OF INCONSISTENCY WITH THE AIRPORT ENVIRONS LAND USE PLAN INCLUDED WITH ITEM NO. 75C FROM THE AUGUST 18, 2020 CITY COUNCIL AGENDA, AND SECOND READING AND ADOPTION OF AN ORDINANCE OF THE CITY COUNCIL APPROVING AMENDMENT APPLICATION NO. 2020-01 REZONING PROPERTY LOCATED AT 2300, 2310, AND 2320 SOUTH REDHILL AVENUE, AND APPROVE AN INDEMNIFICATION AGREEMENT WITH ARRIMUS CAPITAL FOR POTENTIAL AIRPORT LIABILITY /s/ Kristine CITY MANAGER CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 sl Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO 1�1��►U1�1:1q:7 RECOMMENDED ACTION It is recommended that the City Council consider taking action as follows: 1. Discuss Councilmember Bacerra's request for reconsideration of Resolution No. 2020-067 overruling the Orange County Airport Land Use Commission's Determination of Inconsistency which was one of several approvals related to the proposed Warner Redhill Mixed Use Development Project associated with Agenda Item No. 75C on the August 18, 2020 City Council Meeting Agenda and vote on the requested Motion to Reconsider. If the Motion to Reconsider is not approved by the necessary majority vote, take action on item 4 below. 2. If a Motion for Reconsideration is adopted, consider adoption of Resolution No. 2020-067 Overruling the Orange County Airport Land Use Commission's Determination of Inconsistency for the Warner Redhill Mixed Use Development Project with the Airport Environs Land Use Plan for John Wayne Airport and take action on item 4 below. 60A-1 Motion to Reconsider Previous Land Use Approval September 15, 2020 Page 2 3. If Resolution No. 2020-067 is not adopted by a 2/3 vote take no further action. 4. If the Motion for Reconsideration is not approved or Resolution No. 2020-067 is adopted by the necessary -2/3 vote, conduct the second reading of and adopt Ordinance No. NS-XXXX and approve the proposed Indemnification Agreement with Arrimus Capital. 4A. AN ORDINANCE OF THE CITY COUNCIL APPROVING AMENDMENT APPLICATION NO. 2020-01 REZONING THE PROPERTY LOCATED AT 2300, 2310, AND 2320 SOUTH REDHILL AVENUE FROM LIGHT INDUSTRIAL (M-1) TO SPECIFIC DEVELOPMENT NO. 96 (SD-96) AND ADOPTING SD-96 FOR SAID PROPERTY 4B. Authorize the City Manager to execute an Indemnification Agreement with Arrimus Capital (Applicant) subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION This matter has been placed on the agenda at Councilmember Bacerra's request for reconsideration of the City Council's approval of Resolution No. 2020-067 pertaining to the City Council making findings to overrule the Orange County Airport Land Use Commission's (ALUC) determination of inconsistency between the proposed Warner Redhill Mixed -Use Project and the Airport Environs Land Use Plan (AELUP) for John Wayne Airport. It is recommended that the City Council entertain a motion and a second, to reconsider Resolution No. 2020-067 from the August 18, 2020 City Council meeting. If the motion is passed the City Council may reopen discussion of Resolution No. 2020-67 which was a part of former Item No. 75C on August 18, 2020, and which is numbered as Item No. 60A on this agenda. The City Council voted to approve Item No.75C on August 18, 2020 by a vote of 5-2. Item No. 75C included several different actions and approvals. See Item No. 75C in its entirely at the link below: https://santaana.granicus.com/GeneratedAgendaViewer.php?view id=2&clip id=2964. Councilmember Bacerra voted to approve all items associated with agenda item No. 75C, including Resolution No. 2020-067 and has, subsequently asked at the immediate following meeting for reconsideration of the approval of said Resolution. The City Council has the authority, pursuant to rules of parliamentary procedure, to reconsider, renew, rescind or amend previous actions approved by the City Council. This is often referred to as reconsideration of an agenda item. A request to reconsider must be made at the same meeting at which the action was taken or the very next meeting. The request is then presented as a motion to reconsider which allows the City Council to revisit an item previously discussed and voted on. If the motion to reconsider passes, Resolution No. 2020-067 appears back before the City Council, 60A-2 Motion to Reconsider Previous Land Use Approval September 15, 2020 Page 3 as if it were on the floor for the first time, and a new motion to approve or deny said Resolution will be in order. If the motion to reconsider is approved, the City Council may then discuss, deliberate, and vote on Resolution 2020-067 as it is now presented as new business Item No. 60A of this agenda. If Resolution No. 2020-067 is not approved, the City Council will not need to take any further action. If Resolution No. 2020-067 is approved, the City Council is asked to take two additional actions. The first is to conduct the second reading of and adopt Ordinance No. NS-XXXX and the second is to approve the proposed Indemnification Agreement with Arrimus Capital. The City Council conducted the first reading of the ordinance on August 18, 2020. The proposed second reading was on the agenda at the City Council's September 1, 2020 meeting, but was not considered because of the request for reconsideration. At the August 18, 2020 meeting Councilmember Bacerra asked about the impacts of the City overruling the Airport Land Use Commission's finding of inconsistency between the proposed project and the John Wayne Airport AELUP. At the time, the City Council was told that as a consequence of overruling Airport Land Use Commission the Airport would be absolved of any liability resulting from an airport or airline accident on the project property. The City Council was informed that the developer, Arrimus Capital, had provided the City with an avigation easement that fully indemnified and absolved the City from liability. The developer had not yet provided the indemnification, but was required, as a condition of approval to do so in connection with the required avigation easement. At this time, the developer has agreed to enter into a stand-alone indemnification agreement to be recorded against the project property rather than include indemnification language in the easement. The City Council is asked to approve the agreement, which has been executed by the Applicant and attached hereto as Exhibit 3. FISCAL IMPACT There is no fiscal impact associated with approval of this action. Submitted by: Minh Thai, Executive Director/Planning and Building Agency Exhibits: 1. Resolution No. 2020-067 2. Ordinance NS-XXXX 3. Indemnification Agreement 4. August 18, 2020 City Council meeting Staff Report Item No. 75C can be view it its entirety at the link below: https://santaana.qranicus.com/GeneratedAgendaViewer.php?view id=2&clip id=296 4 60A-3 EXHIBIT 1 RESOLUTION NO.2020-067 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA OVERRULING THE ORANGE COUNTY AIRPORT LAND USE COMMISSION'S DETERMINATION OF INCONSISTENCY FOR A MIXED -USE DEVELOPMENT PROJECT LOCATED 2300, 2310 AND 2320 SOUTH REDHILL WITH THE AIRPORT ENVIRONS LAND USE PLAN FOR JOHN WAYNE AIRPORT, INCLUDING SUPPORTIVE FINDINGS 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: WHEREAS, Article 5 of Chapter 3 of Division 1 of Title 7 (commencing with Section 65300) of the Government Code requires the City to prepare and adopt a comprehensive, long-term general plan for the physical development of the City; and WHEREAS, on February 2, 1998, the City of Santa Ana adopted the Land Use Element of the General Plan, which has since been amended from time to time; and WHEREAS, Jeremy Ogulnick, representing Arrimus Capital ("Applicant"), seeks to develop a Mixed -Use Commercial and Residential Project ("proposed Project"), on a 14.69-acre site at 2300, 2310, and 2320 South Redhill Avenue in Santa Ana, California ("Project Site"); and WHEREAS, the Project as currently proposed entails, among other things, (1) demolition of the existing three (3) structures on the Project Site; (2) redevelopment of the Project Site with a commercial and residential mixed -use development consisting of up to 80,000 square feet leasable commercial area, 1,100 residential units, 2,600 onsite parking spaces, and onsite landscaping and amenities; (3) approval of General Plan Amendment (GPA) No. 2020-02, which would change the Project Site's existing land use designation of Professional & Administration Office (PAO) to District Center (DC); and (4) approval of Amendment Application (AA) No. 2020-01, which would change the zoning of the Project Site from Light Industrial (M-1) to Specific Development No. 96 (SD-96) designation; and WHEREAS, the requested General Plan Amendment would change the General Plan land use designation of the property from Professional and Administrative Office (PAO) to District Center (DC) and to update text portions of the City's Land Use Element to reflect this change in order to allow for development of the mixed -use commercial and residential Project; and Resolution No. 2020-067 60A-4 Page 1 of 13 WHEREAS, California Public Utilities Code (PUC) Section 21676(b) requires the City of Santa Ana to refer projects requiring a general plan amendment or a zone change to the Orange County Airport Land Use Commission (ALUC) for consistency with the 2008 John Wayne Airport (JWA) Environs Land Use Plan (AELUP); and WHEREAS, the ALUC is charged with the adoption of an AELUP, establishing guidelines for compatible development in the vicinity of an airport within the jurisdiction of the County of Orange. PUC Section 21670(a) sets forth the fundamental purpose of the AELUP as: (1) "... to promote the overall goals and objectives of the California airport noise standards adopted pursuant to Section 21669 and to prevent the creation of new noise and safety problems" and (2) "... to protect public health, safety, and welfare by ensuring the orderly expansion of airports and the adoption of land use measures that minimize the public's exposure to excessive noise and safety hazards within areas around public airports to the extent that these areas are not already devoted to incompatible uses;" and WHEREAS, on May 21, 2020, the ALUC found the proposed project to be inconsistent with the 2008 JWA AELUP by a 6-0 vote. ALUC's findings were made pursuant to AELUP Sections 1.2 and 2.1.4, and PUC Section 216749(a). These sections empower the ALUC "to assist local agencies in ensuring compatible land uses in the vicinity of existing airports to the extent that the land in the vicinity of those airports is not already devoted to incompatible uses," and "to coordinate planning at the state, regional and local levels so as to provide for the orderly development of air transportation, while at the same time protecting the public health, safety and welfare;" and WHEREAS, on May 26, 2020, the Planning Commission held a duly noticed public hearing on the entitlements for the project. Prior to the Planning Commission taking action on the item, staff provided a verbal update informing the Commission regarding ALUC's determination made on May 21, 2020, after the publication of the staff report to the Commission, that the project was inconsistent with the Airport Environs Land Use Plans [AELUP]. Following staffs presentation, and holding the public hearing, the Planning Commission voted 5:1:1 (Phan abstained and Contreras -Leo was absent) to recommend that the City Council approve the required entitlements and environmental documentation for the proposed Project. WHEREAS, pursuant to PUC Section 21676(b), the City may, after a public hearing, propose to overrule the commission by a two-thirds vote of its governing body if it makes specific findings that the proposed action is consistent with the purposes of Article 3.5 Airport Land Use Commission of the PUC. At least 45 days prior to the decision to overrule the ALUC, the local agency governing body shall provide the ALUC and the State Division of Aeronautics a copy of the proposed decision and findings. The commission and the Division of Aeronautics may provide comments to the local agency governing body within 30 days of receiving the proposed decision and findings. If the ALUC and State Division of Aeronautics comments are not available within this time limit, the local agency governing body may act without them. Should comments be Resolution No. 2020-067 Page 2 of 13 60A-5 received, the City Council must include the comments from the ALUC in the public record of any final decision to overrule the ALUC. This decision shall be determined at a public hearing to make the specific findings that the proposed overruling is consistent with the purposes stated in PUC Section 21670. WHEREAS, on June 16, 2020, the City Council of the City of Santa Ana adopted a resolution (Resolution No. 2020-051) authorizing the Planning Division to initiate the preparation and drafting of findings and determination overruling the Orange County ALUC's determination of inconsistency associated with the proposed Mixed -Use Development and to provide notice in accordance with PUC Section 21676(b) to the ALUC and the State Division of Aeronautics; and WHEREAS, on June 30, 2020, the Planning Division of the City of Santa Ana provided a Notice of Intent to overrule the Orange County ALUC's determination that the Mixed -Use Development project is inconsistent with the AELUP of JWA and findings to the ALUC and the State Division of Aeronautics; and WHEREAS, all correspondences received by the ALUC and State Division of Aeronautics have been included in the public record; and WHEREAS, on August 6, 2020, the City gave public notice of a City Council public hearing for consideration of overruling ALUC's determination on the proposed Mixed -Use Development project by advertising in the Orange County Register, a newspaper of general circulation, by mailing to owners of property and residents within 500 feet of the Project, and posting a notice on site; and WHEREAS, August 18, 2020, the City Council conducted a duly noticed public hearing to consider the Environmental Impact Report (EIR) No. 2020-01, General Plan Amendment No. 2020-02, Amendment Application No. 2020-01, and the ALUC overruling determination of inconsistency action and at which hearing members of the public were afforded an opportunity to comment upon such actions. Section 2. The City Council of the City of Santa Ana made the following findings: A. The City of Santa Ana is required to provide findings supporting the overrule of the Orange County ALUC determination as required in the California PUC Section 21676(b). Based on the following Findings of Fact and the associated substantial evidence in the public record, the proposed action by the City on the Mixed -Use Development Project at 2300, 2310 and 2320 Red Hill Avenue and related zoning change and General Plan Amendment are consistent with the purposes of the State Aeronautics Act as stated in PUC Section 21670. B. The proposed Project provides for the orderly development of JWA, and its surrounding area and promotes the overall goals and objectives of the State noise standards by avoiding new noise and safety problems, and protecting Resolution No. 2020-067 60A-6 Page 3 of 13 the public health, safety and welfare through the adoption of land use measures that minimize the public's exposure to excessive noise and safety hazards to the extent that this area is not already devoted to incompatible uses. This Project would not add any new residential or commercial noise impacts to the JWA 65 dBA Community Noise Equivalent Level (CNEL) noise area. C. It is in the public interest to: provide for the orderly development of each public use airport in this state and the area surrounding these airports so as to promote the overall goals and objectives of the California airport noise standards adopted pursuant to PUC Section 21669 and to prevent the creation of new noise and safety problems. D. To provide for the orderly development of JWA and the area surrounding the airport, the ALUC adopted the 2008 AELUP on April 17, 2008. The AELUP guides development proposals to provide for orderly development of the airport and the area surrounding the airport through implementation of the standards in Section 2.1 (aircraft noise, safety compatibility zones, building height restrictions). E. The ALUC is required to use the California Airport Land Use Planning Handbook (Handbook) that was updated by the Califomia Department of Transportation, Division of Aeronautics (Caltrans) in 2011. The AELUP has not been updated to incorporate the Handbook nor has it updated information about the operation and environmental effects of JWA as reflected in its most recent Final Environmental Impact Report (EIR) certified by the Orange County Board of Supervisors on June 25, 2019 for the General Aviation Improvement Program (GAIP). F. On May 21, 2020, the City of Santa Ana presented the Mixed -Use development to the ALUC for a determination of consistency with the JWA AELUP. The ALUC staff report dated May 21, 2020, finds that with regard to AELUP issues of aircraft noise, building heights, safety zones and heliports, that the proposed project, zone change, and General Plan Amendment are each consistent. Despite consistency with each stated criteria of the AELUP, the ALUC staff recommended, "[t]hat the Commission find the proposed ...Mixed Use Project inconsistent with the AELUP for JWA per AELUP Sections 1.2 and 2.1.4 and PUC Section 21674. G. The Project is consistent with the AELUP of JWA and with the purposes of the State Aeronautics Act based on the following Findings of Fact and substantial evidence: a. Lack of evidence of inconsistency by the ALUC. b. There was no evidence presented by or to the ALUC at its hearing on May 21, 2020, to support finding of inconsistency, nor was there a request to provide supplemental information. The ALUC staff made a Resolution No. 2020-067 Page 4 of 13 60A-7 presentation at the Commission hearing based on the staff report. The only addition made by the ALUC staff to the staff report published with the meeting agenda was their acknowledgment of the City's letter on May 20, 2020 stating that the Final EIR for the Project would reinstate a mitigation measure requiring "Notice of Airport in Vicinity," to be included in all lease/rental agreements and post outdoor signage informing the public of the presence of operating aircraft, which demonstrates further compliance with the AELUP and to minimize potential future noise complaints. c. Noise. The residential and commercial land uses under the proposed Project are consistent with the aircraft noise standards of the AELUP. i. Project is located outside of the JWA 60 to 65 dBA CNEL aircraft noise contours. Aircraft noise analysis was completed in the Project's EIR and presented at the ALUC hearing. The JWA GAIP EIR also contains noise analysis demonstrating that the Project is outside of the 60 dBA CNEL noise contour. This noise analysis is based on one year's worth of aircraft operations in all runway operating configurations with for both existing aircraft fleet mixes and future fleet forecasts. This analysis includes the time of day of all operations and includes noise penalties for evening (7 pm to 10 pm) and night (10 pm to 7 am) aircraft operations of five and ten decibels per operation. Residential land uses are normally consistent in areas impacted by aircraft noise up to 60 dBA CNEL and commercial land uses up to 65 dBA CNEL as shown in the AELUP Table 1. These are the same noise standards used by the FAA and the State of California to identify compatible land uses near airports. ii. The project is located outside of the JWA single -event aircraft noise contours. The detailed aircraft noise analysis completed as part of the JWA GAIP EIR included analysis of single event aircraft noise. This analysis included single event noise contours for the noisiest aircraft making regular use of JWA. The Project developer's consultant provided analysis and information at the ALUC hearing showing the Project site is located outside of the JWA 85 dB single event noise contours for all aircraft making regular use of the Airport. iii. The project includes mitigation measure notifying future residents. The Final EIR for the Project revised on May 22, 2020 includes a mitigation measure requiring "Notice of Airport in Vicinity," to be included in all lease/rental agreements and post outdoor signage informing the public of the presence of operating aircraft, which demonstrates further compliance with the AELUP and to minimize potential future noise complaints. Resolution No. 2020-067 60A-8 Page 5 of 13 d. Safety. The residential and commercial land uses under the proposed project are consistent with the safety standards of the AELUP. Project is not in any of the AELUP safety zones. The project is located more than a mile from the outer edge of AELUP Zone 6, Traffic Pattern Zone as depicted in Appendix D. Further, AELUP Appendix D states the "Basic Compatibility Qualities" of Zone 6 as "Allow residential uses" and "Allow most nonresidential uses." Project is not in the JWA runway protection zones (RPZ). The Project is located nearly two miles from the outer edge of the nearest JWA RPZ. ii. The FAA's Determinations of No Hazard to Air Navigation for the Mixed -Use development structures are the only source of authoritative, aviation safety findings regarding the project. The FAA conducted an aeronautical study (49 U.S.C. §44718 and 14 CFR Part 77) and issued its Determinations on March 5, 2020 that structures associated with the project "do not exceed standards and would not be a hazard to air navigation" and that "[b]ased on this evaluation, marking and lighting are not necessary for aviation safety." The FAA's Determinations establish that the Project would be neither an obstruction nor a hazard to air navigation. iii. In this case it is important to first establish what entity has authority over the use of airspace over the project site. "The United States Government has exclusive sovereignty of airspace of the United States" (49 U.S.C. § 40103(a)(1)). iv. In order to use this airspace, the FAA Administrator is responsible for: (1) Plans and policy for the safe use of the navigable airspace (49 U.S.C. § 40103(b)(1); and (2) "[R]egulations on the flight of aircraft (including regulations on safe altitudes) for navigating, protecting and identifying aircraft; protecting individuals and property on the ground; using the navigable airspace efficiently; and preventing collision between aircraft, between aircraft and land or water vehicle, and between aircraft and airborne objects' (49 U.S.C. § 40103(b)(2)). V. The FAA's aeronautical studies for the project structures are the definitive standard for assessing compliance with federal aviation safety laws and regulations (49 U.S.C. § 77.1(c)). This federal authority is recognized in State law (Cal. PUC §21240). vi. The City of Santa Ana has the local police powers to control land use on the site (Cal. Const., art. XI 11, § 7). This constitutional authority is acknowledged in State law (Cal. PUC §21670 and §21676) and the ALUC process (AELUP §4.11) allowing for overrule of an ALUC finding of inconsistency. Resolution No. 2020-067 Page 6 of 13 60A-9 vii. The other entities that have processed or commented on this project have aviation safety duties and responsibilities related to this matter. Each of these entities relies on or ultimately defers to the FAA's authoritative aviation safety role in airspace determinations. viii. The AELUP for JWA, Section 2.1.3 Building Height Restrictions states, "In adopting criteria for building height restrictions in the vicinities of airports, the Commission considered only one standard and that was Federal Aviation Regulations Part 77 ([14 CFR] Part 77) entitled, Objects Affecting Navigable Airspace. "These regulations are the only definitive standard available [emphasis added] and the standard most generally used." ix. Section 2.1.3 also recognizes FAA aeronautical studies beyond 14 CFR Part 77 surfaces as the standard for review, "In addition to the 'imaginary surfaces,' the Commission will use all of the FAR Part 77.23 standards along with the results of FAA aeronautical studies, [emphasis added] or other studies deemed necessary by the Commission, in order to determine if a structure is an 'obstruction."' This section goes on to state: The Commission considers and recognizes the FAA as the single "Authority" for analyzing project impact on airport or aeronautical operations, or navigational -aid siting, including interference with navigational - aids or published flight paths and procedures. The Commission also considers the FAA as the "Authority" for reporting the results of such studies and project analyses. The Commission will not consider the findings of reports or studies conducted by parties other than the FAA unless the FAA certifies and adopts such findings as true and correct. X. Section 2.1.3 adds reference to FAA Advisory Circular 150/5190- 4A, A Model Zoning Ordinance to Limit Height of Objects Around Airports for Commission Review. This FAA Advisory Circular provides specific guidance for establishing zoning regulations along with specific guidance on a "variance" process for potential obstructions. At Section 3.b., 'The Federal Aviation Administration (FAA) conducts aeronautical studies on obstructions which examine their effect on such factors as: aircraft operational capabilities; electronic and procedural requirements; and, airport hazard standards. if an aeronautical study shows that an obstruction, when evaluated against these factors, has no substantial adverse effect upon the safe and efficient use of navigable airspace, then the obstruction is considered not to be a hazard to air navigation [emphasis added]." Resolution No. 2020-067 60A-1 0 Page 7 of 13 A. CalTrans Division of Aeronautics — Caltrans publishes the California Airport Land Use Planning Handbook ("Handbook") in accordance with State Law with the purpose to, " provide information to ALUCs, their staffs, airport proprietors, cities, counties, consultants, and the public; to identify the requirements and procedures for preparing effective compatibility planning documents; and define exemptions where applicable (Caltrans, 2011)." The Handbook provides specific guidance for assessing potential airspace obstructions in Section 4.5 Airspace Protection. xii. JWA — The FAA requires airport sponsors like Orange County to accept specific grant assurances when they accept federal funding. Hazard Removal and Mitigation and Compatible Land Use are two of these assurances (49 U.S.C. § 47107(a)(9) and (10)). For hazard removal, the Airport relies on the FAA's aeronautical study to meet its requirement. For compatible land use, the Airport relies on coordination with the surrounding cities and the ALUC. The following are the specific assurances: xiii. Hazard Removal and Mitigation. It will take appropriate action to assure that such terminal airspace as is required to protect instrument and visual operations to the airport (including established minimum flight altitudes) will be adequately cleared and protected by removing, lowering, relocating, marking, or lighting or otherwise mitigating existing airport hazards and by preventing the establishment or creation of future airport hazards. xiv. Compatible Land Use. It will take appropriate action, to the extent reasonable, including the adoption of zoning laws, to restrict the use of land adjacent to or in the immediate vicinity of the airport to activities and purposes compatible with normal airport operations, including landing and takeoff of aircraft. In addition, if the project is for noise compatibility program implementation, it will not cause or permit any change in land use, within its jurisdiction, that will reduce its compatibility, with respect to the airport, of the noise compatibility program measures upon which Federal funds have been expended. e. Height. The residential and commercial land uses under the proposed project are consistent with the height standards of the AELUP. i. The proposed buildings associated with the Project would not exceed the sloping, three-dimensional 100:1 (one percent sloping surface from the nearest runway over 3,200 feet in actual length) FAA notification surface to require the Filing of FAA Form 7460-1. This fact is stated in the ALUC staff report and was repeated at the ALUC hearing on the Project. Despite this fact, the Project Resolution No. 2020-067 Page 8 of 13 60A-11 proponent filed with the FAA and received a Determination of No Hazard to Air Navigation on March 5, 2020. ii. The Project does not exceed the sloping, three-dimensional 50:1 FAA precision instrument Approach Surface to JWA Runway 20R. This fact is stated in the ALUC staff report and was repeated at the ALUC hearing on the Project. Despite this fact, the Project proponent filed with the FAA and received a Determination of No Hazard to Air Navigation on March 5, 2020. f. Overflight. "Close to the JWA approach centerline" as identified by the ALUC is neither an FAA nor an AELUP standard. The FAA is the only authoritative source of aviation safety data and the FAA does not have a "close to the JWA approach centerline" standard. The FAA's Aeronautical Study of the Project and Determinations of No Hazard to Air Navigation issued on March 5, 2020 are the only authoritative source of airspace impact information as stated in the AELUP. The AELUP clearly identifies its airport land use planning standards around aircraft noise, safety, and height. Objective measures of these standards are clearly identified in AELUP Section 2.1. The Project is consistent with each of these objective standards. iii. Two-dimensional flight tracks and a list of unassociated aircraft do nothing to inform the impact of overflights. The ALUC provided one day of arrival flight tracks, one day of departure flight tracks and lists of aircraft by time of day and altitude that were purported to have produced these flight tracks. iv. The Project proponent prepared three-dimensional models of the ALUC-provided flight track information to depict actual overflight proximity to a scaled model of the Project. These three- dimensional models show that some residents and users of the property would likely be able to see aircraft flying past the property from certain locations. Aircraft noise information from the AELUP, the JWA GAIP EIR and from the Project EIR demonstrate that the noise impact would be less than 60 dBA CNEL and less than single event noise standards identified in the JWA GAIP EIR. V. Aircraft noise contours used to objectively measure noise impact already assume flight tracks and actual operating conditions for a full year including future operations. One day of arrival flight tracks and one day of departure flight tracks are simple anecdotes and not substantive evidence. Resolution No. 2020-067 60A-1 2 Page 9 of 13 vi. The project is located outside of the JWA single event noise exposure areas documented in the JWA General Aviation Improvement Program EIR certified on June 25, 2019. The project developer presented this information to the ALUC Commission at its hearing on May 21, 2020. vii. ALUC Commissioners Monin and Murphy asked for but did not receive evidence of general aviation aircraft using Runway 2R/20L would "be turning right in front of the site." In fact, the GA aircraft pattern and voluntary noise abatement procedures for Runway 2R/20L operate within one to two miles from the end of the runway north of the airport and on a 15-degree offset from the extended runway centerline to avoid airspace conflicts with aircraft arriving Runway 20R. This location places GA aircraft south of Barranca Parkway and aligned with the Tustin Legacy property southeast of the Project site. These regular GA aircraft flight tracks are substantiated in the presentation by JWA staff on April 6, 2019 at a Town Hall meeting about the GAIP. g. Heliports. Heliports are not a part of the Project. h. Zone Change and General Plan Amendment. The proposed zone change, and General Plan Amendment are consistent with the objective AELUP aircraft noise, safety and height standards and are therefore consistent with the larger planning role of the ALUC. "Close to the JWA approach centerline" is not an FAA or an ALUC standard. ALUC offers no substantiation that overflights of new residents would be disturbed or annoyed. On the contrary, the ALUC demonstrates that the Project is located outside of the 60 dBA CNEL noise contour. As such, the Project would not add any new residential or commercial noise impacts to the JWA 65 dBA Community Noise Equivalent Level (CNEL) noise area. ii. Flight tracks for one day of arrivals and one day of departures are not unique and are fully accounted for in the one year of overflights used to measure CNEL noise impacts associated with JWA. Flight tracks for one day of arrivals and one day of departures are not unique and are fully accounted for in the single -event noise contours produced for the JWA GAIP EIR. The Project is located outside of these single -event noise contours. iv. The JWA comments on the Project conflict with its own noise analysis contained in the GAIP EIR. The ALUC staff report states, 'Because of the project location within the primary approach corridor and its proximity to JWA (2.25 miles), JWA stated it is not Resolution No. 2020-067 Page 10 of 13 60A-13 supportive of the proposed residential portion of the project." The objective analysis and conclusions of the JWA GAIP EIR find that the objective aircraft noise analysis demonstrate that the Project would be located outside of the 60 dBA CNEL noise contour and would have no impact on operations at JWA due to height. V. The ALUC staff report states that, "per Section 1.2 of the AELUP for JWA, the purpose of the AELUP is to safeguard the general welfare of the inhabitants within the vicinity of the airport and to ensure the continued operations of the airport." The method by which the ALUC achieves this purpose is through the application of the objective standards contained in Section 2.1 of the AELUP. As demonstrated in the ALUC staff report and, in these Findings, the Project is consistent with each of the standards. As a result, the ALUC has met their duty under Section 1.2 by ensuring that the Project meets these standards. vi. The ALUC staff report states that "Additionally, Section 2.1.4 of the AELUP for JWA and PUC Section 21674 charge the Commission to coordinate at the local level to ensure compatible land use planning." The method by which the ALUC achieves this charge is through the application of the objective standards contained in Section 2.1 of the AELUP. As demonstrated in the ALUC staff report and, in these Findings, the Project is consistent with each of the standards. As a result, the ALUC has met their duty under Section 2.1.4 and PUC Section 21674 by ensuring that the Project meets these standards. Section 3. CALIFORNIA ENVIRONMENTAL QUALITY ACT: The City Council has reviewed and certified Environmental Impact Report No. 2020-01; adopted the Mitigation Monitoring and Reporting Program (MMRP); and adopted the Statement of Overriding Consideration for the proposed Project. Section 4. INDEMNIFICATION. The Applicant shall indemnify, protect, defend and hold the City and/or any of its officials, officers, employees, agents, departments, agencies, authorized volunteers, and instrumentalities thereof, harmless from any and all claims, demands, lawsuits, writs of mandamus, and other and proceedings (whether legal, equitable, declaratory, administrative or adjudicatory in nature), and alternative dispute resolution procedures (including, but not limited to arbitrations, mediations, and such other procedures), judgments, orders, and decisions (collectively "Actions"), brought against the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof, that challenge, attack, or seek to modify, set aside, void, or annul, any action of, or any permit or approval issued by the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof (including actions approved by the voters of the City) for or concerning the project, whether such Actions are brought under the Ralph M. Brown Act, California Environmental Quality Act, the Planning and Zoning Law, the Subdivision Map Act, Code of Civil Procedure sections Resolution No. 2020-067 60A-1 4 Page 11 of 13 1085 or 1094.5, or any other federal, state or local constitution, statute, law, ordinance, charter, rule, regulation, or any decision of a court of competent jurisdiction. It is expressly agreed that the City shall have the right to approve, which approval will not be unreasonably withheld, the legal counsel providing the City's defense, and that Applicant shall reimburse the City for any costs and expenses directly and necessarily incurred by the City in the course of the defense. City shall promptly notify the Applicant of any Action brought and City shall cooperate with Applicant in the defense of the Action. Section 5. CITY COUNCIL ACTION: Based on the above evidence and Findings made, and the remainder of the record in this case, the City Council of the City of Santa Ana hereby resolves to overrule the Orange County ALUC's determination that the Mixed -Use Development Project is inconsistent with the Orange County AELUP. Section 6. EXECUTION OF RESOLUTION. The Mayor shall sign this Resolution and the Clerk of the Council shall attest and certify to the adoption thereof. ADOPTED this "18t' day of August, 2020. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: D4 (- L. Lisa E. Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers Bacerra, Mendoza, Penaloza, Sarmiento, Solorio (5) Pulido, Villegas (2) None (0) NOT PRESENT: Councilmembers None (0) Resolution No. 2020-067 Page 12 of 13 60A-1 5 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2020-067 to be the original resolution adopted by the City Council of the City of Santa Ana on August 18, 2020. Date: ^ - o7 '2DZ Daisy Gomez Clerk of the Cou cil City of Santa Ana Resolution No. 2020-067 Page 13 of 13 60A-17 EXHIBIT 2 LS 8.18.20 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL APPROVING AMENDMENT APPLICATION NO. 2020-01 REZONING THE PROPERTY LOCATED AT 2300, 2310, AND 2320 SOUTH REDHILL AVENUE FROM LIGHT INDUSTRIAL (M- 1) TO SPECIFIC DEVELOPMENT NO. 96 (SD-96) AND ADOPTING SD-96 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 hereby finds, determines and declares as follows: WHEREAS, Chapter 41, Article 1, Division 1, Section 41-1 of the Santa Ana Municipal Code establishes the necessity of segregating the location of residences, businesses, trades and industries; regulating the use of buildings, structures, and land regulation; the location, height, bulk and size of buildings and structures, the size of yards and open space; the City is divided into land -use districts of such number, shape and area as may be considered best suited to carry out these regulations and provide for their enforcement; and WHEREAS, the regulations are considered necessary in order to: encourage the most appropriate use of land, conserve and stabilize property value, provide adequate open spaces for light and air and to prevent and fight fires, prevent undue concentration of population, lessen congestion on streets and highways, and promote the health, safety and general welfare of the people, all as part of the general plan of the City; and WHEREAS, the City of Santa Ana has adopted a zoning map which has since been amended from time to time; and WHEREAS, Jeremy Ogulnick, representing Arrimus Capital ("Applicant"), seeks to develop a Mixed -Use Commercial and Residential Project ('proposed Project'), on a 14.69-acre site at 2300, 2310, and 2320 South Redhill Avenue in Santa Ana, California ("Project Site"); and WHEREAS, during the City's entitlement and environmental review process, and in response to comments and concerns raised by the City and public, the Applicant has proposed the subject mixed -use Project; and WHEREAS, the Project as currently proposed entails, among other things, (1) demolition of the existing three (3) structures on the Project Site; (2) redevelopment of the Project Site with a commercial and residential mixed -use development consisting of up to 80,000 square feet leasable commercial area, 1,100 residential units, 2,600 onsite parking spaces, and onsite landscaping and amenities; (3) approval of General Plan Ordinance No. NS-XXXX Page 1 L� • Amendment (GPA) No. 2020-02, which would change the Project Site's existing land use designation of Professional & Administration Office (PAO) to District Center (DC); and (4) approval of Amendment Application (AA) No. 2020-01, which would change the zoning of the Project Site from Light Industrial (M-1) to Specific Development No. 96 (SD-96) designation; and WHEREAS, Applicant agrees to execute a Mutual Declaration of Acknowledgement and Acceptance of Approval Conditions, signed by the developer and property owner and recorded against the development property, attached hereto and incorporated herein by reference as Exhibit C; and WHEREAS, the requested Amendment Application would change the zoning designation of the property from Light Industrial (M-1) to Specific Development No. 96 (SD-96) and adoption of Specific Development No. 96 to reflect this change in order to facilitate the construction of the proposed Project; and WHEREAS, Environmental Impact Report No. 2020-01 (State Clearinghouse/SCH No. 2019080011) for the proposed Project was circulated between January 3, 2020 to February 18, 2020; and WHEREAS, the Environmental Impact Report analyzed the impacts related to the proposed amendment to the zoning map and adoption of Specific Development No. 96; and WHEREAS, during the public comment period, a Planning Commission work- study session was held on February 10, 2020 where staff presented proposed Project and described the Draft EIR; and WHEREAS, on May 11, 2020 and May 26, 2020, the Planning Commission conducted a duly noticed public hearing to consider the EIR and the GPA, and AA applications described above. After hearing all relevant testimony from staff, the public and the City's consultant team, the Planning Commission voted to recommend that the City Council certify the EIR and adopt the findings, the statement of overriding considerations and the mitigation monitoring and reporting program and approve the Project; and WHEREAS, on August 6, 2020, the City gave public notice of a City Council public hearing for consideration of Environmental Impact Report No. 2020-01 (State Clearinghouse No. 2019080011) by advertising in the Orange County Register, a newspaper of general circulation, and by mailing to owners of property and residents within 500 feet of the Project; and WHEREAS, on August 18, 2020, the City Council conducted a duly noticed public hearing to consider the EIR, General Plan Amendment No. 2020-02, and Amendment Application No. 2020-01 and at which hearing members of the public were afforded an opportunity to comment upon Environmental Impact Report No. 2020-01. After hearing all relevant testimony from staff, the public and the City's consultant team, Ordinance No. NS-XXXX Page 2 60A-19 the City Council voted to certify the EIR, adopt the findings, the statement of overriding considerations and the mitigation monitoring and reporting program and approve the Project; and WHEREAS, the "EIR" consists of the Final EIR and all attachments and appendices, as well as the Draft EIR and its attachments and appendices (as modified by the Final EIR). NOW THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES RESOLVE, DETERMINE, FIND, AND ORDER AS FOLLOWS: SECTION 2. CALIFORNIA ENVIRONMENTAL QUALITY ACT: The City Council has reviewed and certified Environmental Impact Report No. 2020-01; adopted the Mitigation Monitoring and Reporting Program (MMRP); and adopted the Statement of Overriding Consideration for the proposed Project, including this Amendment Application No. 2020-01. SECTION 3. AMENDMENT APPLICATION: The Amendment Application consists of amendments to the zoning map (SDM IRS-9) and adoption of Specific Development No. 96, as shown in Exhibit A and Exhibit B respectively, attached hereto and incorporated herein by reference. SECTION 4. LOCATION OF DOCUMENTS: The Amendment Application, Environmental Impact Report and all supporting documents are online, on file and available for public review at Santa Ana City Hall, 20 Civic Center Plaza, Santa Ana, California 92702. SECTION 5. GENERAL PLAN CONSISTENCY: The City Council hereby finds that the proposed Amendment Application is compatible with the objectives, policies, and general plan land use programs as amended by General Plan Amendment No. 2020- 02 in that: A. The proposed Amendment Application will not adversely affect the public health, safety, and welfare in that the Amendment Application will not result in incompatible land uses on adjacent properties, inconsistencies with any General Plan goals or policies, or adverse impacts to the environment. B. The amendment application to change the zoning designation from Light Industrial (M-1) to Specific Development No. 96 (SD-96) is consistent with Santa Ana Municipal Code section 41-593.1 for the following reasons: (1) Protecting and enhancing the value of properties by encouraging the use of good design principles and concepts, as related to the division of property, site planning and individual improvements with full recognition of the significance and effect they have on the proper planning and development of adjacent and nearby properties. Ordinance No. NS-XXXX Page 3 60A-20 The project's site plan has been designed to integrate the project site into the surrounding community. The development's primary access points will be from a right -in, right -out driveway on Redhill Avenue, and from a signalized intersection on Warner Avenue. These access points have been designed to ensure the safety of residents and visitors of the project site, as well as commuters, employees, and residents of the surrounding community. Onsite circulation has been designed to ensure a high -quality pedestrian experience, with wide sidewalks, a central paseo, and plazas and courtyards that buffer or separate pedestrians from onsite vehicular traffic. Moreover, the project has been broken into four primary buildings and two freestanding commercial pads, which reduces the overall massing of the project and creates a more pedestrian -scale village of buildings onsite. The two future roadway connections on the project site will allow the development to become integrated with the adjacent site to the southwest, should an application for redevelopment be approved. (As of the date of this ordinance, no application for redevelopment of the adjacent site to the southwest has been submitted for the City's consideration). (2) Encouraging, securing and maintaining the orderly and harmonious appearance, attractiveness and aesthetic development of structures and grounds in order that the most appropriate use and value thereof be determined and protected. The project's six buildings on the 14.69-acre site are designed in a cohesive manner with unifying materials, floor heights, and articulation using contemporary architecture in an "industrial tech" style. High -quality building materials will ensure long-term durability and maintaining high value of the project, including metal trim, awnings, railing, slats, and cladding; brick veneers and high -quality light sand finish stucco; glass railing; and poured concrete forms. Onsite furniture and details, such as lighting, waste receptacles, benches, tables, and open space areas, have been designed to complement the site's contemporary architecture. High ground -floor window and ceiling heights will contribute to the high -quality commercial component of the project site, which has been designed to create a dynamic, commercial and residential village. These finishes and designs are consistent with the development standards and design guidelines found in the City's mixed -use zoning areas such as the Transit Zoning Code and Metro East Mixed Use (MEMU) Overlay Zone, as well as the Citywide Design Guidelines. Ordinance No. NS-XXXX Page 4 60A-21 Open space and amenities will be provided on the site in a variety of means, including private unit balconies and patios, amenity decks atop parking structures, ground -level courtyards, the central paseo, and the central plaza. The resident open space areas will contain pools, courtyards, exercise areas, relief areas for pets, and other amenities typical to high -quality mixed - use developments found in Santa Ana and in Orange County. Based on a standard of two (2) acres of public park and/or recreational area per 1,000 residents (SAMC Sec. 35-108), the proposed project would require 4.2 acres of parkland to serve the new residents. The onsite total proposed open space is 183,363 square feet (4.21 acres), which is consistent with the SAMC standard and with other mixed -use projects that provide their own onsite public and private open space areas. (3) Providing a method whereby specific development plans are to be based on the general plan as well as other regulations, programs, and legislation as may, in the judgment of the city, be required for the systematic execution of the general plan. With approval of General Plan Amendment No. 2020-02, the Project will be consistent with the General Plan Land Use Element. Although the Project requires an amendment to the Land Use Element to allow for residential use of the property, the Project still supports and is consistent with several other overarching goals and policies of the General Plan. For example, as described in the associated General Plan Amendment No. 2020-02: Housing Element Goal 2, to create 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. Land Use Element Goal 4, to protect and enhance development sites and districts which are unique community assets that enhance the quality of life. Urban Design Element, Goal 1, to improve the physical appearance of the City through development of districts that project a sense of place, positive community image, and quality environment. (4) Recognizing the interdependence of land values and aesthetics and providing a method to implement this interdependence in order to maintain the values of surrounding properties and improvements and encouraging excellence of property development, compatible with the general plan for, and character of, the city, with due regard for the public and private interests involved. Ordinance No. NS-XXXX Page 5 60A-22 The proposed development contains a large commercial component of 80,000 square feet of leasable retail, service, and restaurant area. This volume of commercial space complements the residents, visitors, and employees working and living on and around the project site. The 80,000 square feet of leasable commercial area is among the largest commercial components proposed in recent mixed -use developments. For comparison, the Elan project (1660 East First Street) approved in 2018 contains 603 residential units and 20,000 square feet of commercial space; the First American redevelopment (114 East Fifth Street) approved in 2019 contains 220 residential units and 12,350 square feet of commercial space, and The Heritage (2001 East Dyer Road), which is under construction nearby, contains 1,221 residential units and 18,400 square feet of net new commercial square footage. The mixture of land uses on the project site, including residential, commercial, and open space, will contribute to the formation a dynamic mixed -use village. The commercial and open space components will serve both residents and visitors of the project site, as well as the large daytime employee population working in the project site's immediate vicinity. (5) Ensuring that the public benefits derived from expenditures of public funds for improvements and beautification of streets and public facilities shall be protected by exercise of reasonable controls over the character and design of private buildings, structures and open spaces. The mixed -use development will utilize existing water, sewer, and drainage infrastructure and will not result in the expansion of infrastructure. In addition, the Project will not result in the expansion of new or altered police or fire facilities. The Project will be subject to utility user tax, property taxes based on the valuation of the new construction and management company business taxes. The building facades and new landscaping are designed to deter graffiti, existing sidewalks will be removed and replaced with new sidewalks that are constructed to current City standards, new street lights will be installed and the City's Building Security Ordinance will be implemented which includes security and crime preventing measures to help reduce City expenditures on public services and maintenance. In addition, the development will be subject to all required development impact fees. Ordinance No. NS-XXXX Page 6 60A-23 SECTION 6. INDEMNIFICATION. A. General Indemnification. The Applicant shall indemnify, protect, defend and hold the City and/or any of its officials, officers, employees, agents, departments, agencies, authorized volunteers, and instrumentalities thereof, harmless from any and all claims, demands, lawsuits, writs of mandamus, and other and proceedings (whether legal, equitable, declaratory, administrative or adjudicatory in nature), and alternative dispute resolution procedures (including, but not limited to arbitrations, mediations, and such other procedures), judgments, orders, and decisions (collectively "Actions'), brought against the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof, that challenge, attack, or seek to modify, set aside, void, or annul, any action of, or any permit or approval issued by the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof (including actions approved by the voters of the City) for or concerning the project, whether such Actions are brought under the Ralph M. Brown Act, California Environmental Quality Act, the Planning and Zoning Law, the Subdivision Map Act, Code of Civil Procedure sections 1085 or 1094.5, or any other federal, state or local constitution, statute, law, ordinance, charter, rule, regulation, or any decision of a court of competent jurisdiction. It is expressly agreed that the City shall have the right to approve, which approval will not be unreasonably withheld, the legal counsel providing the City's defense, and that Applicant shall reimburse the City for any costs and expenses directly and necessarily incurred by the City in the course of the defense. City shall promptly notify the Applicant of any Action brought and City shall cooperate with Applicant in the defense of the Action. B. Further Indemnification. Within five (5) days of receipt of a referendum petition by the City, Applicant shall deposit Fifty Thousand Dollars ($50,000) (`Referendum Deposit") with the City. City may use the funds to pay any and all costs associated with said referendum measure. If at any time the Referendum Deposit account has Five Thousand Dollars ($5,000) or less remaining, Applicant shall, within three (3) days of receiving notice from the City, deposit with the City additional funds as requested by the City to cover all costs and expenses associated with processing the referendum and holding the related election. Following certification of the election results, any funds remaining in the Referendum Deposit account shall be returned to the Applicant. SECTION 7. If any section, subsection, sentence, clause, phrase or portion of this ordinance 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. Ordinance No. NS-XXXX Page 7 60A-24 SECTION 8. CITY COUNCIL ACTIONS: The City Council hereby takes the following actions: 1. The City Council hereby adopts an Ordinance approving Amendment Application No. 2020-01 as follows: A. Subject to compliance with the adopted Mitigation Monitoring and Reporting Program, the property at 2300, 2310, and 2320 shall be amended to Specific Development No. 96 and the Specific Development No. 96 plan shall be adopted as set forth in Exhibit A and Exhibit B, attached hereto and incorporated herein by reference. B. The Amendment Application shall not take effect unless and until Environmental Impact Report No. 2020-01 and General Plan Amendment No. 2020-02, are each certified and approved by the City Council. SECTION 9. EXECUTION OF ORDINANCE. The Mayor shall sign this Ordinance and the Clerk of the Council shall attest and certify to the adoption thereof. ADOPTED this day of 2020. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:�4 L Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor Ordinance No. NS-XXXX Page 8 60A-25 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS-XXXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2020, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Daisy Gomez Clerk of the Council City of Santa Ana Ordinance No. NS-XXXX Page 9 9 o,�i 2asa 2a59 R''9 � Z o y M1 M1 Cw 508 D S 0 SD12 N N , M1 SD63 M1 e 1 q4 SD 12 E DYER RD s �• PJ�pH � M2 NPR 9 Q �94 3 u1 •' V • Z D ti9 N/A aaix+D—a22JW ZONING DISTRICTS Al GENERAL AG RICU LTURAL CSM SOUTH MAIN STREET COMMERCIAL DIST. R2 TM -FAMILY RESIDENCE -B PARKING MODIFICATION C1 COMMUNITY COMMERCIAL GC GOVERNMENT CENTER R3 MULTIPLE- FAMILY RESIDENCE -OZ OVERLAYZONE CFMD COMMUNITY COMMERCAL-MUSEUM DIST. M1 LIGHT INDUSTRIAL R4 SUBURBAN APARTMENT PLANNED RESIDENTIAL C2 GENERAL COMMERCIAL M2 HEAVY INDUSTRIAL RE RESIDENTIAL ESTATE PRD DEVELOPMENT C4 PLANNED SHOPPING CENTER 0 OPENSPACE SO SPECIFIC DEVELOPMENT -HD2 HEIGHT DISTRICT II C5 ARTERIAL COMMERCIAL P PROFESSIONAL SP SPECIFIC PLAN CR COMMERCIAL RESIDENTIAL R1 SINGLE- FAMILY RESIDENCE OZ1 METRO EAST OVERLAYZONE SECTIONAL DISTRICT MAP: IRS-9 e CITY OF SANTA ANA, CALIFORNIA Exhibit: 60A-27 THE WARNER REDHILL MIXED -USE SPECIFIC DEVELOPMENT No. 96 Table of Contents 1. Introduction and Applicability of Ordinance ..............................................Page 3 a. Specific Development Location ....................................................Page 3 2. Purpose and Objectives.......................................................................Page 4 3. Land Use and Zoning.........................................................................Page 4 a. Density and Intensity.................................................................Page 4 b. Permitted Uses........................................................................Page 5 c. Development Standards.............................................................Page 6 d. Off -Street Parking Standards .......................................................Page 7 e. Open Space Requirements .........................................................Page 7 f. Walls/ Fences..........................................................................Page 7 4. Design and Performance Standards ......................................................Page 8 a. Materials, Finishes and Colors .....................................................Page 8 b. Exterior Lighting.......................................................................Page 8 c. Refuse Collection and Trash Enclosure .........................................Page 8 d. Utility and Mechanical Equipment .................................................Page 8 5. Public Realm and Landscape Design .....................................................Page 9 6. Signage and Wayfinding......................................................................Page 9 7. Public Art........................................................................................Page 10 8. Property Safety and Maintenance........................................................ Page 10 a. On -Site Property Manager ........................................................Page 10 b. Maintenance..........................................................................Page 10 c. Crime Free Housing................................................................ Page 10 d. Building Security......................................................................Page 10 e. Emergency Evacuation Plan ......................................................Page 11 f. On Going Property Maintenance ................................................Page 11 g. Avigation Easement.................................................................Page 12 Figures Figure 1: Specific Development Area ..........................................................Page 3 Tables Table 1: Permitted Uses..........................................................................Page 5 Table 2: Development Standards...............................................................Page 6 k A-219 SECTION 1 — INTRODUCTION AND APPLICABILITY OF ORDINANCE The purpose of The Warner Redhill Mixed -Use Specific Development (SD) zone (SD- 96) is to guide the redevelopment of an existing industrial site into a mixed -use and pedestrian oriented development. SD-96 is authorized by Chapter 41, Division 26, Section 41-593 et seq. of the Santa Ana Municipal Code (SAMC). SD-96 contains specific standards and regulations for the purpose of establishing land use regulations and development and operational standards for the development site. All other applicable Chapters, Articles, and Sections of the SAMC are in full effect unless expressly superseded by regulations contained within this specific development. A. Specific Development Location The specific development site is 14.37 acres and is located at 2300, 2310, and 2320 South Redhill Avenue in the City of Santa Ana. The site is located at the southwest corner of Redhill Avenue and Warner Avenue. Regional access to the site is provided via the Costa Mesa (SR-55) Freeway at the Dyer Road exit. Access to the site is provided by Red Hill Avenue and Warner Avenue. The site is located within the southeastern most portion of the City of Santa Ana adjacent to the cities of Tustin and Irvine and the Tustin Legacy Specific Plan and the Irvine Business Complex. N Project Site �I 60A-30 SECTION 2 — PURPOSE AND OBJECTIVES The specific development is intended to redevelop an industrial site into a mixed -use and pedestrian oriented community. Located at one of the City's southeastern gateways, the specific development will function as a key focal center, and serve to link Santa Ana to surrounding industrial, commercial and residential areas. SD-96 will meet the following objectives: 1. Facilitate development of a mixed -use village containing commercial and multi- family residential buildings, which would help meet the region's demand for housing. 2. Transform an underutilized site with an economically viable development consistent with other regional redevelopments in the Tustin Legacy Specific Plan and Irvine Business Complex (IBC) and combines residential uses with community -serving retail near employment opportunities, freeway access, and transit. 3. Redevelop existing land uses that would utilize existing infrastructure, including: water, sewer, arterial roadways, transit, and freeways; and provide non -vehicular (pedestrian and bicycle) circulation. 4. Develop a mix of housing to assist the City in meeting its jobs/housing balance. 5. Provide onsite uses that reduce vehicular miles traveled (VMT) by providing an internal pedestrian circulation system that links residential uses, recreation areas, and retail/commercial areas onsite. 6. Implement the SCAG Regional Transportation Plan/Sustainable Communities Strategy (RTP/SCS) Land Use Policies related to population and housing by providing additional housing near employment centers. SD-96 establishes standards and regulations for protecting the health, safety, and general welfare of the people of the City by promoting and enhancing the value of property and encouraging the orderly development of the property. SECTION 3 — LAND USE AND ZONING A. Density and Intensity The maximum authorized building density and intensity for the project is a floor area ratio (FAR) of 2.06, including residential areas, community -serving areas (e.g., leasing office, gym and club room), commercial components, and interior corridors. The maximum residential density permitted is 77 dwelling units per acre. B. Permitted Uses 1. SD-96 permits the development of a mixed -use community consisting of 80,000 square feet of leasable commercial area to be constructed in conjunction with a residential component consisting of up to 1,100 residential units configured in live/work, stacked dwelling, lined block, or podium configurations. 2. This section identifies the permitted, conditional, and accessory or temporary uses within the SD-96 area. Uses in the table are permitted subject to the permit criteria referenced. Uses identified by a "P" are permitted by right, those identified by a "CUP" are subject to a Conditional Use Permit, and those identified by "LUC" are subject to a Land Use Certificate. Table 1: Permitted Uses Land Use Types SD-96 Additional Use Regulations Commercial/retail and service uses such as bakeries, bookstores, art galleries, food/grocery P stores (retail market), pet stores and similar uses. Office uses. Professional, administrative and business offices providing personal and P professional services, including medical and dental offices, architects/engineers, and similar uses. Service oriented office uses including insurance, real estate, travel, finance (including walk-up ATMs), creative office co -working (WeWork, P Common Desk, etc.), beauty salons, and similar uses. Health and Fitness Clubs P Tattoo/Body art establishment P Restaurants, cafes and eating establishments P Outdoor dining P Multi -family apartments and/or condominiums and associated leasing offices and recreational/fitness P facilities. Live/work lofts P Alcohol sales for on -site or off -site consumption CUP Subject to SAMC Sec. 41-196 Limited artisan/craft manufacturing, ancillary to a CUP primary allowed use Pick-up windows P Food vending vehicles LUC Subject to Article XIV Temporary outdoor activities LUC Subject to SAMC Sec.41-195.5 Land Use Types SD-96 Additional Use Regulations Businesses operating between 12:00 a.m. CUP (midnight) and 7:00 a.m. Subject to SAMC Sec. Major wireless communication facilities CUP 41-198 Subject to SAMC Sec. Minor wireless communication facilities LUC 41-198 Any use not included shall be considered prohibited unless deemed to be similar to an allowable use as interpreted by the Executive Director of the Planning and Building Agency or his/her designee. C. Development Standards The development standards for SD-96 are subject to and shall comply with the development approved plans per Development Project No. 2019-06 (DP No. 2019-06) and the approved Mitigation Monitoring and Reporting Program (MMRP), attached hereto as Attachment A and Attachment B for reference. The plans shall govern in the event there is a conflict between the SD and the project plans. The following standards in Table 3 are minimums unless otherwise indicated. Table 2 - Development Standards Item Standard Density 77 dwelling units per acre Floor Area Ratio (FAR) 2.06 Minimum Lot Size 14 acres (entire specific development area) Building Height 7 Levels; 94 feet (not including subterranean levels) Building Setbacks: Redhill Avenue Setback 10 feet minimum Warner Avenue Setback 8 feet minimum Interior Property Line Setback 10 feet minimum Outdoor Dinning Setbacks: Redhill Avenue Setback 6 feet minimum Table 2 Notes: (1) Prior to the issuance of building permits, any and all subdivision maps, lot line adjustments, or voluntary lot mergers shall be approved and recorded. �A-V D. Off -Street Parking Standards The minimum off-street parking requirements for the development is as follows: 1. Two (2) vehicle parking spaces per residential unit, not to be less than 2,200 residential parking spaces; 2. Five (5) vehicle parking spaces per 1,000 square feet of gross floor area of leasable commercial space, achieved through 351 parking spaces and 49 valet service spaces as administered per the approved Parking Management Plan, attached hereto as Attachment C; 3. One (1) bicycle parking space per five (5) residential units and one (1) space per each 7,500 square feet of commercial space; and 4. One (1) motorcycle parking space per every 250 vehicle parking spaces. E. Open Space Requirements The development shall provide open space, public plazas and pedestrian paseos as shown on the approved plans. 1. Common Open Space: The project will provide a minimum of 15 percent of the total lot size shall be open space in the form of common, landscaped open space areas, pools, spas, deck, courtyard and lobby, interior community room, dining room, gym, business room, etc. 2. Private Open Space: Each residential unit shall have a patio or balcony of a minimum size of 50 square feet. F. Walls/Fences A new solid block wall with a minimum height of seven (7) feet shall be constructed along the project site's entire perimeter, except in street -side landscape setback areas. 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. Fences/walls along Redhill Avenue and Warner Avenue properties lines are prohibited. �4" — SECTION 4— DESIGN AND PERFORMANCE STANDARDS This section provides standards and guidelines to ensure the development is of high quality and cohesive and to facilitate exterior alterations to the development. A. Materials, Finishes and Colors Exterior building and exterior parking structure materials, finishes and colors for the project shall comply with the approved materials board submitted for the project and as approved by the Planning and Building Agency Executive Director. Any changes to the materials, finishes and colors shall be approved by the Planning and Building Agency Executive Director. All trash enclosures and similar ancillary structures shall match the texture, material and color of the primary building. Double -paned windows shall be installed for the project as a means to further reduce noise levels. B. Exterior Lighting An exterior lighting plan for the security and safety of on -site areas such as building entrances, parking, loading, pedestrian walkways, alley walkways and open space areas shall be provided to the Planning and Building Agency Director for review and approval. A minimum of one foot-candle evenly distributed across a parking lot is recommended. At entrances and loading areas, up to 2 foot-candles may be appropriate. Decorative night lighting is required. Low energy lights, such as LED lights or solar powered lights, shall be used whenever possible. Light fixtures and their structural support shall be designed to be architecturally compatible with the main buildings on -site. Direct glare onto adjoining property, streets, or skyward shall be avoided. All lighting fixtures shall be shielded to confine light spread on -site. C. Refuse Collection and Trash Enclosure Bins for recycling and any other refuse mandated by the State of California shall be provided for all uses in trash enclosures. There shall be an onsite designated trash staging area only to be used on service days and the staging area and bins shall not disrupt vehicular use of streets or drive aisles. The minimum requirements needed to service the development shall be clearly indicated on the plans and subject to the approval of the Public Works Agency. D. Utility and Mechanical Equipment All utility lines shall be placed underground except where required to be above -ground by utility providers. Where equipment is located above -ground, it shall be screened from public view. This includes all ground, wall, and roof mounted equipment. Screening elements shall be an integral part of the building; no screening method shall give the appearance of being "tacked on." Typical ground -mounted equipment shall be adequately screened with decorative walls and/or landscaping. SECTION 5 - PUBLIC REALM AND LANDSCAPE DESIGN STANDARDS A detailed and comprehensive Public Realm and Landscape Plan shall be submitted to the Planning and Building Agency Executive Director or his/her designee for review and approval prior to the issuance of building permits. The plan shall comply with the City's Water Efficient Landscape Ordinance (WELD) Chapter 41, Article XVI of the SAMC. The plan shall include an irrigation system layout with the location of controllers and points of connection with data on valve sizes and gallons per minute (G.P.M.), the size and location of sleeves and all spray heads, including the location of conventional systems and drip systems; an irrigation legend with complete specifications; irrigation notes and construction details of all assemblies and components; a recommended irrigation schedule, preferably on an annual basis; and a summary block on the initial page of submitted plans that will present the above information clearly and accurately. The plan shall include a Plant Legend containing: plant symbol, scientific name of plant material, common name of plant material, plant container size, and plant spacing. Very low, low and medium water usage plant materials are encouraged. The plan shall include details of site furnishings. Site furnishing should be compatible in style with the buildings and selected to bring comfort, scale and design expression to the streetscape. These must also be highly durable and easy to maintain. Planters and pots should be used to complement the project architecture and other site amenities; avoiding obstructions to pedestrian traffic flow with planters and pots. All elements of the furniture palette should be uniform. Landscaping for the project shall be completed in phases by building and shall be installed and inspected prior to occupancy of units within that building. The Owner shall be responsible for maintaining all common area landscaping within the development. SECTION 6 - SIGNAGE AND WAYFINDING A comprehensive sign program shall be submitted for review and approval by the Planning and Building Agency Executive Director or his or her designee prior to the issuance of building permits. The sign program may include creative signage where the contents and standards of the sign program are not consistent with the Santa Ana Municipal Code, provided the sign program complements the form and function of the building and contributes to the aesthetics of the project. �A-V SECTION 7 — PUBLIC ART A Public Art Program shall be submitted to the Planning and Building Executive Director for review and approval prior to the issuance of building permits. Public Art shall be installed and maintained with a value equivalent to one-half of one percent (0.5%) of the total construction cost of the development. Total construction cost shall mean all design, engineering and construction costs. SECTION 8 — PROPERTY SAFETY AND MAINTENANCE A. On -Site Property Manager The specific development area shall include 24-hour on -site Property Management services and personnel. Up-to-date 24-hour contact information for the on -site personnel shall be provided to the following City Agencies on an ongoing basis: 1. Police Department, 2. Fire Authority, 3. Planning and Building Agency, and 4. Community Development Agency. B. Maintenance The property shall be maintained free of trash, debris and graffiti. Graffiti shall be removed within 24-hours after its appearance in accordance with Section 10-227 of the Santa Ana Municipal Code. C. Crime Free Housing Prior to submittal into building plan check, a Crime Free Housing Plan shall be submitted for review and approval by the Planning and Building Agency Director. The Plan shall be approved prior to occupancy of the first unit and shall be implemented and administered by the Owner. D. Building Security. All structures and parking lots shall comply with the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). E. Emergency Evacuation Plan. An approved Emergency Evacuation Plan (EEP) from City Police and Fire Protection agencies shall be on file for the project. Up-to-date 24-hour emergency contact information for the on -site personnel shall be provided to the City on an ongoing basis and the approved EEP shall be kept onsite and also be submitted to the following City Agencies: 1. Police Department 2. Orange County Fire Authority 3. Planning and Building Agency 4. Community Development Agency F. On Going Property Maintenance. Developer (and the owner of the property upon which the authorized use and/or authorized improvements are located if different from the Developer) shall execute a maintenance agreement with the City of Santa Ana which shall be recorded against the property and which shall be in a form reasonably satisfactory to the City Attorney. The maintenance agreement shall contain covenants, conditions and restrictions relating to the following: 1. Compliance with operational conditions applicable during any period(s) of construction or major repair (e.g., proper screening and securing of the construction site; implementation of proper erosion control, dust control and noise mitigation measure; adherence to approved project phasing etc.); 2. Compliance with ongoing operational conditions, requirements and restrictions, as applicable (including but not limited to hours of operation, security requirements, the proper storage and disposal of trash and debris, enforcement of the parking management plan, and/or restrictions on certain uses); 3. Ongoing compliance with approved design and construction parameters, signage parameters and restrictions as well as landscape designs, as applicable; 4. Ongoing maintenance, repair and upkeep of the property and all improvements located thereupon at all times (including but not limited to controls on the proliferation of trash and debris about the property; the proper and timely removal of graffiti; the timely maintenance, repair and upkeep of damaged, vandalized and/or weathered buildings, structures and/or improvements; the timely maintenance, repair and upkeep of exterior paint, parking striping, lighting and irrigation fixtures, walls and fencing, publicly accessible bathrooms and bathroom fixtures, landscaping and related landscape improvements and the like, as applicable); 5. If Developer and the owner of the property are different (e.g., if the applicant is a tenant or licensee of the property or any portion thereof), both the applicant and the owner of the property shall be signatories to the maintenance agreement and both shall be jointly and severally liable for compliance with its terms; 6. The maintenance agreement shall further provide that any party responsible for complying with its terms shall not assign its ownership interest in the property or any interest in any lease, sublease, license or sublicense, unless �A-V the prospective assignee agrees in writing to assume all of the duties and obligations and responsibilities set forth under the maintenance agreement; 7. The maintenance agreement shall contain provisions relating to the enforcement of its conditions by the City and shall also contain provisions authorizing the City to recover costs and expenses which the City may incur arising out of any enforcement and/or remediation efforts which the City may undertake in order to cure any deficiency in maintenance, repair or upkeep or to enforce any restrictions or conditions upon the use of the property. The maintenance agreement shall further provide that any unreimbursed costs and/or expenses incurred by the City to cure a deficiency in maintenance or to enforce use restrictions shall become a lien upon the property in an amount equivalent to the actual costs and/or expense incurred by the City; and 8. The execution and recordation of the maintenance agreement shall be a condition precedent to the issuance of final approval for any construction permit related to this entitlement. G. Avigation Easement. Developer (and the owner of the property upon which the authorized use and/or authorized improvements are located if different from the Developer) shall, prior to issuance of a building permit, execute and record an avigation easement on the area governed by this specific development. ATTACHMENT A: Attached to the Agenda as "Plans." ATTACHMENT B: Attached to the Staff Report as Exhibit B to Exhibit 2 ATTACHMENT C: Attached to the Staff Report as Exhibit 7 EXHIBIT 3 RECORDING REQUESTED BY AND WHEN RECORDED MAIL TO: City of Santa Ana Planning Division 20 Civic Center Plaza (M-20) P.O. Box 1988 Santa Ana, California 92702 FREE RECORDING GOVERNMENT CODE § 27383 DEFENSE AND INDEMNIFICATION AGREEMENT "Phis Defense and Indemnification Agreement ("Agreement") is made and entered into this day of August 2020, by and between , ("Property Owner") and Arrimus Capital Investments, LLC ("Applicant"), 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"). Property Owner and Applicant, and their heirs and assigns, shall be collectively referred to as "Developer" herein. City and Developer are sometimes collectively referred to in this Agreement as the "Parties" and individually as a "Party". RECITALS A. The Developer has submitted formal applications to the City for the approval of a mixed -use development project, to be located at 2300, 2310 and 2320 S. Red Hill Avenue, Santa Ana, as more particularly described in the legal description set forth in Exhibit "A" attached hereto and incorporated herein ("Property" or "Project"). B. California Public Utilities Code (PUC) Section 21676(b) requires the City of Santa Ana to refer projects requiring a general plan amendment or a zone change to the Orange County Airport Land Use Commission (AL0Q for consistency with the 2008 John Wayne Airport (JWA) Environs Land Use Plan (AELUP). CThe ALUC is charged with the adoption of an AELUP, establishing guidelines for compatible development in the vicinity of an airport within the jurisdiction of the County of Orange. PLiC Section 21670(a) sets forth the fundamental purpose of the ALUC as: (1) "... to promote the overall goals and objectives of the California airport noise standards adopted pursuant to Section 21669 and to prevent the creation of new noise and safety problems" and (2) "... to protect public health, safety, and welfare by ensuring the orderly expansion of airports and the adoption of land use measures that minimize the public's exposure to excessive noise and safety hazards within areas around public airports to the extent that these areas are not already devoted to incompatible uses". D. On May 21, 2020, the ALUC found the proposed Project to be inconsistent with 60A-41 the 2008 JWA AFLUP by a 6-0 vote. ALUC's findings were made pursuant to ALLUP Sections 1.2 and 2.1.4, and PUC Section 216749(a). These sections empower the ALUC "to assist local agencies in ensuring compatible land uses in the vicinity of existing airports to the extent that the land in the vicinity of those airports is not already devoted to incompatible uses," and "to coordinate planning at the state, regional and local levels so as to provide for the orderly development of air transportation, while at the same time protecting the public health, safety and welfare". E. On May 26, 2020, the Planning Commission held a duly noticed public hearing on the entitlements for the project. Prior to the Planning Commission taking action on the item, staff provided a verbal update informing the Commission regarding ALUC's determination made on May 21, 2020, after the publication of the staff report to the Commission, that the project was inconsistent with the Airport Environs Land Use Plans [AELUP]. Following staffs presentation, and holding the public hearing, the Planning Commission voted 5:1:1 to recommend that the City Council approve the required entitlements and environmental documentation for the proposed Project. F. Pursuant to PUC Section 21676(b), the City may, after a public hearing, propose to overrule the commission by a two-thirds vote of its governing body if it makes specific findings that the proposed action is consistent with the purposes of Article 3.5 Airport Land Use Commission of the PUC. At least 45 days prior to the decision to overrule the ALUC, the local agency governing body shall provide the ALUC and the State Division of Aeronautics a copy of the proposed decision and findings. The commission and the Division of Aeronautics may provide comments to the local agency governing body within 30 days of receiving the proposed decision and findings. If the ALUC and Mate Division of Aeronautics comments are not available within this time limit, the local agency governing body may act without them. Should comments be received, the City Council must include the comments from the ALUC in the public record of any final decision to overrule the ALUC. This decision shall be determined at a public hearing to make the specific findings that the proposed overruling is consistent with the purposes stated in PUC Section 21670. G. On June 16, 2020, the City Council of the City of Santa Ana adopted a resolution (Resolution No. 2020-051) authorizing the Planning Division to initiate the preparation and drafting of findings and determination overruling the Orange County ALIJC's determination of inconsistency associated with the proposed Project and to provide notice in accordance with PUC Section 21676(b) to the ALUC and the State Division of Aeronautics. H. On June 30, 2020, the Planning Division of the City of Santa Ana provided a Notice of Intent to overrule the Orange County ALUC's determination that the Project is inconsistent with the AELUP of JWA and findings to the ALUC and the State Division of Aeronautics. 60A-42 On Aug -List 6, 2020, the City gave public notice of a City Council public hearing for consideration of overruling ALUC's determination on the proposed Project by advertising in the Orange County Register, a newspaper of general circulation, by mailing to owners of property and residents within 500 feet of the Project, and posting a notice on site. On August 18, 2020, after a duly noticed public hearing at which all members of the public were afforded the opportunity to provide their comments and testimony, the City approved the zone change and general plan amendment, overruled the ALUC's determination of inconsistency of the Proposed Project, and certified the environmental impact report for the Project. All correspondence received by the City from the Al _IUC, the City of Tustin, and the State of California, Department of Transportation - Division of Aeronautics, have all been included in the public record. K. In order to move forward with the processing of the Project, and to specifically indemnify the City for any property or personal injury damages or claims related to or associated with the City's action to over -rule the ALUC's Finding of Inconsistency, the Parties desire to enter into this Defense and Indemnification Agreement. Property Owner and Applicant, and their successors and assigns, shall be jointly and severally responsible for all obligations of the Developer pursuant to the terms of this Agreement. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the Parties agree as follows: I. Incorporation of Recitals. The Parties incorporate each of the Recitals in this Agreement as if fully set forth herein. 2. Indemnification and Defense. Developer shall indemnify, protect, defend and hold the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof (together with the City, collectively, the "City parties"), harmless from any and all claims including property damage and personal injury claims, demands, lawsuits, writs of mandamus, other proceedings (whether legal, equitable, declaratory, administrative or adjudieatory in nature), and alternative dispute resolution procedures (including, but not limited to arbitrations, mediations, and such other procedures), judgments, orders, and decisions, and any claim or award of costs, attorneys' fees, and/or expert witness lees incurred in the pursuit of any of the foregoing (collectively "Claims"), brought against the City Parties, related to, arising Out of and/or associated with the City action overruling the ALUC's Determination of Inconsistency for the Project. Developer obligations under this section are subject to the following: a. City shall promptly notify Developer of any Claims brought and City shall cooperate with Developer in the defense of the Claims. b. Developer's liability under this section shall not apply to any liabilities, losses, claims, actions, causes of action or demands arising from a City Party's negligence, willful misconduct or criminal acts, or to the extent that City fails to provide notice as set forth in subsection (a) above or fails to follow its own procedures for the processing of the Project. C. City shall cooperate with Developer's defense against any such Claims, including providing reasonable access to information, evidence, and potential witnesses necessary to defend against such Claims. d. It is expressly agreed that Developer shall pay for the defense of any Claims brought against City, that the City shall have the right to approve, which approval will not be unreasonably withheld, conditioned or delayed, the Legal counsel providing the City's defense, and that Developer shall reimburse the City for any costs and expenses directly and necessarily incurred by the City in the course of the defense. However, nothing herein shall prohibit the City from participating in the defense of any litigation by its own counsel at its own cost and expense. C. Developer shall have the right to settle or compromise any Claims arising hereunder with sole payment obligation; provided, however, that if such settlement or compromise involves the City as a named defendant, Developer shall first obtain the written consent of City, which shall not be unreasonably withheld, conditioned or delayed. 3. Counsel. The Parties represent that they have consulted or have had the opportunity to consult legal counsel prior to the execution of this Agreement and have executed this Agreement with fill lunowledge of its meaning and effect. 4. Term. This Agreement shall be recorded and shall rum with the land to benefit the City, in perpetuity unless and until the Project no longer exists and the City agrees to file and record a release of such Agreement. 5. Bindine. The Parties agree that the terms, conditions and provisions of this Agreement are binding upon, and shall inure to the benefit of, all assigns and successors in interest of each of the Parties hereto. If during the tern of this Agreement, Property Owner transfers ownership of the Property to a new owner, all benefits to and obligations of Property Owner under this Agreement shall automatically transfer to the new owner and thereafter, the term "Property Owner" shall be deemed to mean such new owner. Also in that event, Property Owner shall automatically be released as a Party to the Agreement and no longer be entitled to the benefits of or be subject to any obligations under this Agreement. fi. Additional Acts. The Parties agree to perform any acts and execute any 11 1 documents consistent with the terms and conditions of this Agreement, which may be needed., desired or required to effectuate the teens, conditions and provisions hereof. 7. Entire Agreement. Except as otherwise provided for herein, this Agreement constitutes the entire and only agreement between the Parties with reference to the subject matter hereof and supersedes any prior representation or agreement, oral or written, with respect thereto. The Parties further agree that no representation, warranty, agreement or covenant has been made with regard to this Agreement, except as expressly recited herein and that in entering into this Agreement, no Party is relying upon any representation, warranty, agreement or covenant not expressly set forth herein. 8. No Admissions. Each Party agrees that this Agreement is made in resolution of potentially disputed claims, and that by entering into and performing the obligations of this Agreement, no party concedes or admits the truth of any claim or any fact and the execution and performance of this Agreement shall not be construed as an admission by any Party. 9. 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 venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 10. Mutual Drafting.. The Parties agree that this Agreement shall not be construed in favor of, or against, any Party by reason of the extent to which any Party or its counsel participated in the drafting of this Agreement. 11. Amendment. This Agreement can be amended only by a writing signed by each of the Parties hereto. 12. Independent Parties. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the Parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. 13. 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, sent by reputable overnight mail delivery service, mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic or electronic communication in the manner provided in this Section, to the following persons; To City: City Clerk City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Facsimile: (714) 647-6956 Courtesy copies to: City of Santa Ana Planning Department 20 Civic Center Plaza (M-20) Santa Ana, CA 92702 Facsimile: and City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.Q. Box 1988 Santa Ana, California 92702 Facsimile: (714) 647-6515 Developer: Arrimus Capital Investments, LLC 240 Newport Center Drive, Suite 200 Newport Beach, CA 92660 Attn: Chris Lee 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 personally delivered, such communication shall be effective on receipt. If sent by overnight mail delivery service or first class, certified mail, return receipt requested, such communication shall be effective on receipt, rejection or inability to deliver. If sent by facsimile or electronic mail, such communication shall be effective or deemed to have been given twenty- four (24) hours after the time set forth on either the transmission report issued by the transmitting facsimile machine or the electronic mail message, as applicable, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 14. Counterparts. This Agreement may be signed in one or more counterparts, each of which shall be deemed an original, but all of which together shall constitute the same Agreement. Electronic signatures will have the same force and effect as original signatures. 15. Authori 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 indemnity 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. 16. Breach/Remedies. If the Developer fails to properly perform any of its obligations hereunder, City shall be entitled to notify the Developer to rectify such breach and perform its due obligations within a reasonable period of time. If Developer fails to rectify its breach within the prescribed period of time, the City shall be entitled to seek any and all possible remedies according to applicable laws, including but not limited to claiming for compensation. Z ' •. IN WITNESS WHEREOF, the parties hereto have executed this Defense and Indemnification Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA, a charter city and municipal corporation Daisy Gomez Kristine Ridge City Clerk City Manager APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Lisa F. Storck Assistant City Attorney APPLICANT: RECOMMENDED FOR APPROVAL: Animus Capital, LLC Minh Thai Executive Director Planning and Building Agency (� L By: Chris Lee Its: A^ 4. + Y e Q. PROPERTY OWNER: 6"-j Z' Name: "I-ww Title: &Awv,,�Tt-) need 60A-47 EXHIBIT A LEGAL DESCRIPTION [Attached behind this page) REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: ADOPT AN ORDINANCE ADDING ARTICLE XV (SYRINGE EXCHANGE PROGRAMS) TO CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE (HEALTH AND SANITATION) PROHIBITING SYRINGE EXCHANGE PROGRAMS IN THE CITY OF SANTA ANA CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 sl Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Adopt an ordinance adding Article XV to Chapter 18 of the Santa Ana Municipal Code (Health and Sanitation) prohibiting syringe exchange programs in the City of Santa Ana. DISCUSSION Beginning in February 2016, the Orange County Needle Exchange Program (OCNEP) began operating a needle exchange program in the Civic Center adjacent to the City Council Chambers. The program operations resulted in acute public safety concerns, which compelled the City to terminate the Memorandum of Understanding between the City and OCNEP; a termination letter was sent to OCNEP in December 2017 and the termination itself became effective in January 2018. During the nearly two years of operating a needle exchange program by OCNEP, the quantities of used and discarded syringes in the Civic Center became unmanageable, with no adequate plan of mitigation or disposal ever presented by OCNEP. The City and County of Orange, through the Civic Center Authority, was forced to install various needle disposal bins in the Civic Center in an attempt to mitigate needle litter in the Civic Center. In early 2018, OCNEP submitted a new application to the California Department of Public Health (CDPH) to operate a mobile syringe exchange program (SEP) in four cities: Anaheim, Costa Mesa, Orange, and Santa Ana. On June 25, 2018, the City of Santa Ana officially provided a letter to CDPH declaring the City of Santa Ana's strong opposition to the proposed OCNEP application for certification of mobile syringe needle exchange services in the City of Santa Ana. Contrary to the City's opposition, in July 2018, CDPH authorized OCNEP's syringe exchange program at four locations in Orange County beginning on August 6, 2018. However, the County of Orange, and the cities of Costa Mesa, Anaheim and Orange took legal action to block OCNEP's mobile SEP from operating, contending that the CDPH's approval of the mobile needle exchange violated the California Environmental Quality Act (CEQA) on the basis that the needle exchange program had L. 1 - Ordinance Prohibiting Syringe Exchange Programs in Santa Ana September 15, 2020 Page 2 resulted in syringe litter, which created environmental impacts to public health and safety that had not been addressed through CEQA environmental review; the City of Santa Ana supported this litigation. At the March 19, 2019 meeting, Councilmember Penaloza introduced Item 85A: Discuss and Consider Directing Staff to Draft a Resolution Supporting California Senate Bill 689 which will Restrict the California Department of Public Health from Authorizing or Re -Authorizing Needle and Syringe Exchange Programs Unless a City or County has Approved the Request. The consensus among the City Council was to direct staff to prepare a letter of support for Senate Bill 689. SB 689 would have required the Department of Public Health to authorize or reauthorize a clean needle and syringe exchange project entity pursuant to existing law only if the city or county in which the entity will be operating has adopted an ordinance or resolution approving that authorization or reauthorization. SB 689 failed in the Senate Health Committee in April 2019. Following direction received at the July 29, 2019 Legislative Affairs, Ethics, Transparency and Communications Council Committee meeting, on September 17, 2019, the City Council adopted a resolution opposing the establishment of Clean Needle and Syringe Exchange Program Operations in the City of Santa Ana. This resolution reaffirmed Councilmember Penaloza's discussion of a resolution to oppose the establishment of needle exchange operations within the City of Santa Ana. On October 25, 2019, following the earlier issuance of a preliminary injunction, the San Diego County Superior Court ruled in favor of the County of Orange and the other plaintiff cities, finding that the mobile SEP approved through the CDPH authorization was a "project" subject to CEQA review. The mobile SEP was blocked from operating and did not operate as a result of the Court's ruling. No cities in Orange County affirmatively permit SEPs and there are no syringe exchange programs currently authorized to operate in Orange County. The City of Orange has banned mobile SEPs, and the City of Costa Mesa has banned the establishment and/or operation of hypodermic needle and syringe exchange programs within its city limits. Additionally, the City of Anaheim recently banned all SEPs within its jurisdiction. These local regulations prohibiting SEPs address concerns regarding potential environmental impacts to surrounding properties and neighborhoods associated with operation of SEPs, including the endangerment to the public peace, health and welfare due to the proliferation of both used and unused hypodermic needles. Ordinance to Ban SEPs The proposed ordinance would ban SEPs on public and/or private property, including, but not limited to, the following: a public street, alley, sidewalk, or right-of-way, and all locations, areas, and/or zoning districts in the City of Santa Ana. Further, the proposed ordinance provides that, except as provided by state law, it shall be unlawful for any person or entity to own, manage, conduct, or operate, or as a landlord or land owner to allow or permit to exist, or be established, conducted, operated, owned or managed on or within real property owned or controlled by such �. 1 Ordinance Prohibiting Syringe Exchange Programs in Santa Ana September 15, 2020 Page 3 person, any Syringe Exchange Program, or to participate as a landlord, lessor, land owner, employee, contractor, agent or volunteer, or in any other manner or capacity, in any Syringe Exchange Program. Residents who require syringe exchange services for medical purposes are currently able to acquire these services at pharmacies and hospitals, which provide new syringes and the proper disposal of used syringes. This would not change with a ban on SEPs. If the first reading of the ordinance is approved, the ordinance will return to the City Council at the October 6, 2020 meeting for a second reading and adoption. If the second reading is approved at that meeting, the ordinance will become effective 30 days thereafter. FISCAL IMPACT There is no fiscal impact associated with this action. Submitted By: Kristine Ridge, City Manager Exhibit(s): 1. Ordinance jmf 8/27/20 ORDINANCE NO. NS-XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADDING ARTICLE XV (SYRINGE EXCHANGE PROGRAMS) TO CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE (HEALTH AND SANITATION) PROHIBITING SYRINGE EXCHANGE PROGRAMS FROM OPERATING IN THE CITY OF SANTA ANA THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: WHEREAS, the state of California, acting through the California Department of Public Health (CDPH), regulates the operation of Syringe Exchange Programs (SEPs), which serve to provide sterile syringes, collect used ones, and dispense health education for people who inject intravenous drugs; and WHEREAS, according to the CDPH, there are more than 50 SEPs operating in California: and WHEREAS, sections 121349 through 121349.3 of the California Health and Safety Code, and Title 17 (Division 1, Chapter 4, Subchapter 15) of the California Code of Regulations, collectively govern the operation of SEPs, which may be authorized by the state or localities under the standards enumerated therein: and WHEREAS, since 2015, licensed pharmacies throughout California have been authorized to sell syringes to adults without a prescription with no limits on the number of syringes that may be sold, and California law further allows adults to purchase and possess an unlimited number of syringes for personal use when acquired from a pharmacy, physician, or authorized SEP; and WHEREAS, among the operational requirements is that an SEP "shall operate and furnish services in compliance with all applicable state laws, regulations and local ordinances," 17 CCR section 7014; and WHEREAS, from 2016 to 2018, the Orange County Needle Exchange Program (OCNEP) was certified by CDPH to operate a SEP in the Santa Ana Civic Center, functioning regularly on City -owned premises under a Memorandum of Understanding with Santa Ana; and WHEREAS, on a sustained basis, and despite the City's pleas, OCNEP failed to properly recover and safely dispose of used hypodermic needles and syringes distributed at the Civic Center, resulting in thousands of used hypodermic needles being discarded in or on the adjacent public buildings, libraries, streets, sidewalks, parks, and waterways Ordinance No. NS-XXX Page 1 of 6 both in Santa Ana and elsewhere in Orange County, as documented by the City of Santa Ana in a letter to OCNEP dated December 8, 2017; and WHEREAS, on this basis, the City terminated its Memorandum of Understanding with OCNEP effective January 5, 2018, thereby withdrawing its permission to operate on City premises; and WHEREAS, OCNEP subsequently applied to the CDPH to operate a new, mobile - based SEP that would operate in Costa Mesa, Santa Ana, Anaheim, and Orange, and was given approval by CDPH in mid-2018 over written objection by Santa Ana and these other jurisdictions; and WHEREAS, California law does not explicitly require the City to authorize the establishment and/or operation of mobile or fixed site SEPs, and SEPs are not an enumerated use under the Santa Ana Municipal Code, and no provision of the City's Code specifically addresses SEPs; and WHEREAS, the County of Orange, and the cities of Costa Mesa, Anaheim and Orange took legal action to block OCNEP's mobile SEP from operating, contending that the CDPH's approval of the mobile needle exchange violated the California Environmental Quality Act (CEQA) on the basis that the needle exchange program had resulted in syringe litter, which created environmental impacts to public health and safety that had not been addressed through CEQA environmental review; and WHEREAS, the City of Santa Ana supported this litigation; and WHEREAS, on October 25, 2019, following the earlier issuance of a preliminary injunction, the San Diego County Superior Court ruled in favor of the County and the other plaintiff cities, finding that the mobile SEP approved through the CDPH authorization was a "project" subject to CEQA review; and WHEREAS, while the City of Santa Ana recognizes that properly located and regulated SEPs may help prevent the spread of blood -borne diseases, the demonstrated negative impacts of SEPs, including but not limited to the improper disposal of syringes and congregation of persons addicted to drugs near schools, libraries, parks and playgrounds, pose a grave threat to the public health, safety and welfare in Orange County that cannot be adequately mitigated; and WHEREAS, syringe and needle waste represents a public health hazard for children, adults, and public employees, including City staff in the Police, Code Enforcement, and Public Works Departments, through unnecessary exposure and risk of injury due to improper disposal of syringes; and WHEREAS, according to the CDPH, SEPs operate in a variety of settings from fixed sites or storefronts to mobile services, which may consist of a van or bus parked on a public street or on private property; and Ordinance No. NS-XXX Page 2 of 6 WHEREAS, absent local regulation, an SEP authorized by the CDPH may be operated in locations where the impact of such operations has greater negative impacts on the public health and welfare than other locations; and WHEREAS, pursuant to the City's police power, as granted broadly under Article XI, Section 7 of the California Constitution and Section 200 of the City Charter, the City Council has the authority to enact and enforce ordinances and regulations for the public peace, health, and welfare of the City and its residents; and WHEREAS, the City desires to exercise its local power and authority to prohibit SEPs from operating in Santa Ana pursuant to Chapter 18 of the Santa Ana Municipal Code (Health and Sanitation); and WHEREAS, based on the findings above, the City Council has determined that there exists a threat to public health, safety, and welfare if the City does not add Article XV to Chapter 18 of the Municipal Code to prohibit SEPs from operating in Santa Ana; and WHEREAS, all of the aforementioned findings, reports, and evidence shall be included as part of the record before the City in this matter, and are hereby incorporated into the City Council's record and findings related to this ordinance; and WHEREAS, the City Council finds and determines that this ordinance is not subject to CEQA pursuant to Sections 15060(c)(2) and 15060(c)(3) of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment as there is no possibility it will have a significant effect on the environment and it is not a "project", as defined in Section 15378 of the CEQA Guidelines. SECTION 1. New Article XV (Syringe Exchange Programs) is hereby added to Chapter 18 of the Santa Ana Municipal Code (Health and Sanitation) to read in full as follows: ARTICLE XV. — SYRINGE EXCHANGE PROGRAMS Sec. 18-663. - Purpose and Intent. The purpose and intent of this Article is to prohibit Syringe Exchange Programs from operating in the City of Santa Ana in order to protect the public from the health and safety risks associated with such programs and with the improper disposal of syringes, needles, and related waste. For purposes of this Article, "Syringe Exchange Program" means a program authorized by the County of Orange or the California Department of Public Health and operating within the jurisdictional boundaries of the City of Santa Ana that acts as a point of access to health education and care for people who inject drugs, where hypodermic needles and/or syringes are dispensed, or where used syringes are collected pursuant to the authority of Chapter 18 of Part 4 of Division 105 of the California Ordinance No. NS-XXX Page 3 of 6 Health and Safety Code, or successor section or chapter thereof, such that persons participating in and/or operating such programs are exempt from criminal prosecution for acts related to the possession of needles and/or syringes. Sec. 18-664. -Syringe Exchange Programs Prohibited. The operation of any Syringe Exchange Program on public and/or private property, including but not limited to a public street, alley, sidewalk or right-of-way, is prohibited in all locations, areas, and/or zoning districts in the City of Santa Ana. No use permit, variance, building permit, or any other entitlement, license or permit, whether administrative or discretionary, shall be approved or issued for a Syringe Exchange Program. Except as otherwise provided in California Health and Safety Code section 121349.1 or any successor statute, it shall be unlawful for any person or entity to own, manage, conduct, or operate, or as a landlord or land owner (or as such landlord or land owner's agent, property manager or similar person having control over real property on behalf of its owner) to allow or permit to exist, or be established, conducted, operated, owned or managed on or within real property owned or controlled by such person, any Syringe Exchange Program, or to participate as a landlord, lessor, land owner, employee, contractor, agent or volunteer, or in any other manner or capacity, in any Syringe Exchange Program. Each day a violation of this provision of this Article is committed, or permitted to continue, shall constitute a separate offense. Sec. 18-655. - Penalty. Except as otherwise provided by California Health and Safety Code section 121349.1, or any successor statute, any person violating or failing to comply with any of the provisions of this Article is guilty of a misdemeanor and shall be punished by a fine not to exceed one thousand dollars or by imprisonment not to exceed six months, or by both such fine and imprisonment. Each such person is guilty of a separate offense for each and every day during any portion of which any violation of the provisions of the Article is committed. Alternatively, any violation of this Article may be enforced by the City, the City's Police Department, or a code enforcement officer in accordance with the procedures set forth in Chapter 1 of this Code, relating to the issuance of citations, imposition of administrative fines, right to appeal, and the right to an administrative hearing, and shall be subject to the imposition and payment of administrative fine(s). Sec. 18-656. - Conformance to Law. The provisions of this Article shall be interpreted in accordance with otherwise applicable state and federal law(s) and will not apply if determined by the City to be in violation of any such law(s). Ordinance No. NS-XXX Page 4 of 6 SECTION 2. The City Council finds and determines that this ordinance is not subject to CEQA pursuant to Sections 15060(c)(2) and 15060(c)(3) of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment as there is no possibility it will have a significant effect on the environment and it is not a "project," as defined in Section 15378 of the CEQA Guidelines. SECTION 3. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentence, clauses, phrases, or portions be declared invalid or unconstitutional. SECTION 4. Neither the adoption of this ordinance nor the repeal hereby of any other ordinance shall in any manner affect the prosecution for violation of ordinances, which violations were committed prior to the effective date hereof, nor be construed as a waiver of any license or penalty or the penal provisions applicable to any violation thereof. SECTION 5. This ordinance shall become effective thirty (30) days after its adoption. SECTION 6. The Clerk of the Council shall certify the adoption of this ordinance and shall cause the same to be published as required by law. ADOPTED this day of 2020. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney AAn M. Funk Assistant City Attorney Miguel A. Pulido Mayor Ordinance No. NS-XXX Page 5 of 6 Z�1 � � • AYES: Councilmembers NOES: Councilmembers FAI ' .1.�IFAIJO�ereD . I Taiil.Ta�� NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby attest to and certify 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 6 of 6 �' REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: RESOLUTION SUPPORTING THE REDUCING CRIME AND KEEPING CALIFORNIA SAFE ACT OF 2020 (PROPOSITION 20) CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 sl Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Adopt a resolution supporting the Reducing Crime and Keeping California Safe Act of 2020. DISCUSSION At the September 1, 2020 meeting, members of the City Council directed staff to prepare a resolution endorsing Proposition 20, also referred to as the Reducing Crime and Keeping California Safe Act of 2020. Proposition 20 ("ballot initiative") would amend several criminal sentencing and supervision laws that were passed between 2011 and 2016. The ballot initiative would make specific types of theft and fraud crimes, including firearm theft, vehicle theft, and unlawful use of a credit card, chargeable as either misdemeanors or felonies, rather than only as misdemeanors. The ballot initiative would also establish two additional types of crimes in state code —serial crime and organized retail crime —and charge them as wobblers (crimes chargeable as misdemeanors or felonies). The ballot initiative would require persons convicted of certain misdemeanors that were classified as wobblers or felonies before 2014, such as shoplifting, grand theft, and drug possession, along with several other crimes, including domestic violence and soliciting prostitution with a minor, to submit to the collection of DNA samples for state and federal databases. The California Department of Corrections and Rehabilitation (CDCR) has a parole review program in which felons convicted of non-violent crimes, as defined by law, can be released on parole upon completing the sentence for his or her offense, with the longest imprisonment term. The ballot initiative would require the parole review board to consider additional factors, such as the felon's age, marketable skills, attitude toward the crime, and mental condition, as well as the circumstances of the crimes committed, before deciding whether to release a felon on parole. The ballot initiative would allow prosecutors to request a review of the board's final decision. The ballot 60C-1 Resolution Supporting the Reducing Crime and Keeping California Safe Act of 2020 (Prop. 20) September 15, 2020 Page 2 initiative would also define 51 crimes and sentence enhancements as violent in order to exclude them from the parole review program. In California, counties are responsible for supervising paroled felons convicted of non -serious and non-violent crimes, as defined by law, and who were not classified as high -risk sex offenders nor classified as needing treatment from the state's Department of Mental Health. Counties have discretion on whether to petition the judicial system to change a felon's post -release supervision terms or status. The ballot initiative would require local probation departments to ask a judge to change the conditions or status of a felon's post -release supervision if the felon violated supervision terms for the third time. The information included in this staff report was retrieved from Ballotpedia.org: https:Hballotpedia.org/California Proposition 20, Criminal Sentencing, Parole, and DNA Colle ction Initiative (2020). FISCAL IMPACT There is no fiscal impact associated with this action. Submitted By: Kristine Ridge, City Manager Exhibit: 1. Resolution 60C-2 V*10110j1Eel 0f���➢��1>:�:�5 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA SUPPORTING THE REDUCING CRIME AND KEEPING CALIFORNIA SAFE ACT OF 2020 WHEREAS, protecting every person in our state, including our most vulnerable children, from violent crime is of the utmost importance. Murderers, rapists, child molesters and other violent criminals should not be released early from prison; and WHERAS, since 2014, California has had a larger increase in violent crime than the rest of the United States: and WHEREAS, since 2013, violent crime in Los Angeles has increased 69.5% and violent crime in Sacramento rose faster during the first six months of 2015 than in any of the 25 largest U.S. cities tracked by the FBI; and WHEREAS, the FBI Preliminary Semiannual Uniform Crime Report for 2017, which tracks crimes committed during the first six months of the past year in U.S. cities with populations over 100,000 indicates that last year violent crime increased again in most of California's largest cities; and WHEREAS, recent changes to parole laws allow the early release of dangerous criminals by the law's failure to define certain crimes as "violent," and these changes allowed individuals convicted of sex trafficking of children, rape of an unconscious person, felony assault with a deadly weapon, and felony domestic violence to be considered "nonviolent" offenders; and WHEREAS, as a result, these "nonviolent" offenders are eligible for early release from prison after serving only a fraction of the sentence ordered by a judge; and WHEREAS, violent offenders are also being allowed to remain free in our communities even when they commit new crimes and violate the terms of their post release community supervision; and WHEREAS, the Reducing Crime and Keeping California Safe Act of 2018 ("Act") reforms the law so felons who violate the terms of their release can be brought back to court and held accountable for such violations; and WHEREAS, nothing in the Act is intended to create additional "strike" offenses which would increase the state prison population; nor is it intended to affect the ability of the California Department of Corrections and Rehabilitation to award educational and merit credits; and WHEREAS, recent changes to California law allow individuals who steal repeatedly to face few consequences, regardless of their criminal record or how many times they steal; and Resolution No. 2020-XXX Page 1 of 60C-3 WHEREAS, as a result, between 2014 and 2016, California had the second highest increase in theft and property crimes in the United States, while most states have seen a steady decline; and WHEREAS, according to the California Department of Justice, the value of property stolen in 2015 was $2.5 billion with an increase of 13 percent since 2014, the largest single -year increase in at least ten years; and WHEREAS, grocery store operators around the state have seen unprecedented increases in the amount of losses associated with shoplifting in their stores, with some reporting up to 150 percent increases in these losses from 2012 to present, with the largest jumps occurring since 2014; and WHEREAS, shoplifting incidents have started to escalate in such a manner that have endangered innocent customers and employees; and WHEREAS, individuals who repeatedly steal often do so to support their drug habit, but recent changes to California law have reduced judges' ability to order individuals convicted of repeated theft crimes into effective drug treatment programs; and WHEREAS, California needs stronger laws for those who are repeatedly convicted of theft related crimes, which will encourage those who repeatedly steal to support their drug problem to enter into existing drug treatment programs, and this Act would enact such reforms; and WHEREAS, collecting DNA from criminals is essential to solving violent crimes, and over 450 violent crimes including murder, rape and robbery have gone unsolved because DNA is being collected from fewer criminals; and WHERAS, DNA collected in 2015 from a convicted child molester solved the rape -murders of two six -year -old boys that occurred three decades ago in Los Angeles County; and DNA collected in 2016 from an individual caught driving a stolen car solved the 2012 San Francisco Bay Area rape -murder of an 83-yearold woman; and WHEREAS, recent changes to California law unintentionally eliminated DNA collection for theft and drug crimes, but this Act restores DNA collection from persons convicted for such offenses; and WHEREAS, permitting collection and more DNA samples will help identify suspects, clear the innocent and free the wrongly convicted; and WHEREAS, this Act does not affect existing legal safeguards that protect the privacy of individuals by allowing for their removal of their DNA profile if they are not charged with a crime, are acquitted or are found innocent. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana, that : Resolution No. 2020-XXX Page 2 of 2 60C-4 Section 1. The City Council for the City of Santa Ana hereby finds, declares, and determines as follows that the City Council hereby supports the Reducing Crime and Keeping California Safe Act. Section 2. 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 September, 2020. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby certify the attached Resolution No. 2020 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on 12020. Date: Clerk of the Council City of Santa Ana 60C-5 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: RESOLUTION RESCINDING CITY COUNCIL RESOLUTION NO. 2019-099, UPHOLDING PLANNING COMMISSION'S ADOPTION OF RESOLUTION NOS. 2019-35, 2019-36, 2019- 37; RESCINDING THE CITY'S CALIFORNIA ENVIRONMENTAL QUALITY ACT -RELATED FINDINGS; AND DECLARING NULL AND VOID PLANNING COMMISSION RESOLUTION NOS. 2019-35, 2019-36, AND 2019-37 PERTAINING TO THE PROPERTY LOCATED AT 301 AND 325 N. TUSTIN AVENUE /s/ Kristine CITY MANAGER CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 sl Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO 19111111111►U1LRICIV RECOMMENDED ACTION Adopt a resolution rescinding City Council Resolution No. 2019-099, upholding the Planning Commission's adoption of Resolution Nos. 2019-35, 2019-36, and 2019-37; rescinding the City's California Environmental Quality Act -related findings; and declaring null and void Planning Commission Resolution Nos. 2019-35, 2019-36, and 2019-37 pertaining to the property located at 301 and 325 N. Tustin Avenue. DISCUSSION The 2018 Project Approvals On October 8, 2018, the Planning Commission of the City of Santa Ana took the following actions with regard to the property located at 301 and 325 N. Tustin Avenue (the "2018 Project"): 1. Adopted Resolution No. 2018-28, approving Conditional Use Permit No. 2018-18 to allow a drive -through; 2. Adopted Resolution No. 2018-35, approving Variance No. 2018-10 to allow for reduced yards for a service station; On November 20, 2018, the City Council of the City of Santa Ana took the following actions with regard to the 2018 Project: 1. Adopted Resolution No. 2018-081, adopting Mitigated Negative Declaration Environmental Review No. 2016-156 and corresponding Mitigation Monitoring and Reporting Program; 60D-1 Resolution Rescinding 2019 Land Use Approvals (301/325 N. Tustin Ave.) September 15, 2020 Page 2 2. Adopted Resolution No. 2018-082, approving General Plan Amendment No. 2018-05 for the property located at 301 N. Tustin Avenue, 431 N. Tustin Avenue, and 2321 East Fourth Street; 3. Introduced a first reading of Ordinance No. NS-2960, approving Amendment Application No. 2018-08 to rezone 301 and 325 N. Tustin Avenue, 401 N. Tustin Avenue, and 2320 East Fourth Street from Professional to General Commercial; On December 4, 2018, after a second reading, the City Council of the City of Santa Ana adopted Ordinance No. NS-2960. Resolution Nos. 2018-28, 2018-35, 2018-081, 2018-082, and Ordinance No. NS-2960 shall be collectively referred to as the "2018 Approvals." The 2019 Protect Approvals On September 9, 2019, the Planning Commission of the City of Santa Ana took the following actions with regard to the property located at 301 and 325 N. Tustin Avenue (the "2019 Project'): 1. Adopted Resolution No. 2019-35, approving Conditional Use Permit No. 2019-30 to allow a car wash; 2. Adopted Resolution No. 2019-36, approving an amendment to Variance No. 2018-10; 3. Adopted Resolution No. 2019-37, approving Conditional Use Permit No. 2019-31 to allow 24-hour operations of a retail store. 4. The City determined that the 2019 Project was eligible for a CEQA Class 32 In -fill Development Exemption. On October 15, 2019, the City Council upheld the Planning Commission's adoptions of Resolution Nos. 2019-35, 2019-36, 2019-37, the City's CEQA Class 32 In -fill Development Exemption, and further determined that the 2019 Project was eligible for a CEQA Class 3 New Construction or Conversion of Small Structure Exemption after a duly noticed de novo public hearing on Appeal Application 2019-03, by City Council Resolution No. 2019-099. Planning Commission Resolution Nos. 2019-35, 2019-36, 2019-37, City Council Resolution No. 2019-099, and the City's CEQA Class 32 In -fill Development and Class 3 New Construction or Conversion of Small Structure Exemptions are collectively referred to as the "2019 Approvals". On August 31, 2020, the applicant for the 2019 Project, The Russell Fischer Partnership, LP ("RF"), submitted a letter to the City Council requesting rescission of the 2019 Approvals due to financial hardship caused by dramatic changes in the economy caused by the COVID-19 pandemic. (Letter attached hereto as Exhibit 1). Because RF no longer intends to pursue the 2019 Approvals, staff recommends that the City Council rescind the following 2019 Approvals in their entirety such that the 2019 Approvals will have no further force or effect: Resolution No. 2019-099, upholding the Planning Commission's adoption of Resolution Nos. 2019-35, 2019-36, and 2019-37; and the City's determination that the 2019 Project is eligible for a CEQA Class 32 In -fill Development Exemption and Class 3 New Construction or Conversion of Small Structure Exemptions. Staff further recommends that the City 60D-2 Resolution Rescinding 2019 Land Use Approvals (301/325 N. Tustin Ave.) September 15, 2020 Page 3 Council declare null and void Planning Commission Resolution Nos. 2019-35, 2019-36, and 2019- 37 such that these resolutions are no longer in effect. The 2018 Approvals are valid and remain in full force and effect. FISCAL IMPACT There is no fiscal impact associated with this action. Submitted By: Sonia R. Carvalho, City Attorney's Office Exhibit(s): 1. Letter Requesting Rescission of 2019 Approvals 2. Resolution EXHIBIT 1 August ] 1, 2020 Honorable Mayor M iguel P.M. Honorable City Council Members City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Re: The Russell Fischer Parhmrship, LP 2010 Dear Honorable Mayor Pulido and Honorable City Council Members: In September 2019, the City of Santa Ana ("City") Planning Commission issued approvals to The Russell Fischer Parnrership, L.P. ("RF"), for RF to develop an automated car wash, fuel strtionand convenience store ("2019 Project"). Inconnection with the 2019 Project, the Planning Commission issued the followingappeovals. Resolution No.2019-35,appraving. Conditional Use Permit No_ 2019-30 to allow a car wash;, Reoolution No_ 2019-36, approving an amendm alto Variance Na. 201840; and Resolution No. 2019-37, approving Conditional Use P=it No. 2019-31 to allow 24-hour operations ofa retail atom_ The City determined that the: 2019 Project was eligible for a CEQA Class 32 In -fill Development Exemption ("CEQA Exemption"). Resolution Nos. 2019.35, 2019.36 and 2074.37 and the CEQA Exemption are collectively the "2019 Approvals"_ RF has chosen to not move forward with the development of the 2019 Project. Due to dramaiie chanees in the economy cartsed by the COVID-19 pandemic, RF sales and profits have substantially decreased_ RF went almost two months without generating any me me, while RF paid all business expenses, including employee wages. Therefore, by this letter, RF hereby requests the City Council torescind the 2014Approvals. Asa condiion precedemto RF's request for rescission ofthe 2019 Approvals, the City Council ism approve the settlement agreementwhich has been reached between RF and the City. This condition precedent maybe waived, ifat all, solely by III. If the City does not approve the senlement agreement, then RF's request to rescind the 2019 Approvals is hereby withdrawn_ a'. Ms. Kristine Ridge Sonia Carvalho, Esq. Alisha Winases"ek, Esq_ ;n"nmoorrna:.xi�w EXHIBIT 2 RESOLUTION NO. 2020-xx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA RESCINDING CITY COUNCIL RESOLUTION NO. 2019-099, UPHOLDING PLANNING COMMISSION'S ADOPTION OF RESOLUTION NOS. 2019-35, 2019-36, 2019-37: RESCINDING THE CITY'S CALIFORNIA ENVIRONMENTAL QUALITY ACT -RELATED FINDINGS; AND DECLARING NULL AND VOID PLANNING COMMISSION'S RESOLUTION NOS. 2019-35, 2019-36, AND 2019-37 PERTAINING TO THE PROPERTY LOCATED AT 301 AND 325 N. TUSTIN 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 hereby finds, determines and declares as follows: A. On October 8, 2018, the Planning Commission of the City of Santa Ana took the following actions with regard to the property located at 301 and 325 N. Tustin Avenue (the "2018 Project"): 1. Adopted Resolution No. 2018-28, approving Conditional Use Permit No. 2018-18 to allow a drive -through; 2. Adopted Resolution No. 2018-35, approving Variance No. 2018-10 to allow for reduced yards for a service station; B. On November 20, 2018, the City Council of the City of Santa Ana took the following actions with regard to the 2018 Project: 1. Adopted Resolution No. 2018-081, adopting Mitigated Negative Declaration Environmental Review No. 2016-156 and corresponding Mitigation Monitoring and Reporting Program; 2. Adopted Resolution No. 2018-082, approving General Plan Amendment No. 2018-05 for the property located at 301 N. Tustin Avenue, 431 N. Tustin Avenue, and 2321 East Fourth Street; 3. Introduced a first reading of Ordinance No. NS-2960, approving Amendment Application No. 2018-08 to rezone 301 and 325 N. Tustin Avenue, 401 N. Tustin Avenue, and 2320 East Fourth Street from Professional to General Commercial; Resolution No. 2020-m Page 1 of 4 C. On December 4, 2018, after a second reading, the City Council of the City of Santa Ana adopted Ordinance No. NS-2960; D. Planning Commission Resolution Nos. 2018-28, 2018-35, and City Council Resolution Nos. 2018-081, 2018-082, and Ordinance No. NS-2960 shall be collectively referred to as the "2018 Approvals"; E. On September 9, 2019, the Planning Commission of the City of Santa Ana took the following actions with regard to the property located at 301 and 325 N. Tustin Avenue (the "2019 Project'): 1. Adopted Resolution No. 2019-35, approving Conditional Use Permit No. 2019-30 to allow a car wash; 2. Adopted Resolution No. 2019-36, approving an amendment to Variance No. 2018-10; 3. Adopted Resolution No. 2019-37, approving Conditional Use Permit No. 2019-31 to allow 24-hour operations of a retail store. 4. The City determined that the 2019 Project was eligible for a CEQA Class 32 In -fill Development Exemption. F. On October 15, 2019, the City Council upheld the Planning Commission's adoption of Resolution Nos. 2019-35, 2019-36, 2019-37, the City's CEQA Class 32 In - fill Development Exemption, and further determined that the 2019 Project was eligible for a CEQA Class 3 New Construction or Conversion of Small Structure Exemption after a duly noticed de novo public hearing on Appeal Application 2019-03, by City Council Resolution No. 2019-099. G. Planning Commission Resolution Nos. 2019-35, 2019-36, 2019-37, City Council Resolution No. 2019-099, and the City's CEQA Class 32 In -fill Development and Class 3 New Construction or Conversion of Small Structure Exemptions shall be collectively referred to as the "2019 Approvals"; H. By letter addressed to the City Council dated August 31, 2020 (Exhibit A attached hereto), the applicant for the 2019 Project, The Russell Fischer Partnership LP ("RF"), has chosen to not move forward with the development of the 2019 Project; I. Due to dramatic changes in the economy caused by the COVID-19 pandemic, RF sales and profits have substantially decreased, with little money coming in while RF still incurred and paid all business expenses, including employee wages. Therefore, RF has requested the City Council to rescind the 2019 Approvals because the 2019 Project is no longer financially feasible. Resolution No. 2020-x Page 2 of 4 Section 2. The City Council hereby rescinds the following 2019 Approvals in their entirety and as such 2019 Approvals shall have no further force or effect: A. City Council Resolution No. 2019-099, upholding the Planning Commission's adoption of Resolution Nos. 2019-35, 2019-36, and 2019-37; B. City's determination that the 2019 Project is eligible for a CEQA Class 32 In -fill Development Exemption and Class 3 New Construction or Conversion of Small Structure Exemptions. Furthermore, the City Council hereby declares null and void Planning Commission Resolution Nos. 2019-35, 2019-36, and 2019-37 such that these Resolutions are no longer in effect. Section 3. The following 2018 Approvals have not expired and were not rescinded by the City, and therefore are valid and remain in full force and effect: A. Planning Commission Resolution No. 2018-28, approving Conditional Use Permit No. 2018-18 to allow a drive -through; B. Planning Commission Resolution No. 2018-35, approving Variance No. 2018-10 to allow for reduced yards for a service station; C. City Council Resolution No Declaration Environmental Review No. Monitoring and Reporting Program; 2018-081, adopting Mitigated Negative 2016-156 and corresponding Mitigation D. City Council Resolution No. 2018-082, approving General Plan Amendment No. 2018-05 for the property located at 301 N. Tustin Avenue, 431 N. Tustin Avenue, and 2321 East Fourth Street; E. Ordinance No. NS-2960, approving Amendment Application No. 2018-08 to rezone 301 and 325 N. Tustin Avenue, 401 N. Tustin Avenue, and 2320 East Fourth Street from Professional to General Commercial. 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 , 2020. Miguel A. Pulido Mayor Resolution No. 2020-x Page 3 of 4 60D-7 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By Lisa E. Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby certify the attached Resolution No. 2020 - to be the original resolution adopted by the City Council of the City of Santa Ana on 12020. Date: Clerk of the Council City of Santa Ana Resolution No. 2020-m Page 4 of 4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: ACCEPT INFORMATIONAL REPORT RELATING TO POLICE OVERSIGHT AND PROVIDE DIRECTION TO STAFF CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 sl Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Accept informational report relating to police oversight and provide direction to staff. DISCUSSION Across the United States, at the federal, state and local level, debate is underway regarding law enforcement. This broad conversation ranges from social justice, accountability, the role of the police, funding levels for law enforcement, the laws, policies and procedures governing police departments, and oversight. At the June 12, 2020 City Council meeting, the City Council directed staff to prepare an informational report providing examples of police oversight models in place across law enforcement agencies in the United States. More specifically, the City Council directed staff to explore best practices for police oversight, identify various models of oversight, and evaluate the various frameworks. In addition, this report provides an overview of the Santa Ana Police Department's (SAPD) approach to police related complaints. Background SAPID The mission of the Santa Ana Police Department is to deliver public safety services to the community with the utmost professionalism and integrity. SAPD's values act as the guideline for the discretionary use of police powers and are the basis by which employee actions are evaluated. SAPID is committed to creating and maintaining a safe, secure, and enjoyable environment for community members and visitors alike. SAPID strives to provide fair, courteous, responsive, and effective service equally to all people while observing each individual's dignity and worth. Therefore, it is the policy of SAPID to accept and thoroughly investigate all complaints of alleged misconduct by any member of the department. The complaint process has two goals: 1. To correct improper employee conduct. 2. To protect employees from unwarranted justified. criticism when their actions were lawful and 65A-1 Informational Report: Police Oversight Models September 15, 2020 Page 2 To that end, a Citizen's Complaint Form is available on the City of Santa Ana's official website (https://www.santa-ana.orq/pd/location-hours-information/forms). If citizens cannot access the internet, complaint forms are mailed out or hand delivered to the individual wishing to file a complaint. Below is the process by which individuals submit complaints of police misconduct: • Complainant prepares and submits SAPID Citizen Complaint Form or communicates alleged misconduct to any staff member • Complaint is reviewed by supervisor to determine if the nature of the complaint describes alleged police misconduct • Complaint is assigned for investigation and inspector reviews all facts, policies and procedures pertaining to the complaint • An investigation is conducted within the one-year statute of limitations (may be extended due to exceptional circumstances) • A determination is made as follows: (1) Sustained; (2) Not Sustained; (3) Unfounded; (4) Exonerated • Complainant is notified within 30 days of finalizing the determination • If complaint is sustained, discipline is recommended to the Chief of Police, who makes the final determination • Due process rights are available to the involved officer(s) to appeal any findings and/or imposition of discipline • Personnel Board reviews the findings and imposition of discipline on appeal • Involved officer(s) may appeal the Personnel Board findings to the Superior Court. The Citizen's Complaint Form procedure is an example of an internal police misconduct investigation, where the individuals who investigate the complaint are composed of internal law enforcement and/or other individuals from within the local government agency. This differs from the external investigative component conducted within a police oversight model where the individuals who investigate the complaint are civilians who do not work for the law enforcement agency or local government agency. Overview of Police Oversight Commissions While the definition varies by source, a police oversight commission is a form of oversight of law enforcement officer conduct. The purpose of these oversight systems is to improve law enforcement performance and accountability. A leading scholar, Samuel Walker, distilled best practices into a concise and practical list designed to facilitate police reform (Walker, 2005)1. These strategies are based on the 2001 Department of Justice report, Principles for Promoting Police Integrity. These include (a) use of force and other critical incident reporting; (b) open and accessible citizen complaint procedures; (c) early intervention systems; and (d) external citizen oversight. r Walker, Samuel. The New World of Police Accountability. Thousand Oaks: Sage Publications, 2005. 65A-2 Informational Report: Police Oversight Models September 15, 2020 Page 3 Any successful model must address the rules, policies, norms, and culture of the police department. Research suggests that police misconduct is often driven by the ethos of the police organization (Armacost, 2004, p. 456)2. In 2019, SAPID leadership, working with members of the community and co -facilitated by the Orange County Human Relations Commission, revised the Department's Community Oriented Policing Philosophy (which clearly emphasizes accountability, integrity and transparency); and established a 2019-2024 Policing Strategic Plan. Oversight Models without Investigatory Powers This model consists of members who review police misconduct investigations to determine whether they were conducted appropriately and adequately. Members agree or disagree with findings of the internal affairs investigation and may make recommendations. This type may also provide proposals or recommendations regarding departmental policies. Example: A Chief's Advisory Board is created to act as a community resource for the chief in forming strategies, developing community policing priorities, increasing public awareness, and transparency. The board is intended to provide a forum for discussions concerning community concerns and its goal is to have a broad spectrum of viewpoints represented. Advantages: Boards or commissions without investigatory powers can produce findings more quickly than an investigatory model. This model also provides an opportunity for residents to be directly involved and have input on policy issues. Disadvantages: A large amount of labor and time is required for those serving on the board or commission. Members must have some knowledge and training to identify problems in complex investigations. Without investigatory powers, the board or commission is limited to the evidence and investigation conducted by Internal Affairs. Members may feel obligated to pursue specific agendas or policies. Oversight Models With Investigatory Powers This model consists of assigned members who have the additional authority to investigate complaints separately and externally from the police department. This model is generally seen in organizations who have a history of serious patterns and practices of misconduct. The board or commission may make findings because of such investigations and make specific recommendations to administrators regarding discipline and/or policy. Advantages: Can provide increased public confidence in misconduct investigations and give the community a greater sense of inclusion. Provides additional oversight as investigations and findings come from an agency other than the police department. Disadvantages: Members must be highly trained and willing to spend a considerable amount of time to conduct fair, unbiased, and consistent investigations. Substandard investigations can 2 Armacost, Barbara. "Organizational Culture and Police Misconduct." George Washington Law Review. 65A-3 Informational Report: Police Oversight Models September 15, 2020 Page 4 create significant problems for the community and police department. The board or commission must have the ability to compel evidence (subpoena) and the ability to hear testimony from officers. Would require significant and adequate funding to function properly. Summary Although the models set forth above depict the two general types of oversight board/commissions, there are numerous variation between those with investigatory power and those without. There are civilian review boards, monitors, auditors, and inspectors general, among the variations. The "best" approach continues to be a subject of debate among scholars and practitioners. In part, this is because so many different factors influence what particular agencies and communities need and can sustain. A variety of police oversight classification systems have developed over the years because of the wide variation in approaches adopted by communities. The National Association of Civilian Oversight of Law Enforcement (NACOLE) adopted a system developed by Samuel Walker in 2001 with some modifications of their own. NACOLE places police oversight bodies in one of three classifications: 1. The investigation -focused model involves routine, independent investigations of complaints against police officers, which may replace or duplicate police internal affairs processes, staffed by non -police civilian investigators. 2. The review -focused model concentrates on commenting on completed investigations after reviewing the quality of police internal affairs investigations. Recommendations may be made to police executives regarding findings, or there may be a request that further investigations be conducted. A review board composed of citizen volunteers commonly heads this model, and they may hold public meetings to collect community input and facilitate police -community communication. 3. The auditor/monitor model focuses on examining broad patterns in complaint investigations including patterns in the quality of investigations, findings, and discipline rendered. Further, in some cities that use this model, auditor/monitors may actively participate in or monitor open internal investigations. This model often seeks to promote broad organizational change by conducting systematic reviews of police policies, practices or training, and making recommendations for improvement. Since the 1970s, more than 200 police oversight commissions have been established throughout the United States. For information that is more detailed please see Exhibit 1 for a report published in 2018 by the U.S. Department of Justice's Office of Community Oriented Policing Services entitled Civilian Oversight of the Police in Major Cities. In order to better understand how police oversight plays a role in local law enforcement in California, a summary of police oversight bodies in select cities is provided in Exhibit 2. Civilian oversight programs vary significantly from one city to the next and even within the general categories described here, and some communities deploy police oversight commissions that incorporate more than one characteristic of each of the models. 65A-4 Informational Report: Police Oversight Models September 15, 2020 Page 5 In addition to the flexibility of the makeup of each police oversight commission, variability also exists among the costs associated with each. Research of a handful of cities indicate that the models with full investigatory power requires the greatest amount of annual funding; whereas, non - investigatory power models that serve to monitor require the least. OPTIONS The City Council has the following options relating to this matter: 1. Direct staff to evaluate one or more of the presented police oversight models and return to the City Council with additional information. 2. Direct staff to conduct additional research on police oversight topics and return to the City Council with additional information. 3. Take no action. RECOMMENDED ACTION Accept informational report and provide direction to staff. FISCAL IMPACT There is no fiscal impact associated with this action. Submitted By: Kristine Ridge, City Manager Exhibits: 1. Stephens, D., Scrivner, E., and Cambareri, J. 2018. Civilian Oversight of the Police in Major Cities. Washington, DC: Office of Community Oriented Policing Services. 2. Police Oversight Boards/Commissions in Select California Cities 65A-5 . •, .. � i1 Tt,'^� i-tr-ri.. .narlil ,rH. *.. p..,.,..' 1'1 ...T. 00, rc t+ I '.• 'Mf`.1u -Tr :�_ n f . ?.. rim•-=�-rt'�u"'... f •Tr t:r' } r r r!' - tI �I lAR 4 ^, .� r1 R ILi ♦ YY4.1 t . t.t . r r 1 1 Ir1 ..}• �} .n Ir t , �.v t .�. �, _ 1_. ' r1I ���777111 1 �t • T Civilian Oversight of the I14 +.P 1 -ym Police in Major Cities -R. ,tom Darrel W. Stephens, Ellen Scrivner, and Josie F. Cambaren 1 r R� 11 tt t '• -tit- • � r 1 i rl 4COPIS Commu1®1 paOriented Policing Services V.S. U.S. Department ofJusttce 65A-7 ,r ice, n'-f;' rpw hft� I W- TV f /yam � I17' , y 1 Ile t 1 ��' 1�' rl • ' ' ' f1 1 j�f • 1t Civilian Oversight of the Police in Major Cities 1 1 1 Darrel W. Stephens, Ellen Scrivner, and Josie F. Cambareri Till = r A,� I t H - •-, LI t r. } t i I t t This project was supported, in whole or in part, by cooperative agreement number 2015-CKWX-0024 awarded by the Office of Community Oriented Policing Services, US Department of Justice. The opinions contained herein are those of the author(s) and do not necessarily represent the official position or policies of the US Department of Justice. References to specific agencies, companies, products, or services should not be considered an endorsement by the author(s) orthe US Department of Justice. Rather, the references are illustrations to supplement discussion of the issues. The Internet references cited in this publication were valid as of the original date of this publication. Given that URLs and websites are in constant flux, neither the author(s) nor the COPS Office can vouch for their current validity. Recommended citation: Stephens, Darrel W., Ellen Scrivner, and Josie F. Cambareri. 2018. Civilian Oversight of the Police in Major Cities. Washington, DC: Office of Community Oriented Policing Services. Published 2018 65A-9 Contents Letter from the Director of the COPS Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 Civilian Oversight Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Prevalence of civilian oversight . . .. . . .. . . .. . . .. . . .. . . .. . . .. . . .. . . .. . . .. . 3 Civilian oversight model types and board characteristics . .. . . .. . . .. . . .. . . . . . . . . . . . . 4 Characteristics of oversight bodies . . . .. . . .. . . .. . . .. . . .. . . . . . . . . . . . . . . . . . 10 Round Table Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Agency presentations . . .. . . .. . . .. . . .. . . .. . . .. . . .. . . .. . . .. . .. . . .. . 14 Civilian oversight issues . . .. . . .. . . .. . . .. . . .. . . .. . . .. . . .. . . . . . . . . . . . . 20 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 Appendix A. Civilian Oversight Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Civilian Oversight of Police . . .. . . .. . . .. . . .. . . .. . . .. . . . . . . .. . . . . . . .. . . 31 Appendix B. Round Table Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Appendix C. Round Table Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 About the Major Cities Chiefs Association . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 About the COPS Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 65A-10 65A-11 Letter from the Director of the COPS Office Colleagues: As you know, civilian oversight of law enforcement agencies is nothing new. In fact, agencies have always been accountable to the communities they serve. Moreover, additional oversight boards have existed in various forms since the 1950s. While not present everywhere, according to Liana Perez, director of the National Association for Civilian Oversight of Law Enforcement, there are now more than 200 oversight boards across the nation. However, like any local law enforcement initiative, civilian oversight takes different forms in different jurisdictions. Many agencies exploring options for their own communities often ask what others are doing to inform their own decision making. To assist those agencies who want to know how civilian oversight is working in communities across the nation, the COPS Office awarded funding to the Major Cities Chiefs Association (MCCA) to survey its members and hold a round table to discuss the results. The round table participants, who represented 21 agencies in Canada as well as the United States, talked about how civilian oversight worked in their own communities. They described the objectives of their oversight programs and debated their advantages, challenges, and effectiveness, calling attention to issues they felt were especially important for their peers to know. On behalf of the COPS Office, I thank the MCCA and its members who responded to the survey, as well as the 21 round table participants, all of whom generously gave of their time and forthrightly expressed their opinions. Our thanks also go out to the National Law Enforcement Memorial Fund, which hosted the meeting. This report provides an overview of the existing landscape in local oversight. It is important to share this with the field as law enforcement agencies throughout the nation work to continue to build and maintain trust, ensure the quality of the services they deliver, and enhance their mechanisms for local accountability and control that are so important to effectively policing our nation's many and varied communities. The COPS Office is proud to be able to support local agencies in making informed decisions for their communities. Sincerely, Phil Keith Director Office of Community Oriented Policing Services 65A-12 65A-13 Acknowledgements The authors would like to acknowledge the important contributions made to this project by members of the Major Cities Chiefs Association that responded to our membership survey on their civilian oversight models and for participating in the round table discussion. We are also grateful for the participation of President Brian Corr and Vice President Margo Frazier from the National Association of Civilian Oversight of Law Enforcement in the round table discussion. MCCA Associate Director Patricia Williams made an important contribution through handling the administrative and logistical aspects of the project. 65A-14 65A-15 Introduction Civilian oversight of the police has been a topic of discussion and debate since the 1960s. The debate generally surfaces in communities where there has been a high -profile incident in which a member of the community has been injured or killed during an encounter with the police. The shooting death of Michael Brown in Ferguson, Missouri, in August 2014 followed by other high -profile shootings and deaths pushed civilian oversight and police accountability into the national spotlight. Although not generally acknowledged by the public, police agencies have always had civilian oversight through elected mayors, city councils, prosecutors' offices, court decisions, and state and federal legislation. Since the early 1960s, other forms of oversight have been developed in the hope of ensuring greater police accountability and community trust. In the earliest cases, a number of cities established civilian police commissions or boards (Los Angeles; Chicago; Kansas City, Missouri; and Detroit are examples) that played a role in the selection of the chief, policy development, and discipline. Since the late 1960s, other forms of civilian oversight have emerged. A number of civilian oversight classification systems developed over the years because of the wide variation in approaches adopted by communities. The National Association of Civilian Oversight of Law Enforcement (NACOLE) adopted a system developed by Samuel Walker in 2001 with some modifications of their own.' NACOLE places civilian oversight bodies in one of three classifications: 1. The investigation -focused model involves routine, independent investigations of complaints against police officers, which may replace or duplicate police internal affairs processes, though non -police civilian investigators staff them. 2. The review -focused model concentrates on commenting on completed investigations after reviewing the quality of police internal affairs investigations. Recommendations may be made to police executives regarding findings, or there may be a request that further investigations be conducted. A review board composed of citizen volunteers commonly heads this model, and they may hold public meetings to collect community input and facilitate police -community communication. 3. The auditor/monitor model focuses on examining broad patterns in complaint investigations including patterns in the quality of investigations, findings, and discipline rendered. Further, in some cities that use this model, auditor/monitors may actively participate in or monitor open internal investigations. This model often seeks to promote broad organizational change by conducting systematic reviews of police policies, practices or training, and making recommendations for improvement. 1. DeAngelis, Rosenthal, and Buchner, Civilian Oversight. 65A-16 Civilian oversight programs vary significantly from one city to the next and even within the general categories described here, and in some communities there are aspects of all of the models. Many programs were established in response to concerns expressed in the community about police accountability. Many advocates believe the police can more effectively be held accountable by an agency outside the law enforcement organization. The exact number of oversight bodies in the United States is not known; NACOLE lists 125 jurisdictions that are part of their membership.2 Forty-six of those jurisdictions are Major Cities Chiefs Association (MCCA) members. One of the major challenges with oversight programs is the limited empirical evidence demonstrating their effectiveness. The three basic models described on page 1 have not been examined to determine whether they actually improve accountability or if community confidence is enhanced by their presence. In some cities where programs have been established, the MCCA has seen calls for changing the way they operate. In Chicago, for example, the mayor dismantled the Independent Police Review Authority and established a new Civilian Office of Police Accountability that began operations in September 2017. The Office of Community Oriented Policing Services (COPS Office) collaborated with the MCCA to develop a better understanding of civilian oversight programs in MCCA agencies. Through the project, the MCCA sought to improve understanding of civilian oversight agencies and the implementation challenges. To that end, the MCCA surveyed its member agencies and a held round table discussion in Washington, D.C., on June 15, 2017. This paper discusses the results of that survey and the outcome of the round table conversation and provides an overview of civilian oversight in major city police agencies. While the surveys and subsequent round table were informative, two findings became clear: (1) Because of significant variation of oversight from one jurisdiction to another, it is difficult to make broad generalities, and (2) there is a need for developing clear objectives, measurement, and empirical research to measure effectiveness of the specific models going forward. 2. NACOLE, "Police Oversight by Jurisdiction (USA)." Civilian Oversight of the Police in Major Cities 65A-1 7 Civilian Oversight Survey This section reports on the findings from the MCCA electronic survey of its 78 member agencies (68 in the United States and 10 in Canada). The survey collected information on the role and authority of civilian oversight bodies among MCCA member agencies (the survey can be found in appendix A beginning on page 31). Responses were collected between November and December of 2016. Fifty-two agencies participated in the survey, a response rate of about 67 percent. However, agencies that did not currently have a civilian oversight body were not expected to respond to the majority of survey questions. Therefore, the sample size in most of the analyses is approximately 41 member agencies. Prevalence of civilian oversight Figure 1. Do you have some type of civilian oversight or review in your agency? (n = 52) ■ Yes ■ No As shown in figure 1, among the 52 responding agencies, 41 departments (79 percent) reported having some kind of civilian oversight or review body, while 11 departments (21 percent) had no existing civilian oversight or review body. The agencies with a civilian oversight body had established their boards as long ago as 1930 and as recently as 2016. Most (26 agencies) originally formed their oversight bodies between 1990 and 2010. 65A-18 Figure 2 shows that approximately 63 percent of agencies (n = 26) reported making changes to their oversight system from 2013 to 2016, while about 32 percent (n = 13) reported no recent changes. At the time the survey was conducted, two agencies (Chicago Police Department and Service de Police Ville de Quebec) reported that changes were being considered but had not yet been adopted. Chicago subsequently made significant changes, as noted on page 26. Figure 2. Have there been changes to your model in the past three years? (n = 41) No ■ Proposals considered Civilian oversight model types and board characteristics Model type MCCA agencies were asked to report which NACOLE definition best fit their agency's model of civilian oversight. NACOLE is a professional association of both individuals and organizations dedicated to improving accountability and transparency through the implementation of civilian oversight bodies.' 3. NACOLE, "About Us." Civilian Oversight of the Police in Major Cities 65A-1 9 Figure 3. What most closely fits your model of civilian oversight? —NACOLE model definitions (n = 40) P Investigative ■ Review ■ Auditor/Monitor N Other As shown in figure 3, 28 agencies (70 percent) reported one of the three NACOLE models: investigation - focused (independent investigations of misconduct allegations), review -focused (review the quality of completed internal affairs), or auditor/monitor-focused (inspector general, audit processes, review complaint investigations). Twelve agencies (30 percent) classified their oversight body as being either a combination of these models or another type of model completely. • The most common type of civilian oversight boards were review -focused (n = 16). • Auditor/monitor-focused boards were used least frequently (n = 4). • Twelve MCCA agencies reported "other," which usually meant they used some hybrid of these models or had two separate bodies with oversight authority. General authorities MCCA agencies reported the authorities their agency's model of civilian oversight possessed. While two agencies (Milwaukee, Wisconsin, and Honolulu, Hawaii) reported their board as having all the authorities listed, most agencies' oversight bodies had varying levels of authority. 65A-20 Civilian Oversight Survey Figure 4. Does your civilian oversight body have the authority to ... (n = 41) All of the below Investigate complaints independently Subpoena witnesses Subpoena records Impose discipline Recommend discipline Review discipline Hear citizen appeals Hear officer appeals Percent 0 20 40 60 80 100 ■Yes ■No Figure 4 displays which authorities civilian oversight bodies are more or less likely to have among the responding MCCA agencies. • Two agencies (5 percent) reported that their civilian oversight board had all authorities while 39 agencies (95 percent) reported their board as having limited authority. • Reviewing discipline (26 agencies), independently investigating complaints (26 agencies), and hearing citizen appeals (25 agencies) were the types of authority most frequently held by civilian oversight bodies. • Only 4 civilian oversight bodies (10 percent) had the authority to impose discipline. • Among the 41 agencies responding to this question, civilian oversight bodies have an average of approximately four of these listed authorities. Civilian Oversight of the Police in Major Cities 65A-21 External complaint authorities Respondents reported which external complaints (complaints from outside the department) their oversight body has authority to review. As expected, civilian oversight bodies have a greater role and authority in the review of external complaints than they do in the review of internal complaints (complaints from inside the department such as from supervisors or other officers). None of the 41 agencies reported that their civilian oversight board had none of the external authorities listed. Only eight (20 percent) of the civilian oversight boards had limited powers regarding external complaints. Approximately 80 percent of oversight boards (33 agencies) had the authority to hear and review all external complaints. Figure 5. What type of external complaints does your oversight body have the authority to review? (n = 41) 100 80 60 c u d d 40 20 Excessive force Use of force Courtesy Profiling Improper arrest Driving ■ Yes ■No 65A-2Zivilian Oversight Survey Civilian Oversight Survey #4,9 Figure 5 on page 7 displays which external authorities held by civilian oversight boards among the responding MCCA agencies. What is immediately evident from the figure is that an overwhelming majority of bodies have the authority to hear these external complaints. • All 41 boards had the authority to review the investigations of external complaints of excessive force, while 39 boards (95 percent) could hear all use of force complaints (that is, even when the complaint is not that the force was excessive). • Compared to other types of complaints, civilian oversight bodies were least likely to have the authority to review external complaints about law enforcement officers' driving; only about 80 percent of boards could review this external complaint. • Eleven agencies (27 percent) reported that their civilian oversight board has authority to review other types of external complaints. When specifying "other" types of complaints, department contacts named misconduct/abuse of authority, false imprisonment, improper searches/seizures, harassment, abusive/ offensive language, and death/serious injury. Internal complaint authorities MCCA agencies then reported which internal complaints their oversight body has authority to review. In contrast with external complaints, twenty-four (59 percent) of civilian oversight bodies do not have authority to review all internal complaints. In fact, 17 agencies (nearly 41 percent) reported that their civilian oversight bodies have no authority to review internal complaints. 65A-23 Figure 6. What type of internal complaints/misconduct does your oversight board have the authority to investigate? (n = 41) 80 70 60 50 Y C u 40 0 a 30 20 10 0 Use of force Unbecoming conduct Driving Harassment ■ Yes ■ No The proportions of agencies that can and cannot review the investigations of internal complaints are displayed in figure 6. • Seventeen agencies (41 percent) reported that their civilian oversight body had authority to hear all internal complaints; while 7 agencies (17 percent) said their board had a limited authority to hear internal complaints. • Hearing internal use of force complaints was the most frequently reported authority (21 oversight bodies, 51 percent of agencies). • Hearing internal complaints related to driving was least likely among oversight bodies; only 17 boards (41 percent) of boards had the authority to review this complaint type. • Seven agencies (17 percent) reported their oversight body as having the authority to review other types of internal complaints. When specifying "other" types of complaints, department contacts named all officer -involved shootings, death/serious injury by officers, complaints made by a chief, complaints that generate internal affairs investigations, and disciplinary decisions. 65A-24 Civilian Oversight Survey • Eighteen agencies reported authority to hear unbecoming conduct complaints (44 percent) while 23 agencies (56 percent) reported their boards did not have this authority. • Regarding harassment complaints, 19 agencies (46 percent) had authority to review while 22 agencies (54 percent) did not. Characteristics of oversight bodies Size Of the departments reporting the number of members currently serving on their civilian oversight body (36 respondents), the average number of members reported was approximately 13. Sizes of oversight boards ranged from 2 to 50 members. Term length Five agencies reported having unlimited terms for members, while 29 agencies did not allow board members to serve unlimited terms. The term length served on civilian oversight boards ranges from 6 months to 8 years (n = 29). Qualification of members Agencies indicated the qualifications needed to serve as a volunteer member on their civilian oversight board. Answers were open-ended and varied greatly in detail. Responses were coded into dichotomous variables for this survey question. When a qualification was explicitly mentioned, it was coded as "yes;" qualifications that were not mentioned in open-ended responses were coded as "no." Civilian Oversight of the Police in Major Cities 65A-25 Figure 7. What are the qualifications to serve as a member of the oversight body? (n = 37) Percent 0 20 40 60 80 100 Knowledge/experience Training � College education 1 Must be former LEO Must NOT have family LEO Must NOT be elected official Residency Registered voter No criminal history Recommendation/appointment by city official ■Yes ] No Figure 7 displays frequencies of named qualifications in responses. Thirty-five agencies mentioned at least one qualification for oversight board members, while two agencies reported that the qualifications for members were "none." • Qualifications most frequently cited were recommendation/appointment by a city official (11 Boards, 30 percent of agencies) and residency (12 boards, 32 percent of agencies). • Eight percent of agencies (3 boards) indicated that members must be former law enforcement officers (LEO), while 11 percent of agencies (4 boards) indicate that members may not be a LEO and one board (3 percent) exclude membership for those with a family member in law enforcement. • Only 8 percent (3 boards) of agencies mentioned that members had to complete some training requirement to serve. 65A-26 Civilian Oversight Survey Member qualifications across model type • Generally, agencies that were investigative -focused or review -focused named more qualifications for members of their civilian oversight bodies. • Among investigative -focused bodies (n = 8), the most frequently cited qualifications were residency and recom mendation/appointment. • Among review -focused boards (n = 16), the most frequently cited qualifications were recommendation/ appointment, no criminal history, and residency. • Among auditor/monitor-focused agencies (n = 4), the most frequently cited qualification was knowledge/ experience. • For agencies that indicated "other' for model type (n = 12), the most frequently cited qualification (cited by nine agencies) was recommendation/appointment. Four out of five agencies responding to the MCCA survey had some type of civilian oversight body. The survey found that there are wide variations from one community to the next in the way civilian oversight programs are implemented. All of the oversight bodies played a role in reviewing or investigating allegations of excessive force. Civilian Oversight of the Police in Major Cities 65A-27 Round Table Discussion A round table discussion was held to enhance our understanding of how civilian oversight works in major cities. The discussion focused on reviewing the survey results and how the various models worked in actual practice. The National Law Enforcement Officers Memorial Fund hosted the round table discussion on June 15, 2017, at the PEW Conference Center in Washington, D.C. Representatives from 21 MCCA agencies in the United States and Canada participated in the discussion. In addition, the president and vice president of NACOLE attended and participated in the conversation. Also participating was the chairperson of the newly created Fairfax County (Virginia) Civilian Review Panel (the full list of attendees can be found in appendix B on page 35). The first half of the conversation was devoted to participants describing their oversight bodies. The second half focused on a series of questions about civilian oversight aimed at helping understand how it worked in their communities: objectives, advantages and disadvantages, effectiveness measures, research gaps, and key points participants thought should be emphasized in the paper (the full agenda can be found in appendix C on page 37). The oversight model discussion was framed around the NACOLE investigative, review, and auditor/monitor models. As can be seen in table 1 on page 14, most of the agencies reported their civilian oversight body followed the review -focused model. Nine agencies did not fall within the three models; they were combinations of the models or something entirely different. The City of Los Angeles, for example, has a police commission appointed by the mayor that serves as a corporate board with the chief of police in the role of chief executive officer. The commission has a role in appointing the chief, policy and budget approval, and oversight in the disciplinary process. It also appoints an inspector general, whose function would fall under the auditor/monitor model. An additional 11 agencies did not have a type of civilian oversight that fits within any of the NACOLE models and reported "none." Nevertheless there is civilian oversight of these agencies through mayors, city councils, prosecutors, and the variety of boards and commissions in cities that have some influence over police operations. 65A-28 Table 1. MCCA survey: agency model responses Atlanta, GA* Baltimore, MD Calgary, AB Los Angeles, CA Arlington, TX Chicago, IL* Boston, MA Fresno, CA Louisville, KY Baltimore County, MD Honolulu, HI Charlotte— Los Angeles Memphis, TN Columbus, OH Mecklenburg, NC* County, CA* Long Beach, CA Detroit, MI Wichita, KS* Minneapolis, MN* Fairfax County, VA Montreal, OC Houston, TX Ottawa, ON Miami -Dade County, FL New York, NY Las Vegas, NV Peel Region, ON Montgomery County, MD Philadelphia, PA* Milwaukee, WI St. Louis, MO* Nashville, TN Salt Lake City, UT Oklahoma City Toronto, ON Pittsburgh, PA Seattle, WA* Omaha, NE* Vancouver, BC Raleigh, NC Orlando, FL Tulsa, OK Phoenix, AZ Virginia Beach, VA Prince George's County, MD San Antonio, TX San Diego, CA* Tampa, FL* Tucson, AZ * New oversight body or change in process since 2012 Agency presentations Agencies from each of the three oversight models and from the "other" model were asked to describe how their approach worked in their community. Investigative model Atlanta Atlanta, Georgia, established the Atlanta Citizen Review Board (ACRB) in 2007, and it has been in place since then —though not without some modifications. The formation of the board was precipitated by the death of an elderly woman during the service of a search warrant. Because there were questions as to the legitimacy of the warrant served and how the call was handled, an investigation ensued. The investigation, prosecution, and litigation became a lengthy process. Early in that process, Chief Richard Pennington Civilian Oversight of the Police in Major Cities 65A-29 recommended that a civilian review board be established as a way to help improve public confidence and understanding of the various processes involved in officer misconduct allegations. The ACRB process is reflected in figure 8. Figure 8. Atlanta Civilian Review Board investigative process Information Complainant, 23 Complaint73 Assessment73 officer, and received of complaint and evidence witness collection interviews Source: "The Process," Atlanta Citizens Review Board, accessed August 28, 2017, htto://acrbgov.org/. Another incident occurred in 2010 that was just as long and complex as the one in 2006. The transparency provided by the ACRB helped keep the public informed and demonstrated the value of a civilian review board in responding to community questions. While civilian review boards may be responsive to the needs of the community and help build public trust, internal relationships between a police department and civilian oversight have the potential to be problematic. In Atlanta, the department has worked to establish better working relationships with the ACRB. In particular, Internal Affairs (IA) and the Office of Professional Standards (OPS) work closely with the ACRB. Board members have observed police training and now attend the Citizens Police Academy. As a strong working relationship has developed, it has been reflected in the departmental review of the outcome of investigations where findings indicate that the ACRB and IA are reaching similar conclusions regarding the investigative outcome. Other issues generated by the discussion of the Atlanta investigative model included the selection and background of board members. Selecting members who will have the time required to do the type of work involved is particularly critical. Atlanta has found that selecting board members from senior groups or retired citizens works better than selecting younger members or community youth to serve on the board because they are able to devote more time to their responsibilities. 65A-30 Round Table Discussion Seattle The Office of Police Accountability (OPA) is an independent office within the Seattle Police Department (SPD) that investigates complaints of police misconduct made by members of the community and complaints made internally by members of the SPD.' The mission of the ORA is to provide for civilian oversight of the complaint process; to promote public awareness of and full access to that process; and to advance accountability within the SPD. The structure of the CPA was designed to ensure objective, thorough, and transparent investigations. An independent auditor reviews all OPA investigations. The OPA Review Board (CPARB) furthers the mission of the OPA and assures public trust in the process. The auditor is appointed by the mayor and confirmed by the city council. The role of the auditor is to ensure the thoroughness, fairness, and timeliness of the OPA investigations. The auditor reviews all the CPA complaints and investigations, reviews and assesses SPD policies and practices, and makes recommendations accordingly. The OPARB consists of seven members appointed by the city council. The CPARB's mission is to provide community oversight and awareness of SPD practices and its employee accountability system. The OPARB works with the CPA to implement its mission and strengthens the system of police accountability by doing the following: • Soliciting community input about police accountability and police practices • Conducting an independent review of the quality of the CPA complaint and investigation process for fairness • Reviewing police policies and procedures • Researching national trends and best practices on police accountability and police practices • Reporting to the community, City government, and the SPD on the citizen input it receives and the results of its independent review and research • Recommending topics to the OPA auditor for the auditor's review of the CPA' Since 2013, Seattle has also had a Community Police Commission (CPC). The CPC was created to help reform efforts under the U.S. Department of Justice (DOJ) consent decree; in 2017, new legislation made it a permanent entity with more commissioners and staff and broader responsibilities and authority.' 4. Office of Police Accountability, "Office of Police Accountability." 5. Office of Police Accountability, "Office of Police Accountability." b. Seattle Community Police Commission, "Community Police Commission. Civilian Oversight of the Police in Major Cities 65A-31 Review model Philadelphia The first Police Review Board in Philadelphia was created by Mayor Richard Dilworth in 1958. It has come in and out of existence over the years. Mayor James Kenney signed an executive order to reestablish the Police Advisory Commission (PAC) in January 2017, The commission will focus on policy review, investigations, and community outreach. The commission is now tasked with verifying the Philadelphia Police Department's (PPD) efforts to implement the recommendations of the DOJ's Collaborative Reform efforts and the recommendations made by the task force on 21 st Century Policing established by then President Barack Obama in 2014. The PAC will have 13 voting members appointed by the mayor, the city council, and civic and advocacy groups. Their mission is to provide independent civilian oversight to strengthen the relationship between police and community members. Since 2017, one PAC member sits on the PPD's Use of Force Review Board and is a voting member who helps to determine if an officer -involved shooting (OIS) was justified. The PAC is also authorized to respond to the scene of any police firearm discharge resulting in injury or death. Las Vegas The Las Vegas Metropolitan Police Department (LVMPD) was the first agency to engage in the Collaborative Reform process through the Office of Community Oriented Policing Services (COPS Office) that lasted two years and laid the groundwork for the development of its civilian oversight model. As a result of its work in Collaborative Reform, the LVMPD began to engage community stakeholders in CIS incidents and is gradually institutionalizing this process. Following the passage of a local ordinance, a Citizen Review Board was created to act as an advisory board to the department and to review internal complaints and use of force. The board is funded by local government and has an appointed director, and all 25 members serve two- or three-year rotating, staggered terms. At minimum, they receive training on policies and procedures and also go to the Citizen Police Academy. Five of the 25 board members are chosen randomly to staff the hearing panels that review incidents and make recommendations for referral or additional review. Their findings are referred to the sheriff or to mediation. In 2016, 141 of 173 review board complaints were reviewed by screening panels. Only eight were referred back to Internal Affairs to seek additional information. Now the LVMPD is considering assigning Citizen Review Board members to attend crime scenes where officers use force and participate in the whole investigation, starting with the crime scene and ending with the Use of Force Review Board. The department's work clearly shows how modifications can continue to occur that grow and strengthen a civilian oversight program. 65A-32 Round Table Discussion Tampa Responding to concerns expressed by the community, civil rights groups, and the city council, Tampa Mayor Bob Buckhorn established the Citizens Review Board by executive order in February 2016.' The volunteer review board has nine voting members and two alternates who serve staggered 4-year terms. The board reviews disciplinary cases and other important issues identified by the police department and community. They report their findings to the Chief of Police and may also make recommendations for policy changes' To qualify, Review Board members have to complete the police department's Citizen Academy, be at least 18 years of age, and submit to a background check. They cannot work for the City of Tampa, be in law enforcement, directly related to anyone in the police department, and cannot have any felony or moral turpitude convictions.9 At board meetings held monthly, the lead Internal Affairs detective presents cases for the consideration of the Review Board. Auditor model Fresno The City of Fresno has two oversight bodies designed to improve accountability and community trust. The first is the Office of Independent Review (OIR). It was established in 2009 as a part-time position that operates separately from the police department. The OIR operates as an auditor and reviews the police department's policies, procedures, strategies, and internal investigations," The Independent Reviewer assesses the FPD's Internal Affairs investigations to ensure they are thorough and treat all parties fairly. In addition the office conducts audits of police department units to ensure they are operating within the framework of agency policy and procedures." The second oversight body is the Citizen's Public Safety Advisory Board. The city council approved the mayor's proposal to establish a nine -member board on March 16, 2017. The board conducts reviews of major incidents like officer -involved shootings (OIS). It also has the authority to review policies and prepare reports to the council and public. In addition the city council approved making the OIR a full-time rather than part-time position (Sheehan 2017).12 7. Sullivan, "Tampa's new Civilian Review Board convenes without acrimony." 8. Civilian Review Board, "Civilian Review Board." 9. Civilian Review Board, "Civilian Review Board." 10. City Manager's Office, "Office of Independent Review." 11. City Manager's Office, "Office of Independent Review." 12. Sheehan, "New Police Oversight Board." Civilian Oversight of the Police in Major Cities 65A-33 Los Angeles County Sheriff The Los Angeles County Sheriffs Department has two forms of civilian oversight that were created by the Board of County Supervisors. The Office of Inspector General (OIG) was established in 2014 followed by the Sheriff Civilian Oversight Commission in 2016. The Office of Inspector General was created as an independent oversight and monitoring body for the Los Angeles County Sheriff's Department and its jail. The Inspector General reports directly to the Board of Supervisors and is responsible for keeping the board informed about the oeprations of the sheriff's department. The OIG reports are considered public records unless they deal with confidential personnel or otherwise privileged information.13 The Los Angeles County Board of Supervisors established the Sheriff Civilian Oversight Commission in January 2016. The commission's mission is to improve transparency and accountability in the sheriff's department.14 The Board of County Supervisors appointed the nine -member commission and the executive director in November 2016. The commission was encouraged to "demand information, demand the truth and err on the side of disclosure ...... 15 Other models Louisville The Louisville Police Department (LPD) had an investigative body for civilian oversight, but it was dissolved in 2003 with the consolidation of city and county governments. It included a City Commission on Public Accountability, composed of 10 members selected by the mayor; a public integrity process; and a professional standards office. When the city and county governments merged, a state law established the Police Merit Board. It is composed of five members approved by the mayor and two members approved by the Fraternal Order of Police. The board has the statutory ability to hear cases and make recommendations. 13. Los Angeles County Office of Inspector General, "Office of Inspector General." 14. Los Angeles County Sheriff's Civilian Oversight Commission, "Sheriff Civilian Oversight Commission. 15. City News Service, "Los Angeles County appoints Civilian Oversight Commissioners." 65A-34 Round Table Discussion Fairfax County, Virginia Participants from the Fairfax County (Virginia) Police Department (FCPD) were eager to learn from the round table discussions because they represent an agency in the early stages of setting up civilian review based on recommendations from the Fairfax County Oversight Commission and approved by the Fairfax County Board of Supervisors. Although the FCPD is just getting started, it will be blending the review and auditor models. The auditor will review all investigations related to death and serious injury cases, use of force, and internal affairs investigations and will advise the chief of police and Board of Supervisors of any disagreement with findings in these investigations. Members of the newly appointed Civilian Review Panel will serve three-year terms with a two -term limit. They will review abuse of authority complaints and serious misconduct. Both the auditor and the Civilian Review Panel will issue annual reports to the public concerning their activities and will provide public recommendations to the Board of Supervisors and chief of police on proposed revisions to Fairfax County policies, training, and practice. Further, they will create an online matrix that will list all the items being accomplished based on the oversight commission's 202 recommendations and will show the progress made toward implementation. The matrix will be used as a report card after the first year of operation is completed. Civilian oversight issues The second half of the round table focused on a series of questions about civilian oversight aimed at helping to understand how it worked in communities: objectives, advantages and disadvantages, measures of effectiveness, research gaps, and key points participants thought should be emphasized in the paper. Civilian oversight objectives Round table participants identified what they believed to be important objectives for civilian oversight. • Transparency • Independent investigations • Improving accountability • Improving public trust and legitimacy • Engaging the community • Demystifying police internal affairs investigations Civilian Oversight of the Police in Major Cities 65A-35 These objectives are obviously all important for civilian oversight processes. Objectives will vary from one community to another and among the various models. For example, the level of transparency that an oversight process can provide may be influenced by state public records laws. If, for example, personnel records are confidential under state law, the amount of information that can be shared about an officer under investigation or the outcome of the investigation may be limited. Independent investigations will not be an objective for the review model of oversight. In the review model, the oversight body relies on the investigations conducted by the internal affairs or professional responsibility units of the police department. The review model can include all of the other objectives, however. The objective of improving public trust and legitimacy requires that the oversight body have a plan for informing the public of their work. A website, periodic public reports, press releases, and social media are all ways of ensuring the public has some awareness of the work of the oversight body. Some communities televise the deliberations of the oversight body. NACOLE identified two additional goals and objectives of civilian oversight: (1) ensuring an accessible process and (2) deterring police misconduct.16 Model advantages and disadvantages Round table participants discussed the advantages and disadvantages of each of the oversight models. The advantages and disadvantages participants identified can certainly be the subjects of debate. They are identified as advantages or disadvantages from the perspective of the round table participants. One could argue that timeliness (the amount of time it takes from the initiation of a complaint to its resolution) is a disadvantage of all three models. There is also considerable overlap between the models. For example, independence (from police) was identified as an advantage of both the investigative model and the auditor model. There is also some independence in the review model because the oversight body often reports to the city council or city manager. But these city leaders must rely on the police to conduct the investigation that may limit independence in the mind of some observers. The oversight body in an auditor model does not conduct the complaint investigation in most cases, but it does examine the quality of the investigation and will audit policy and other areas of the police department to enhance accountability. Table 2 on page 22 outlines the advantages and disadvantages of each model. 16. DeAngelis, Rosenthal, and Buchner, Civilian Oversight. 65A-36 Round Table Discussion Table 2. Civilian oversight model advantages and disadvantages ..Review Auditor Advantages Independence ✓ ✓ Transparency ✓ ✓ ✓ Public confidence ✓ ✓ Community perspective ✓ ✓ Officer acceptance ✓ ✓ Broad range of oversight ✓ Policy focus ✓ Disadvantages Investigative experience ✓ Expense ✓ Complaint reception ✓ ✓ Timeliness ✓ ✓ Report challenges ✓ Diversity representation ✓ There are other forms of oversight that do not fall neatly into any of the three models in table 2, and there are advantages and disadvantages with these approaches as well. Both the Toronto Police Service and the Peel Regional Police (Ontario, Canada) work at the direction of the Police Services Board, which appoints the chief of police, who is responsible to the board as the chief executive of a corporation is responsible to its board of directors. (This is similar to the City of Los Angeles, where the mayor's appointment of chief of police must be approved by a majority of the civilian police commissioners and the city council.) In addition, Toronto and the Peel Region have three additional oversight bodies that include all three of the models already described. While these bodies conduct independent investigations of OIS and misconduct (two separate agencies), this process does not involve the community —the bodies are still government agencies. They have the advantage of independence and well -trained investigators but lack the perspective of the community. Fairfax County, Virginia, combines the review and auditor models in its approach to civilian oversight. It settled on this approach after a lengthy public conversation about the approach that best suited its needs. It will have the advantages and disadvantages of both models. Civilian Oversight of the Police in Major Cities 65A-37 Civilian oversight effectiveness measures Are civilian oversight programs effective? Do they achieve their objectives? Round table participants identified and discussed measures they believe would help answer those questions. A program's contribution to a specific outcome may not be able to be isolated from other programs or activities that could have had an impact in the same area. Citizen and officer satisfaction. An important measure is whether or not those who interact with the oversight program are satisfied with the process. Even if they are not happy with the outcome, satisfaction with how they were treated is one indication of how they view the program. Do they believe they were treated fairly in the process? The questions will vary to some extent based on the model of oversight — citizen interaction with the auditor model may be limited. In the review model, both citizens and officers may have direct contact with the oversight body if a hearing is held. In the investigative model, both the citizen and officer have contact with the oversight body through the investigative process. Timeliness of the process. A frequent criticism by citizens who make complaints and officers who are the subject of the complaint is the length of time it takes to investigate and come to a resolution. Depending on the type of complaint, it is not unusual for it to take six months to a year from complaint reception to resolution, if the complaint is sustained and involves disciplinary action against the officer. This is not just in places with civilian oversight bodies —it occurs in police agencies without civilian oversight. Every step of the process should be tracked. Agencies should know how long each step takes and establish benchmarks for completion. Some investigations are more complex than others and will require more time, but a supervisor should approve extensions beyond the benchmark times. If it is difficult at times to contact a complainant, or if an officer is unavailable, that can contribute to delays in the investigation. These circumstances are unavoidable, but they should be documented. When a complaint is sustained and disciplinary action is being considered, the time to resolve the complaint is extended even further. If there are appeals it takes even longer. Departments can decrease these timelines, but these adjustments require close monitoring of the process and reminders to those involved to move the case along. Oversight agencies can also work to ensure that complainants understand the steps in the process and the time it takes to complete them. 65A-38 Round Table Discussion Program costs. Although costs are not a measure of effectiveness, they should be clearly understood for the different models of civilian oversight. Knowing the cost of the investment helps in determining what approach may be best for a particular community. The costs include the police department investigation. If a community has a review model, for example, the police investigative and support costs should be included. The costs of investigations conducted by the oversight agency might be compared with the police investigative costs. Resolution of complaints. Although there are variations from one community to another, most use four investigative outcomes. 1. Unfounded. Investigation shows the events complained of did not occur or the subject of the complaint was not involved. 2. Exonerated. The actions of the subject of the complaint were justified, lawful, and proper. 3. Not sustained. The investigation failed to find evidence to clearly prove or disprove the allegation. 4. Sustained. The investigation discovered sufficient evidence to clearly prove the allegation. Investigative outcomes should be tracked and regularly shared with the community in statistical reports. Police and oversight bodies have been criticized for the low rate of complaints that are sustained. A 2006 Bureau of Justice Statistics (BJS) report indicated that use of force complaints in departments with more than 100 officers were sustained 8 percent of the time." Thirty-four percent of the complaints were not sustained, 25 percent were declared unfounded, and 23 percent were exonerated.18 Jurisdictions with a civilian complaint review board sustained complaints 6 percent of the time; those without a board sustained 11 percent of the complaints," These statistics are important to the community, and they require an explanation. Public trust and confidence. Round table participants thought an effort should be made to periodically measure the level of confidence in the oversight body and the police. National polls routinely ask the public about their trust and confidence in the police —community residents could be surveyed to gain insight into the impact of civilian oversight on trust and confidence. 17. Hickman, Citizen Complaints. 18. Hickman, Citizen Complaints. 19. Hickman, Citizen Complaints. Civilian Oversight of the Police in Major Cities 65A-39 Community awareness. Are community residents aware of the civilian oversight body? Community surveys can provide a sense of the overall awareness of the of the oversight body. Although awareness is not a measure of effectiveness of the oversight body, it can provide insight into the effectiveness of outreach efforts to let the public know about civilian review of the police agency. Number of citizen complaints. Numbers and type of complaints and trends should be documented and reported. Is the number of complaints against police officers affected by the presence of a civilian oversight body? The BJS study on use of force complaints in cities with more than 100 officers indicates that communities with civilian oversight receive 11.9 complaints per 100 officers and those without civilian oversight receive 6.6 per 100 officers.20 It can be argued that the presence of an oversight body helps overcome the fear of filing a complaint against a police officer. Research gaps. Civilian oversight bodies have been in existence for many years, and the number has grown to well more than 100. Many of the bodies were established following high -profile incidents with considerable debate in their communities and frequently opposed by the police. There is a significant body of literature on the advantages and disadvantages of civilian oversight, descriptions of the various models, and advice on implementation. There is little, if any, empirical research on the effectiveness of civilian oversight of the police —nor are the programs subjected to any systematic evaluation. The Chicago Police Accountability Task Force closely examined the system of accountability and concluded: The public has lost faith in the oversight system. Every stage of investigations and discipline is plagued by serious structural and procedural flaws that make real accountability nearly impossible. The collective bargaining agreements provide an unfair advantage to officers, and the investigating agencies— [Independent Police Review Authority ] IPRA and CPD's Bureau of Internal Affairs —are under-resourced, lack true independence and are not held accountable for their work. Even where misconduct is found to have occurred, officers are frequently able to avoid meaningful consequences due to an opaque, drawn out and unscrutinized disciplinary process." 20. Hickman, Citizen Complaints. 21. Police Accountability Task Force, Recommendations for Reform. 65A-40 Round Table Discussion The Chicago task force found that the Independent Police Review Authority (IPRA) or the Bureau of Internal Affairs failed to investigate 40 percent of the complaints from 2011 to 2015. The task force recommended that IPRA be replaced with a new civilian police investigative agency. The recommendation was implemented in September 2017 with a change in the name: Civilian Office of Police Accountability (COPA). There is a clear need for local agencies to conduct empirical research on civilian oversight approaches to determine if they are achieving their objectives and, if not, to identify the corrective steps necessary. Civilian Oversight of the Police in Major Cities 65A-41 Conclusion Seventy-nine percent of the MCCA agencies that responded to our survey indicated they have some type of civilian oversight body in their community. At one time or another, it is safe to say that all of the other agencies have had a conversation about creating a civilian oversight body in their city. It is important to have an ongoing conversation about how to ensure that police are held accountable for their actions. It is also a difficult conversation about extremely complicated work. And the conversation most often takes place in less than ideal circumstances. NACOLE found that 49 percent of agencies' oversight bodies were established following high -profile incidents and 30 percent from concerns about racial violence.zz There is little doubt that conversations about police accountability need to continue and should be a high priority. A July 2017 Gallup Poll indicated that 57 percent of Americans had a great deal or quite a lot of confidence in the police. However there are continuing gaps between minority groups and White people who have a great deal or a lot of confidence in the police. Black respondents' confidence in law enforcement was only 30 percent, Hispanic respondents' was 45 percent, and White respondents' was 61 percent.za A 2016 CATO Institute poll found that 46 percent of Americans (including 64 percent of African Americans) say the police are "generally not" held accountable for misconduct, and 79 percent of Americans support outside law enforcement agencies conducting these investigations.24 The question for police is how to engage the community in a way that helps close the gaps that exist between White community members and racial minorities in confidence and accountability. This is not a challenge for the police alone but also for local government generally and for civilian oversight bodies. The steps that have been taken so far have not had much effect on confidence and perceptions of accountability. Have the solutions fallen short because they are the wrong ideas? Have they been implemented in a half-hearted way? Have they been appropriately resourced? These are important questions that require police leaders and the community to work together to resolve. 22. DeAngelis, Rosenthal, and Buchner, Civilian Oversight. 23. At 57 percent the police are in third place behind the military (72 percent) and small business (70 percent) in a list of 14 institutions with religious institutions (41 percent) in fourth place and the US Supreme Court(40 percent) in fifth place. Newport, "Americans' Confidence." 24. Elkins, Policing in America. 65A-42 65A-43 References Atlanta Citizens Review Board. "The Process." Atlanta Citizens Review Board. Accessed August 28, 2017. http://www.acrbgov.o[g. Citizens Review Board. "Citizens Review Board." City of Tampa, Florida. Accessed August 28, 2017. https://www.tampagov.net/city-clerk/citizens-review-board. City News Service. "Los Angeles County appoints Civilian Oversight Commissioners." City News Service. 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County of Los Angeles. Accessed August 28, 2017. htt so .//oig.lacount_c ov/. Seattle Community Police Commission. "Community Police Commission." City of Seattle. Accessed March 29, 2018. httos://www.seattle.gov/community police -commission. Seattle Office of Police Accountability. "Office of Police Accountability." City of Seattle. Accessed August 31, 2017. httl2://www.seattle.gov/ool2a#officeofl2rofessionalaccountabilityreviewboard. Police Accountability Task Force Report. Recommendations for Reform: Restoring Trust between the Chicago Police and the Communities They Serve. Chicago: Police Accountability Task Force, 2016. https://chicagopatf.org/wp-content/uploads/2016/04/PATF Final Report 4 13 16-1.pdf. Peel Regional Police Services Board. "Board Mandate." Regional Municipality of Peel. Accessed August 31, 2017. https://www.peelpoliceboard.ca/en/who-we-are/board-mandate.aspx. President's Task Force on 21 st Century Policing, 2015 Final Report of the President's Task Force on 21st Century Policing. Washington, DC: Office of Community Oriented Policing Services, 2015. https://ric-zai-inc.com/Publications/cotes-p3l 1-pub.pdf. Seattle City Council. "Office of Professional Accountability Review Board." City of Seattle. Accessed August 31, 2017. https://www.seattle.gov/council/issues/oparb. Sheehan, Tim. "New Police Oversight Board Gets Mixed Support, But Will go Forward in Fresno." The Fresno Bee. March 16, 2017. htto://www.fresnobee.com/news/local/articlel39040598.html. Sullivan, Dan. "Tampa's new police Civilian Review Board convenes without acrimony." Tampa Bay Times. February 6, 2016. htto://www,tampabay.com/news/publicsafety/tampas-new-police-citizens-review- boa rd-set-to-hol d-first-pu bl is-m eeti n g/2266488. Los Angeles County Sheriff's Civilian Oversight Commission. "Sheriff Civilian Oversight Commission." Los Angeles County. Accessed August 28, 2017. https://coc.lacounty gov. Stubbings, Richard. MCCA Round Table Discussion. Presentation made to Major Cities Chiefs Association Round Table, Washington, DC, June 15, 2017. Tulloch, Michael H. Report of the Independent Police Oversight Review. Toronto: Queens Printer for Ontario, 2017. https://www.attorneypenera1.jus.gov.on.ca/english/about/pubs/police oversight review/. Civilian Oversight of the Police in Major Cities 65A-45 Appendix A. Civilian Oversight Survey Civilian Oversight of Police 1. Do you have some type of civilian oversight or review in your agency? ❑ Yes ❑ No - If no go to questions 5-6 then 14. 2. What year was your civilian oversight body established? 3. Has there been changes in your model in the past three years? ❑ Yes ❑ No ❑ Proposals considered - not adopted. Comment 4. What most closely fits your model of civilian oversight? (NACOLE Model Definitions) ❑ Investigation -Focused Model — independent investigations of misconduct allegations ❑ Review -Focused Model — review the quality of completed internal affairs investigations ❑ Auditor/Monitor-Focused model — inspector general, audit processes, review complaint investigations ❑ Other (please specify) 5. Do you have a police commission or governing board that plays a role in appointing the chief? ❑ Yes ❑ No Comment 6. Does the police commission or board have policy oversight? ❑ Yes ❑ No Comment 7. Does your civilian oversight body have the authority to: Conduct Independent Investigations of Complaints ❑ ❑ Subpoena Witnesses ❑ ❑ Subpoena Records ❑ ❑ Impose Discipline ❑ ❑ Recommend Discipline ❑ ❑ Review Discipline ❑ ❑ Hear Citizen Appeals ❑ ❑ Hear Officer Appeals ❑ ❑ Civilian Oversight of the Police in Major Cities 65A-47 8. What type of external complaints does your oversight body have the authority to review? ❑ Excessive Force ❑ Use of Force ❑ Courtesy ❑ Profiling ❑ Improper Arrest ❑ Driving ❑ Other (please specify) 9. What type of internal complaints/misconduct does your oversight board have the authority to investigate? (Check all that apply) ❑ All ❑ None ❑ Use of Force ❑ Unbecoming conduct ❑ Driving ❑ Harassment ❑ Other (please specify) 65A-48 Appendix A- Civilian Oversight Survey 10. How many members are on your civilian oversight body? 11. What is the length of term for members of the oversight body? 12. What are the qualifications to serve as a member of the oversight body? 13. Our department is interested in participating in a round table discussion on civilian oversight. ❑ Yes ❑ No Comment 14. Contact Information Name Department Email Address Phone Number Civilian Oversight of the Police in Major Cities 65A-49 Appendix B. Round Table Participants Jason Case Commander, Minneapolis (Minnesota) Police Department Mindy Casto Lieutenant, Fresno (California) Police Department Kimberly Chisley-Missouri Assistant Chief, Washington (D.C.) Metropolitan Police Department Michael J. Cochrane Chief Inspector, Philadelphia Police Department Brian Corr President, National Association for Civilian Oversight of Law Enforcement Margo Frasier Sheriff (ret.), Travis County (Texas) Sheriff's Office, and Vice President, National Association for Civilian Oversight of Law Enforcement Patrick Gallagher Deputy Chief, Virginia Beach Police Department Stacie Gibbs Deputy Chief, Atlanta (Georgia) Police Department Terrence Gordon Inspector, Milwaukee (Wisconsin) Police Department Jason Johnson Deputy Commissioner, Baltimore (Maryland) Police Department Jim Jones Assistant Chief, Houston (Texas) Police Department Lamont Martin Captain, Baltimore (Maryland) County Police Department 65A-50 Chris McCord Deputy Chief, Peel (Ontario) Regional Police Service George Nichols, Jr. Deputy Chief, Prince George's County (Maryland) Police Department Eddie Rivero Assistant Sheriff, Los Angeles County Sheriffs Department Tom Roberts Assistant Sheriff, Las Vegas (Nevada) Metropolitan Police Department Edwin C. Roessler Jr. Chief, Fairfax County (Virginia) Police Department Ellen Scrivner Consultant, Major Cities Chiefs Association Adrian Steele Chair, Fairfax County Civilian Review Panel Darrel Stephens Executive Director, Major Cities Chiefs Association Richard Stubbings Assistant Deputy Chief, Toronto Police Service Mike Sullivan Deputy Chief, Louisville (Kentucky) Metropolitan Police Department Eric Ward Chief, Tampa (Florida) Police Department Patricia Williams Associate Director, Major Cities Chiefs Association Civilian Oversight of the Police in Major Cities 65A-51 Appendix C. Round Table Agenda 08:30 Welcome and Introductions Darrel Stephens- MCCA Executive Director 09:00 MCCA Civilian Oversight Survey of Major Cities Darrel Stephens 09:30 Investigation Focused Model -Atlanta, Seattle 10:00 Break 10:15 Review Focused Model -Las Vegas, Tampa 10:45 Auditor Monitor Focused Model - Los Angeles County, Wichita 11:15 Other Models - Louisville, Peel Region 11:45 Lunch 12:30 Discussion What are the primary objectives of civilian oversight? 1:15 What are the advantages and disadvantages for each model of civilian oversight? 2:30 Break 2:45 What are the key effectiveness measures of civilian oversight? 3:15 What are the research gaps in civilian oversight? 3:45 What do you think should be emphasized in the white paper? 65A-52 65A-53 About the Major Cities Chiefs Association The Major Cities Chiefs Association (MCCA) is a professional association of chief police executives representing the largest cities in the United States, Canada, and the United Kingdom. MCCA membership comprises chiefs and sheriffs of the 67 largest law enforcement agencies in the United States, 10 largest in Canada, and two in the United Kingdom. They serve 91.4 million people (70 million in the United States, 11.5 million in Canada, and 9.9 million in the United Kingdom) with a sworn workforce of 241,257 (162,425 in the United States, 21,939 in Canada, and 56,893 in the United Kingdom) officers and nonsworn personnel. The MCCA's strategic goals are • to guide national and international policy that affects public safety and major cities; • to develop current and future police executive leaders; • to promote innovation and evidenced -based practices in policing. To learn more, visit the MCCA online at https://www.majorcitieschiefs.com. 65A-54 About the COPS Office The Office of Community Oriented Policing Services (COPS Office) is the component of the US Department of Justice responsible for advancing the practice of community policing by the nation's state, local, territorial, and tribal law enforcement agencies through information and grant resources. Community policing begins with a commitment to building trust and mutual respect between police and communities. It supports public safety by encouraging all stakeholders to work together to address our nation's crime challenges. When police and communities collaborate, they more effectively address underlying issues, change negative behavioral patterns, and allocate resources. Rather than simply responding to crime, community policing focuses on preventing it through strategic problem -solving approaches based on collaboration. The COPS Office awards grants to hire community policing officers and support the development and testing of innovative policing strategies. COPS Office funding also provides training and technical assistance to community members and local government leaders, as well as all levels of law enforcement. Since 1994, the COPS Office has invested more than $14 billion to add community policing officers to the nation's streets, enhance crime fighting technology, support crime prevention initiatives, and provide training and technical assistance to help advance community policing. Other achievements include the following: • To date, the COPS Office has funded the hiring of approximately 130,000 additional officers by more than 13,000 of the nation's 18,000 law enforcement agencies in both small and large jurisdictions. • Nearly 700,000 law enforcement personnel, community members, and government leaders have been trained through COPS Office —funded training organizations. • To date, the COPS Office has distributed more than eight million topic -specific publications, training curricula, white papers, and resource CDs and flash drives. • The COPS Office also sponsors conferences, round tables, and other forums focused on issues critical to law enforcement. COPS Office information resources, covering a wide range of community policing topics such as school and campus safety, violent crime, and officer safety and wellness, can be downloaded via the COPS Office's home page, www.cops.usdoj.gov. This website is also the grant application portal, providing access to online application forms. 65A-55 65A-56 Since the 1950s, when civilian oversight was first implemented in some American police departments, its use has grown and a variety of new forms have developed. Established to improve community relations, enhance transparency and increase accountability, all of these programs have the ultimate goal of improving the quality of local policing and thereby increasing public safety. To develop a better understanding of oversight programs in their various forms, how they have evolved over time, and the challenges to implementing them, the Office of Community Oriented Policing Services (COPS Office) collaborated with the Major Cities Chiefs Association (MCCA) to conduct a survey of MCCA member agencies. This publication discusses the results of that survey and the outcome of the round table held to discuss it. In doing so, it provides an overview of civilian oversight in major city police agencies. rts 1 jy,r City Name of Oversight System Powers Number of Members Notes • Review police budgets, staffing levels, service delivery mechanisms, policies and practices and critical incidents (officer - involved shootings, in custody deaths, and use of force) Residents are appointed by Be City Manager Anaheim Public Safely Boats • Real-time monitoring of critical incidents and 9 using a lottery system drawn from four reviews administrative investgations neighborhood council areas within the city. • Reviews and reports on certain investigations and cases on quarterly basis • Issues public reports and statistics with recommendations on practices) procedures, traming, and a ui menl • Hears individual complaints Berkeley Police Review Commission • Makes policy recommendations to the City 9 Maragerand Chiefof Police Burbank Police Commission • Provides civilian oversightof department 7 • Advocates best law enforcement policies • Receives citizen complaints Calexico Police Advisory Board • Provides recommendations to department to 5 improve relations with community • Reviews and comments on department Claremont Police Commission policies 7 • Provides form to address complaints Inglewood Citizen Police Oversight Commission • Investigates citizen complaints 11 • Authority to receive, administer and Long Beach Citizen Police Complaint Commission investigate through an independent 11 investigator, allegations of police misconduct • Head of Police Department Los Angeles Boats of Police Commissioners • Sets overall policy 5 • Implements recommended reforms • Provides form for citizens to voice to voice their concerns about police conduct, practices and policies National City Community and Police Relations Commission • Receives and reviews complaints regarding B police personnel for alleged misconduct • Recommends appropriate changes to department prices and procedures • Provides for commuddy participation in Novato Police Advisory and Review Board department policies, procedures and 5 radices and reviews citizen complaints • Investigates, reviews, and recommends disposition of complaints including discipline Oakland Citizen Police Review Board • Provides report, to City Manager 9 3 alternate members • Recommends policy changes to Public Safety Committee Oceanside Police Commission • Acts as an advisory capacity to the City 2 1 alternate Council on policy matters • Investigates citizen complaints • Handles appeals from Professional Richmond Citizen's Police Review Commission Standards investigations 9 • Reviews and evaluates policies and Procedures • Independently reviews citizen complaint investigations, recommends changes to Riverside Community Police Review Commission departmental policy 9 • Conducts independent investigations of citizen complaints Sacramento Police Commission Provides recommendations to the Mayor and 10 City Council • Reviews and evaluates complaints • Refers complaints to the Grand Jury, District San Diego Community Review Board on Police Practices Attorney, or other governmental agency 23 • Submits semi-annual reports to the City Man afterantl City Council • Overcome Oversee the Police Department and the Office Of Citizen Complaints • Sets policy • Conducts disciplinary hearings on charges of police misconduct filed by the Chief of San Francisco Police Commission Police or Director of the Office of Citizen z Complaints Imposes tliscipline • Hears police officers' appeals from discipline imposed • Appoints and regulates Patrol Special Officers and may suspend ordismiss Patrol Special Officers after a hearing on charges filed 65A-58 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: APPROVE SERVICE AND FINANCIAL SUSTAINABILITY STUDY FINAL REPORT 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 /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Approve the plan titled "Parks, Recreation and Community Services Agency Service and Financial Sustainability Study." DISCUSSION On December 10, 2018, the Parks, Recreation and Community Services Agency (PRCSA) issued a Request for Proposals for qualified firms to conduct an evaluation and report on the condition of the Agency. The goal of the study is to articulate a road map for the Agency's future that will: • Evaluate and assess departmental processes, programming, potential alternatives, customer service, revenue generation, and long-term achievable goals. • Improve services and organizational effectiveness. • Identify outcomes and goals to guide the Agency. On March 19, 2019, the City Council approved an agreement with Greenplay, LLC to conduct a comprehensive evaluation and report on the condition of the PRCSA for an amount not to exceed $76,998, which included a ten percent contingency. On May 13, 2019, in an effort to continually improve and enhance services and overall organizational effectiveness, PRCSA staff and community members participated in a comprehensive and extensive process to address financial sustainability through the creation of a Resource Allocation and Cost Recovery Philosophy, Model, and Policy and a Service Assessment. This process, and its outcomes, will serve to guide PRCSA in evaluating service provision strategies to ensure they are running at optimal levels and the system is sustainable in the long run. All components of the process, including review and assessment of services, programs, and facilities, directly influenced recommendations for the development of tax investment allocations and cost recovery goals, informing future pricing strategies. The transformation process also included a market study and consideration of alternative providers, service provision strategies, 65B-1 Receive and Approve Service and Financial Sustainability Study Final Report September 15, 2020 Page 2 and programming methodologies. This report (Exhibit 1) documents the concepts, processes, and outcomes, and will serve as a staff training tool. Community Engagement A series of five community workshops were hosted by the PRCSA on July 8-9, 2019 at the Garfield Community Center and Southwest Senior Center, to gather feedback. Through this opportunity, 74 community members each contributed 1 and -a -half hours of their time to deliberate with fellow community members by participating in an activity and by sharing their perceptions regarding the balance of the community benefits and individual benefits received from programs and services provided by the PRCSA. This approach generated 111 hours of meaningful volunteer contribution and allowed participants to gain a better understanding of their fellow community members' views and community perspectives. Using feedback from the community allows staff to confidently set a program's cost -recovery goal relative to the amount of community benefit a category of service provides. Programs and services considered to have a high community benefit will have a lower cost recovery, while programs and services considered to have higher individual benefits will be recommended for higher cost recovery. Pyramid Methodology The Cost Recovery Pyramid Model is intended as a framework for a community and agency discussion and is very dependent on community values to determine what programs and services belong on each level of the pyramid. Cultural, regional, geographical, and resource differences, as well as challenges facing each community play a large role in this determination. The resulting pyramid is unique to each agency that applies the methodology. Descriptions regarding each level of the pyramid are provided in the main document; however, in the Executive Summary, Figure 1 represents steps involved in the application of the model and the resulting PRCSA Cost Recovery Pyramid Model is shown in Figure 2 (Exhibit 1). Recognizing residents may have financial challenges, the model includes the provision of assistance to those in need so as not to provide a barrier to participation. An umbrella policy statement sets the underlying principles of the Cost Recovery Philosophy and service pricing approach. Key elements include: • Basic level of service is "free" (supported by tax revenues) • Fees are a responsible and necessary supplement • Community benefit = use of tax dollars • Individual benefit = use of fees • The greater the individual benefit = lower rate of tax subsidy • The policy considers economic climate, alternative providers, and market rate • Fee reductions available for economic need Service Assessment Matrix The Public Sector Services Assessment is an intensive review of organizational services resulting in recommended provision strategies that can range from affirming or advancing market position, to enhancing service through investment, collaboration with others, and reducing or eliminating 65B-2 Receive and Approve Service and Financial Sustainability Study Final Report September 15, 2020 Page 3 service. Santa Ana Team Members were trained by Green Play to use the Public Sector Services Assessment tool, to understand each service's market segment and the strength or weakness of its position within that market, and to identify alternative providers, core services, and optimal provision strategies. This assessment looks at each service in relation to the vision and mission of the PRCSA; values of the community, market position, other service providers in the area, including quantity and quality of provider, and the economic viability of the service. Key Findings Santa Ana's PRCSA is extremely dedicated to the community and has made every effort to provide a variety of high -quality services aimed at improving the health and vitality of its residents. Staff efforts can be enhanced by addressing several key findings and needs that emerged during the study, as highlighted below. 1. A formal policy regarding pricing and cost recovery for services is needed. 2. Cost accounting at the activity level is challenging due to limitations in the department's current cost accounting structure. The use of program codes that align with programs to track expenses and labor should be implemented. Current cost recovery could not be calculated due to a lack of data on expenses at the program level. 3. A method of setting and changing fees using a meaningful methodology that aligns resource allocation and pricing with community values is needed. 4. To assist with decision -making, a comprehensive program review process is needed that considers the best use of resources and market conditions. 5. A greater understanding of the City's budget process and the Agency's revenue goals is needed. 6. A formal process to determine how programs and services align with the mission and values of the Agency and the overall benefit to the community, is needed. 7. A guiding policy for the use of donations, sponsorships, and partnerships is needed. Implementation Strategy for Plan Recommendations For implementation purposes, Agency staff will sort all of the recommended goals and objectives into two categories. Category 1 consists of strategies and recommendations that can be implemented within the purview of the City Manager's delegated authority. Category 2 includes strategy recommendations that require City Council policy changes and/or other approval prior to implementation. Through the action of receiving and approving the plan, and a strategy for implementing the plan recommendations, the City Council would be accepting the use of the tools, methods, and strategies PRCSA requires to sustain itself for the long-term, especially important during and after the current health pandemic because there will be a shortage of tax revenue. FISCAL IMPACT There is no direct fiscal impact associated with this report. L• Receive and Approve Service and Financial Sustainability Study Final Report September 15, 2020 Page 4 Submitted By: Lisa Rudloff, Executive Director— Parks, Recreation, and Community Services Agency Exhibit 1: Services and Financial Sustainability Study Final Report L. ryy t 70" � f �y u IF 0R A s ACKNOWLEDGEMENTS City Council Mayor Miguel Pulido Ward 1, Vicente Sormiento Ward 2, David Penalozo Ward 3, Jose Solaria Ward 4, Phil Bacerra Ward 5, Juan Villegas, Mayor Pro Tem Ward 6, Nelida Mendoza Board of Recreation and Parks Ofelia Velarde Garcia Humberto Sanchez Angie Gomez Luis Aleman Cory Nelson Sergio Escobar Irma Macias Felipe Guerrero Kristine Ridge, City Manager Parks, Recreation, and Community Services Staff Lisa Rudloff, Executive Director Jeannie Jurado, Manager Ethan Fisher, Manager Ron Ono, Manager Frank Arroyo, Senior Management Analyst Sonia Batres, Supervisor Rudy Hernandez, Supervisor Juan Lora, Supervisor Enrique Marbon, Supervisor Erendira Moreno, Supervisor Anthony Novella, Supervisor William Sandoval, Supervisor Consultant Team GreenPlay, LLC For more information about this document, contact GreenPlay, LLC At: 1021 E. South Boulder Road, Suite N, Louisville, Colorado 80027, Telephone: 303-439-8369 Email: info Ca%areenolayl1c.com www.areenolovllc.com ' 65B-7 TABLE OF CONTENTS EXECUTIVE SUMMARY......................................................... The Urgency for Santa Ana ......................................................... What the Project Entailed.......................................................... The Power of Engagement......................................................... How the Pyramid Model Works ................................................. How the Services Assessment Methodology was Applied ......... What was Learned: Key Findings ................................................ Recommendations...................................................................... Services and Financial Strategies for Sustainability .................... I. THE STUDY CONTEXT......................................................................................................................17 Introduction..............................................................................................................................................17 What the PRCSA Provides to the Community..........................................................................................18 Purposeof this Project.............................................................................................................................18 ProjectApproach......................................................................................................................................18 CommunityEngagement..........................................................................................................................19 Resource Allocation and Cost Recovery Philosophy, Model, and Policy...................................................19 Cost Recovery in Public Parks and Recreation..........................................................................................21 II. THE COST RECOVERY PYRAMID METHODOLOGY..... MAI III. ESTABLISHING FEES AND CHARGES.........................................................................................29 PricingStrategy.........................................................................................................................................29 Comparative Analysis Criteria...................................................................................................................30 IV. THE SERVICES ASSESSMENT METHODOLOGY.......................................................................31 The Public Sector Services Assessment Matrix........................................................................................31 The Services Assessment Process.............................................................................................................32 Identifying Core Services and Provision Strategies...................................................................................32 V. KEY FINDINGS..................................................................................................................................35 CostRecovery...........................................................................................................................................35 Feesfor Service........................................................................................................................................35 Donations, Sponsorship, and Partnership Policies...................................................................................36 VI. RECOMMENDATIONS...................................................................................................................37 Recommended Cost Recovery Policy Statement.....................................................................................37 Services and Financial Strategies..............................................................................................................38 APPENDIX A: PRCSA CATEGORIES OF SERVICE....................................................................................45 APPENDIX B: DEVELOPING A PRICING STRATEGY................................................................................49 APPENDIX C: CRITERIA FOR ESTABLISHING FEES.................................................................................53 APPENDIX D: COMPARATIVE ANALYSIS CRITERIA................................................................................55 APPENDIX E: SANTA ANA SERVICE PORTFOLIO MATRIX.....................................................................57 4 G 65B-8 TABLE OF FIGURES Figure 1: Pyramid Model Application........................................................ Figure 2: PRCSA Cost Recovery Pyramid Model ........................................ Figure3: Key Findings................................................................................ Figure 4: Focus Areas for Recommendations ............................................ Fi ure 5• A Sustainable S stem .............................................. 9 gy............................................................................. Figure 6: Green Play Pyramid Methodology.......................................................... Figure 7: Services Assessment Matrix.................................................................. TABLE OF TABLES Table 1: Definitions of Cost and Fees......................................................................................................... 29 Table 2: Categories of Service.................................................................................................................... 45 om THIS PAGE IS INTENTIONALLY LEFT BLANK ��-65B-10 EXECUTIVE SUMMARY As a publicly financed park and recreation system, the City of Santa Ana Parks, Recreation, and Community Services Agency (PRCSA or Agency) provides a basic level of services (such as social services) for the benefit of the community in exchange for tax dollars. Fees and charges and other methods to recover costs are considered a responsible and necessary means to supplement tax revenue to meet community demand; however, not at the expense of some of its most critical programs for the most at - risk populations. Cost recovery is not a philosophy; it is a strategy in the much larger context of securing and allocating resources that allows Santa Ana to maximize services. In an effort to continually improve and enhance services and overall organizational effectiveness, PRCSA staff and community members participated in a comprehensive and extensive process to address financial sustainability through the creation of a Resource Allocation and Cost Recovery Philosophy, Model, Policy, and a Services Assessment. This process and its outcomes will serve to guide PRCSA in evaluating service provision strategies to ensure they are running at optimal levels, and the system is sustainable in the long run. All of the components of the process, through a review and assessment of services, programs, and facilities, directly influenced recommendations for the development of tax investment allocation and cost recovery goals that inform future pricing strategies. The transforming process also included a market study, a consideration of alternative providers, service provision strategies, and programming methodologies. This report documents the concepts, process, and outcomes and will serve as a staff training tool as new staff come on board. THE URGENCY FOR SANTA ANA Santa Ana is a high -density community that relies heavily on city services and facilities. The parks system is heavily used, which reduces the useful life of facilities and increases the cost of maintenance. The recreation programs are in high demand, which require staffing and contracted services to adequately deliver and manage programs. Various services have a fee associated that covers the cost of the service; however, in most cases, the services are subsidized or free. The Agency in general requires a process by which it can sustain itself for the long-term, especially important during, and after, the current health pandemic as there will be a shortage of tax revenue. With the scarcity of resources, the PRCSA needs to review existing processes and services to determine its future and how best to proceed. The PRCSA has a commitment to its core services that includes a robust system of parks and recreation centers. It must support these core facilities while maximizing revenues to offset the cost of services that take place within them and other sites. This process seeks to implement a practice that will result in organizational sustainability through a logical resource allocation model and pricing strategies. Opt.'; 6513-11 r-'= WHAT THE PROJECT ENTAILED Team Members attended an initial orientation and training workshop in May 2019. This was followed by additional workshops with intensive staff work that was guided by the consultant team preceding and following each successive workshop. Team Members worked throughout to understand, gather and interpret data, discover shortcomings and opportunities, engage with the public, sort services to represent community values, and strategize appropriate and fitting policy and procedures. The final step concluded with the development of recommendations. In order to develop recommendations, staff identified key issues by reviewing existing policy, guidelines, and practices, becoming familiar with the Pyramid Methodology, and examining current resource allocation and cost recovery practices. Staff defined categories of programs and services, participated in sorting workshops to place categories of services on appropriate pyramid tiers, hosted community workshops, and discussed the challenges with identifying measurable costs associated with providing programs and services. In addition, they completed a Services Portfolio using a Services Assessment Matrix which was used to perform a market analysis. This allowed staff to answer a series of questions used to determine the most advantageous ways of delivering each of the services offered. THE POWER OF ENGAGEMENT A series of five community workshops was hosted by the PRCSA on July 8 and 9, 2019, at the Garfield Community Center and Southwest Senior Center to gather feedback. Through this opportunity, seventy- four community members each contributed one and one-half hours of their time to deliberate with fellow citizens by participating in an activity where they shared their perceptions regarding the balance of the community and individual benefits received from programs and services provided by the PRCSA. This approach generated 111 hours of meaningful volunteer contribution, and in the end, allowed participants to gain a better understanding of their fellow citizen's views and community perspectives. Using feedback from the community allows staff to confidently set a program's cost recovery goal relative to the amount of community benefit a category of service provides. Programs and services considered to have a high community benefit will have a lower cost recovery, while programs and services considered to have higher individual benefits will be recommended for higher cost recovery. HOW THE PYRAMID MODEL WORKS The Cost Recovery Pyramid Model is intended as a framework for community and agency discussion. It is very dependent on community values to determine what programs and services belong on each level of the pyramid. Cultural, regional, geographical, and resource differences, as well as challenges facing each community, play a large role in this determination. The resulting pyramid is unique to each agency that applies the methodology. Descriptions regarding each level of the pyramid are provided in the main document; however, Figure 1 represents steps involved in the application of the model. The resulting PRCSA Cost Recovery Pyramid Model is shown in Figure 1. The model promotes a pricing approach based on establishing fees commensurate with the benefit received by the individual or individual group partaking of any activity or facility. Recognizing residents may have financial challenges, the model includes the provision of assistance for those in need so as not to provide a barrier to participation. 8 65B-12 Figure 1: Pyramid Model Application Building on your agency's vision, mission, and community priorities Understanding benefit filters Developing an agency's Categories of Service Sorting the Categories of Service onto the Pyramid Defining Direct and Indirect Costs Determining current subsidy/cost recovery levels Establishing subsidy/cost recovery goals Understanding and preparing for influential factors Implementation Evaluation 65B-13 9 THIS PAGE IS INTENTIONALLY LEFT BLANK 10- 65B-14 | §0 ( % \ _ Al « !{! f!| !% |)_}\] C14 , 65B.15 65B-16 HOW THE SERVICES ASSESSMENT METHODOLOGY WAS APPLIED The Public Sector Services Assessment, adapted from the MacMillan Matrix for Competitive Analysis of Programs', is an intensive review of organizational services resulting in recommended provision strategies that range from affirming or advancing market position, to enhancing service through investment, collaboration with others, and reducing or eliminating service. Santa Ana Team Members were trained by Green Play to use the Public Sector Services Assessment tool; to understand each service's market segment and strength or weakness of its position within that market; and to identify alternative providers, core services, and optimal provision strategies. This assessment looks at each service in relation to the vision and mission of the PRCSA; values of the community, market position; other service providers in the area, including quantity and quality of provider; and the economic viability of the service. WHAT WAS LEARNED: KEY FINDINGS The PRCSA staff are extremely dedicated to the Santa Ana community and have made an admirable effort to provide a variety of high -quality services aimed at improving the health and vitality of residents. Staff efforts can be enhanced by addressing several key findings that emerged during the study, as highlighted in Figure 3. Figure 3: Key Findings 1 Alliance for Nonprofit Management �3 65B-17 r-'= RECOMMENDATIONS The primary purpose of this undertaking has been to create a justifiable, fair, and equitable process for allocating and generating the Agency's resources. Established subsidy and cost recovery levels will guide if and when fees are employed, as well as the annual adjustment of fees and charges to sustain PRCSA for the long-term. A foundational piece of implementing the methodology is a Cost Recovery Policy Statement for consideration by City Council. The statement captures and articulates the underlying resource allocation and cost recovery philosophy to be used to apply fees and charges when desired or necessary. It does not dictate the amount of any fee. This statement is supported by the subsequent recommended detailed operational and financial strategies. It is anticipated that this policy statement be adopted by the City. Recommended Cost Recovery Policy Statement As a publicly financed park system, the PRCSA provides a basic level of service free to the public in exchange for tax dollars. However, fees and charges and other methods to recover costs are considered a responsible and necessary means to supplement tax revenue and regulate park use where appropriate. In establishing fees and charges, the Agency will determine the direct costs of providing services and establish goals to recover those costs. The appropriate level of cost recovery will be based on an assessment of who is benefiting from the service provided. If the benefit is to the community as a whole, it is appropriate to use taxpayer dollars to completely, or primarily, fund the service. Examples of services that primarily provide community benefits are hiking and biking trails, play areas, parks, and large natural areas. As the benefit is increasingly to an individual or select group of individuals, it is appropriate to charge fees for the service at an increasing rate of cost recovery. Supervised or instructed programs, facilities, and equipment visitors can exclusively use, and products and services that may be purchased, provide examples where user fees are appropriate. The PRCSA shall also consider available resources, public need, public acceptance, and the community economic climate when establishing fees and charges. In cases where certain programs and facilities are highly specialized by activity and design, and appeal to a select user group, the Agency shall additionally consider fees charged by alternative service providers or market rates. Fees and charges can be set to recover costs in excess of direct and indirect costs, where appropriate, as a method of subsidizing other services. The Agency may subsidize the cost recovery objective of services for persons with economic need or other targeted populations, as determined by policy of the City Council, through tax -supported fee reductions, scholarships, grants, or other methods. The City Council may also approve exceptional fees or fee waivers upon determination the fee arrangements will benefit the public interest. 14 65B-18 SERVICES AND FINANCIAL STRATEGIES FOR SUSTAINABILITY In order to fully implement the Services Assessment and Cost Recovery Model, strategies are supported by specific recommendations detailed in the body of the main report. As these recommendations were based on the first round of assessment, and this effort continues to be a work in progress, some recommendations will need to be reconsidered as reliable data becomes available. Detailed recommendations are provided to address the focus areas shown in Figure 4. Figure 4: Focus Areas for Recommendations Opt.'; 15 65B-19 r-'= THIS PAGE IS INTENTIONALLY LEFT BLANK 65B-20 I. THE STUDY CONTEXT INTRODUCTION In an effort to continually improve and enhance services and overall organizational effectiveness, PRCSA participated in an extensive process to address financial sustainability through the creation of a Resource Allocation and Cost Recovery Philosophy, Model, Policy and Services Assessment. This process and its outcomes will guide PRCSA in evaluating its service provision strategy to ensure it is running at its optimal level, and the system is sustainable in the long run. This study looks at how the community's tax investment is used to support the programs and services of the PRCSA. This is represented by a subsidy level and ultimately measured by taking the tax investment and dividing it by the cost of providing a service. It is expressed as a subsidy level percentage. What is not covered by the tax investment is often referred to as cost recovery. The measure of cost recovery is a simple equation: Revenue generated divided by the cost of providing a service, represented as a percentage. This measurement is complementary to the measurement of subsidy level. Cost Recovery is a complex subject. Essentially, it represents a decision to generate revenues by charging fees, or other types of revenue, for some, or all, programs and services relative to the total operational costs to provide them. It can be controversial if not understood. Cost recovery does not imply that the target is total recovery of the cost; however, a target is established according to a variety of considerations and may range from zero percent to more than 100 percent of what has been determined to be the primary cost of providing a service. How tax subsidy and other financial resources are allocated in public park and recreation systems is a complex subject. Cost of Service is an identification and calculation of what is required financially to produce or operate a service. Looking at how those services are funded provides the opportunity to meet the needs and desires of the community by supplementing the tax subsidy with other financial resources, which may include fees, sponsorships and donations, and/or pursuing cost saving measures including partnerships, collaborations, and efficiencies. Undertaking this study does not imply that the target is a reduction in the use of tax subsidy; however, a target is established according to a variety of considerations and may range from 100 percent tax subsidy (0% cost recovery) to zero percent tax subsidy (100% or more cost recovery) to support a particular type of service. Establishing a well -crafted philosophy for subsidy and resource allocation is the foundation for developing strong, sustainable financial management strategies. A solid philosophy will allow staff to: • Recognize where subsidy is being applied, and determine if it is at an appropriate level; • Justify a pricing structure, including fees for existing and new services; and • Evaluate service delivery mechanisms; all to maximize services to the public while assuring equity in service delivery. The process required aligning with the City's and the Agency's mission, vision, and community priorities. It included a review and assessment of services, programs, and facilities (services); categorization of agency services based upon the level of community versus individual benefit; discussion of direct and indirect costs; and an evaluation of current pricing methods. All of the components of the process directly influence current cost recovery and tax investment allocation levels, the establishment of future cost recovery and tax investment allocation goals, and future pricing strategies and methods. The transforming process also included an analysis of core services, a market study, and consideration of g 1' 65B-21 r-'= alternative providers, service provision strategies, and programming methodologies. It has been our pleasure to assist the City and work with the Parks and Recreation Department to evolve its sustainability efforts. WHAT THE PRCSA PROVIDES TO THE COMMUNITY PRCSA is responsible for delivering a variety of services to the community, which includes recreation programs, parks, libraries, and operations of the Santa Ana Zoo. The core services provided by the agency are essential in making lives and communities better now and in the future by providing access to nature, outdoor space to play and exercise, facilities for self -directed and organized recreation, positive alternatives for youth, and activities that encourage social connections, human development, and lifelong learning. The PRCSA Recreation and Community Services Division provides over 700 recreation programs annually serving nearly 40,000 youth through summer camps, 18,000 individuals through recreation classes and 1,000 seniors through active adult programs. The Division also manages the Nature Center, two Senior Centers and eight Community Recreation Centers. Recreation and Community Services Division Statement Purpose: To deliver a wide -range of quality, community -responsive programmed and self-disciplined recreational and social experiences in safe, clean, and well -maintained public spaces As evidenced above, the PRSCA is a large and complex operation, and Team Members take their responsibilities very seriously. The tremendous effort undertaken by Team Members to adopt and incorporate the use the Cost Recovery and Services Assessment business tools will further support the Agency's quest for excellence. PURPOSE OF THIS PROJECT Through this project, Green Play is assisting PRCSA in analyzing and refining its current revenue generation strategies using best practice tools, through the implementation of a more evolved pricing model (Pyramid Methodology) and Services Assessment process designed to support the Agency's values, vision, and mission. This tool brings definition, clarity, and consistency in application to the process. The model allows for a more sophisticated approach that addresses many of the issues regarding use of tax resources, costing, and setting targets for cost recovery, which were not evident in the organization prior to the project. The comprehensive effort and approach to providing services is undertaken to introduce and implement strong "best practice' business tools to the PRCSA. Parks and recreation services are varied and make up a lot of smaller "businesses," each having their unique place in the market and appeal to the population in a myriad ways. The overall goal of the plan is to initiate and sustain practices and examine policy and rules that affect overall desired outcomes of a healthy and vibrant community. PROJECT APPROACH A Project Team comprised of Team Members from PRCSA was established to review practices and existing policy, to become familiar with the Pyramid Methodology, to work with the public to understand its values, and to recommend the best cost recovery practices for the Agency. Staff defined categories 18 Q 65B-22 of programs and services, and participated in sorting workshops to place categories of services on appropriate pyramid tiers. In addition, Team Members responsible for program and service delivery completed a Services Assessment Matrix which was used to perform a market analysis and ultimately answer a series of questions used to determine appropriate service provision strategies. In May 2019, Team Members attended the initial Orientation and Training Workshop. The project was accomplished through a Workshop Series, each preceded and followed with intensive work to understand, gather data, discover, engage with the public, sort, and strategize. The process concluded with the development of recommendations. COMMUNITY ENGAGEMENT PRCSA hosted a series of five workshops on July 8 and 9, 2019 at the Garfield Community Center and Southwest Senior Center to gather feedback. Seventy-four community members dedicated one and one-half hours of their time to participate in an activity and discussions about balancing the community benefits and individual benefits of programs and services provided by the PRCSA. This approach, contributing 111 hours of meaningful volunteer deliberation, allowed staff to understand which programs and services the public considers to have mostly community benefits, which ones have mostly individual benefits, and which ones have a balance of benefits in between. In the end, participants gained a better understanding of their fellow citizen's views and community perspectives. By using feedback from the community to look at programs and services in this way, staff can set a program's cost -recovery goal relative to the amount of community benefit a category of service provides. Programs and services considered to have a high community benefit will have a lower cost recovery; while programs and services considered to have higher individual benefits will be recommended for a higher cost recovery. RESOURCE ALLOCATION AND COST RECOVERY PHILOSOPHY, MODEL, AND POLICY Having a Resource Allocation and Cost Recovery Philosophy, Model, and Policy will assist in answering challenging questions from City leadership and from citizens such as: • Are our programs priced fairly and equitably? • How will we continue to fund PRCSA facilities and services in relationship to future budget constraints? • Are we using funding in a responsible manner? • Is there a methodology for the distribution of the tax investment? If so, are we transparent? • Does the way we charge for services support Agency values, vision, and mission? DEFINING RESOURCE ALLOCATION AND COST RECOVERY Resource allocation is how limited tax dollars and alternative sources of funding are utilized. Cost recovery is the amount of the annual operating budget cost that can be offset by funding other than General Fund taxpayer investment (whether derived from property, sales, or other sources). Opt.'; 19 65B-23 r-'= Although fee adjustments are possible, the goal is not to simply generate new revenues through fees, but to ensure a sustainable system into the future by using tax revenues and fees in the most appropriate ways, supplemented where possible by grants, donations, partnerships, and other sources of alternative revenues. Paying taxes supports "core services," whereas fees and charges account for activities and services benefiting individuals. Cost saving strategies are also considered. The new practices will allow the agency to allocate its resources wisely and provide valuable information for decision making and setting priorities for improvements and changes to the system. CORE SERVICES Core services satisfy an agency's values and vision, typically benefiting all community members, or are seen as essential to the lives of under -served populations. It is not necessary that an individual participate in a specific recreational or cultural activity, or even step into a park setting to receive benefit. Having a nice park and trail system with trees, open space, and recreational amenities available in the community adds to home values and a quality living environment and provides opportunity for partaking in activity, as well as contributes to clean air and relief from urban density. To achieve these and other outcomes, an agency invests its tax dollars in these core services. Ie11491y/eU01F-A.1g�i611ALTA "sustainability" is a very popular and perhaps overused Figure 5: A Sustainable System word. Often, the users have in mind only one of the three basic elements of sustainability- Financial and Economic, Environmental, and Social and Recreational - making it challenging to come to any kind of consensus when others may be focusing on one of the other elements. In order to manage the system of parks and recreation, all the elements of sustainability must be balanced. The financial resources must be adequate to maintain the system into the future; the environment that we love so dearly cannot be "loved to death;" and the people must be allowed appropriate use of the system to properly connect to and understand the value represented, creating stewardship while also promoting the other benefits of physical activity and mental/emotional engagement. When all three are attended to, a dynamic, yet sustainable, system is possible. SUPPLEMENTING TAXES WITH FEES Parks and recreation services provide value to the community as a whole in terms of economic, environmental, and social benefits. Tax dollars support these "core services." Beyond those benefits realized by all residents, the agency is also able to provide specific activities and services benefiting individuals. There are not adequate tax dollars to completely support this level of activity, and it is appropriate and common to charge at least minimally for these services. For example, if an individual participates in a youth athletic league or a senior program, there are certain levels of skill building, social engagement, or entertainment that accrue to that person, while it can still be argued that there is a benefit to the community as a whole through the social capital and health gained by keeping active and in touch. This warrants covering at least a portion of the cost of a program or activity through an individual fee. Other opportunities, such as the rental of a space for a private party, would warrant a fee to cover the entire cost of providing that space. 20 LL. 65B-24 DOES "COST RECOVERY" MEAN COVERING ALL COSTS THROUGH FEES? No. In most cases where fees are appropriate, the cost recovery target will be set to recover a portion, or all, of the "direct" cost. In some cases, where the individual benefit is very high, the cost recovery target will be set to cover more than 100 percent of the direct cost. The fee will also recover some or all of the indirect cost of providing the program or services, as these are still very real costs that are caused by the program or activity. Cost recovery can also be accomplished through other forms of revenue such as grants, donations, sponsorships, etc. COST RECOVERY IN PUBLIC PARKS AND RECREATION Communities across the country vary in terms of how they allocate direct and indirect costs; qualifiers such as availability of resources, size, scope of services, community demand, and ability to pay have an impact. Therefore, different agencies must maintain cost recovery and tax investment levels appropriately based upon their own community's characteristics, values, and available funding. The Resource Allocation and Cost Recovery Philosophy, Model, and Policy provides a rational, thoughtful approach to allocating resources and setting fees for programs and services with the outcome of beginning to bring the PRCSA closer to what is occurring in the industry. COMPARING FEES WITH OTHER MUNICIPALITIES The process did not include comparing against other municipalities. Comparing against other municipalities is like comparing apples to oranges because each community has its own mission and values, and places a different emphasis on aspects of its service provisions, such as youth, senior citizens, protecting land, and tourism, and may also have different requirements or desires for how tax dollars are used. This comprehensive effort and approach to providing parks and recreation services is to introduce and implement strong "best practice" business tools. The overall goal of this plan is to initiate and sustain practices and examine policy and rules that affect overall desired outcomes of a healthy and vibrant community. The process is much more than determining fees and charges, it is providing a customized, yet tested operating tool that will change the way PRCSA carries out its business. This is a way of leveraging the current and potential financial and other resources of the Agency addressing both present and future circumstances. It not only considers financial resources, but encourages collaborative efforts, cost containment and avoidance, and service provision strategies, to best leverage all resources. The Cost Recovery Model provides a framework for discussion with the community and guidance for determining which facilities and services should be fee based, and will help ensure that services are priced at a level commensurate with the City Council's objective for cost recovery. The adoption of the model will help the PRCSA meet established goals for future cost recovery levels and budgeting. WHERE IS PRCSA TRYING TO GO? The PRCSA desires to develop a long-term strategy, structure, and system to provide for its fiscal health and sustainability and that is responsive to the community and economic conditions. This includes: • A philosophy for how to determine and implement fees. • A fair and equitable Cost Recovery Model based on the Recreation and Community Services Statement of Purpose. • A mechanism and consistent language for communicating how taxpayer funding is used. • A lessening of the Agency's dependence on tax funds by approaching, or even exceeding, cost recovery goals as determined through the process. Opt.'; 21 65B-25 r-'= THIS PAGE IS INTENTIONALLY LEFT BLANK 65B-26 II. THE COST RECOVERY PYRAMID METHODOLOGY The Green Play Pyramid Methodology used in development of the Cost Recovery Model is built on a foundation of understanding who is benefiting from park and recreation services to determine how the costs for service should be paid. The Cost Recovery Pyramid Model illustrates a pricing philosophy based on establishing fees commensurate with the benefit received. Descriptions regarding each level of the pyramid are provided; however, the model is intended as a discussion point and is very dependent on agency philosophies to determine what programs and services belong on each level. Cultural, regional, geographical, and resource differences play a large role in this determination. The resulting pyramid is unique to each agency who applies this methodology. Application of the pyramid methodology begins with the purpose of the organization, but must also address other considerations: • Who benefits from the service, the community in general or only the individual or group receiving the service? • Does the individual or group receiving the service generate the need, and therefore, the cost of providing the service? An example of this type of service is a permitted activity in a park requiring police presence above and beyond the norm. • Will imposing the full cost fee pose a hardship on specific users? • The ability to pay is different than the benefit and value of a program, activity, or service, and therefore, should be dealt with during the implementation phase of pricing and marketing. • Do community values support taxpayer investment for the cost of service for individuals with special needs (for example, people with disabilities or low-income)? • Will the level of the fee affect the demand for the service? • Is it possible and desirable to manage demand for a service by changing the level of the fee? • Are there competing providers of the service in the public or private sector? The application of the model is broken down into the following steps: Step 6 , Steps Deme^mining Step6 defining 0ired subsidy/cost antl lntlireR remverykvels 5[cV9 Sorting [he Casts Categories of Step Developing an Service onto egenry's fie Pyramid Stepl Understanding Categories of benefitfiiters Service euildmg on your a¢enNs and community priorities 65B-27 &ppah� Step) Establishing for influential subsidy/cast factors reooverygpak step 30 srepg E.amamn Implementetion STEP 1: BUILDING ON YOUR ORGANIZATION'S VALUES, VISION, AND MISSION Critical to this philosophical undertaking is the support and buy -in of elected officials and advisory board members, staff, and ultimately, citizens. Whether or not significant changes are called for, the organization should be certain that it philosophically aligns with its constituents. The development of a financial resource allocation philosophy and policy is built upon a very logical foundation, based upon the theory that those who benefit from Parks, Recreation, and Senior Services ultimately pay for services. Envision a pyramid sectioned horizontally into five levels. A brief description of the process follows. Figure 6: GreenPlay Pyramid Methodology GREENPLAK« Considerableidl Individual Benefit The Pyramid Methodology Individual/Community Benefit (Balanced Beneficiaries) Considerable Community Benefit Mostly Community 1._0'. 2AT. 2-W 20" G—n1lln}.LLG STEP 2: UNDERSTANDING THE PYRAMID METHODOLOGY, BENEFITS FILTER, AND SECONDARY FILTERS The creation of a subsidy and resource allocation philosophy and policy is a key component to maintaining an agency's financial control, equitably pricing offerings, and helping to identify core services including programs and facilities. The principal foundation of the Pyramid is the Benefits Filter. Conceptually, the base level of the pyramid represents the core services of a public Parks, Recreation, and Seniors system. Services appropriate to higher levels of the pyramid should only be offered when the preceding levels below are comprehensive enough to provide a foundation for the next level. The foundation and upward progression are intended to represent the Parks, Recreation, and Senior Services core mission while also reflecting the growth and maturity of an organization as it enhances its service offerings. Each level of the Pyramid from the bottom to the top is described below. MOSTLY COMMUNITY BENEFIT The foundational level of the Pyramid is the largest, and it encompasses those services including programs and facilities that MOSTLY benefit the Mostly Community Benefit COMMUNITY as a whole. These services may Z,l increase property values, provide safety, address social needs, and enhance quality of life for residents. The community generally pays for these basic services via tax support. These services are generally offered to residents at a minimal charge or no fee. A large percentage of the agency's tax support would fund this level of the Pyramid. 24 Q 65B-28 Examples of these services could include: the existence of the community Parks, Recreation and Senior Services system, the ability to visit facilities on an informal basis, park and facility planning and design, park maintenance, or others. NOTE: All examples given are generic — individual agencies vary in their determination of which services belong in the foundation level of the Pyramid based upon agency values, vision, mission, demographics, goals, etc. CONSIDERABLE COMMUNITY BENEFIT The second level of the Pyramid represents services that promote individual physical and mental well- being, and may begin to provide skill development. \ They are generally traditionally expected services Considerable and/or beginner instructional levels. These services 2 Community Benefit are typically assigned fees based upon a specified percentage of direct (and may also include indirect) costs. These costs are partially offset by both a tax investment to account for CONSIDERABLE COMMUNITY benefit and participant fees to account for the Individual benefit received from the service. Examples of these services could include: staff facility and park use, volunteer programs and services, public outreach programs, etc. BALANCED INDIVIDUAL/COMMUNITY BENEFIT The third level of the Pyramid represents services promoting individual physical and mental well-being, and provides an intermediate level of skill development. The level provides balanced INDIVIDUAL and COMMUNITY benefit and should be priced accordingly. The individual fee is set to recover a higher percentage of cost than those services falling within lower Pyramid levels. Individual/Comm Benefit 3 (Balanced Benefic Examples of these services could include: beginning level instructional programs and classes, teen programs, senior programs, memberships, etc. CONSIDERABLE INDIVIDUAL BENEFIT The fourth level of the Pyramid represents specialized services generally for specific groups, and those that may have a competitive focus. Services in this level are not highly Considerable subsidized and may be priced to recover full cost, including all Individual direct expenses. 4 Benefit Examples of these services could include: camps, advanced level classes, competitive leagues, etc. Opt.'; 2� 65B-29 r-'= MOSTLY INDIVIDUAL BENEFIT At the top of the Pyramid, the fifth level represents services that have potential to generate revenues above costs, may be in the same market Mostly space as the private sector, or may fall outside the core mission of the Individual agency. In this level, services should not be supported by subsidy, should Benefit be priced to recover full cost, and may generate revenue in excess of cost. Examples of these activities could include: Private lessons, company picnic rentals, other facility rentals for weddings or other services, concessions and merchandise for resale, etc. STEP 3: DEVELOPING THE ORGANIZATION'S CATEGORIES OF SERVICE Considering sheer volume, in order to avoid trying to determine the proper cost recovery for every facility, program, and service offered by the PRCSA, it was advantageous to "narrow down" facilities, programs, and services and place them in categories (groups of like or similar service) best fitting their descriptions. PRCSA's Categories of service can be found in Appendix A. During the first Cost Recovery workshop, the Project Team established category names and definitions reflecting the facilities, programs, and services currently offered, or likely to be offered in the future. Twenty-five (25) categories were identified. The charge to both Team Members and the public was to sort these categories onto appropriate levels of the pyramid model based on who they benefited (the benefit filter). Those categories ranged from mostly benefiting the Community as a Whole, to programs and services serving mostly an Individual benefit. There was also discussion of consideration of additional filters (discussed in Step 8 below), which often hold a secondary significance in determining placement on the Cost Recovery Pyramid. STEP 4: SORTING THE CATEGORIES OF SERVICE ONTO THE PYRAMID This step is critical to be completed with staff, governing bodies, and citizens in mind. The sorting process is where ownership is created for the philosophy, while participants discover the current and possibly varied operating histories, cultures, missions, and values of the organization. The process develops consensus and allows everyone to land on the same page — the page you write together. The effort must reflect the community and must align the thinking of policy makers. PRCSA brought together Team Members from across the agency as well as members of the public to sort existing categories into each level of the pyramid. The sorting process was a challenging step, and it was led by objective and impartial facilitators in order to hear all viewpoints. The process generated discussion and debate as participants discovered what others had to say about serving culturally and economically different parts of the community, about historic versus recreational parks, about adults versus youth versus seniors, about weddings and interpretive programs, etc. It was important to push through the "what" to the "why" to find common ground. The process enabled Team Members to lister and discover an appropriate philosophy for Santa Ana. The PRCSA Cost Recovery Pyramid Model (shown it Figure 1) shows how the categories of services were sorted onto the pyramid with input from the community. 26 65B-30 STEP 5: DEFINING COSTS The definition of direct and indirect costs can vary from agency to agency. The most important aspect to understand is all costs associated with directly running a program or providing a service are identified and consistently applied across the system. Direct costs typically include the specific, identifiable expenses (fixed and variable) associated with providing a service. These expenses would not exist without the service and may be variable costs. Defining direct costs, along with examples and relative formulas is necessary during this step. Indirect costs typically encompass remaining overhead (fixed and variable) including the administrative costs of the agency, not identified as Direct Costs. These costs would exist in the absence of any one specific service. STEP 6: DETERMINING (OR CONFIRMING) CURRENT TAX INVESTMENT/COST RECOVERY LEVELS This step establishes the expectation the agency will confirm or determine current cost recovery and subsidy allocation levels by service area based on the new or revised definition of direct and in -direct costs. Consideration of revenue sources and services costs or expenses is included in this step. Typically, the organization may not be cost accounting consistently, and these inconsistencies become apparent. Results of this step will identify what it costs to provide services to the community, whether staff have the capacity or resources necessary to account for and track costs, whether accurate cost recovery levels can be identified, and whether cost centers or general ledger line items align with how the agency may want to track these costs in the future. The overall tax investment/cost recovery level is comprised of the average of everything in all of the tiers together as a whole. This step identifies what the current tax investment level is for the programs sorted into each tier. There may be quite a range within each tier, and some programs could overlap with other tiers of the pyramid. This will be rectified as implementation of recommendations occurs. The PRCSA Pyramid is shown in Figure 1. This will be refined over the first year of implementation as steps are taken to more accurately account for revenues and expenditures by category. Generally, current cost recovery percentages are shown for each category of the pyramid; however, it was not possible to extract an accurate expense for the service with the current accounting practices so there are no cost recovery percentages shown. The focus for the first year of implementation is to develop a system to capture revenues and expenses at the program level with ease. The PRCSA will also need to further define direct cost and determine if all or a portion of indirect cost will be allocated. STEP 7: ESTABLISHING COST RECOVERY/TAX INVESTMENT TARGETS The Project Team has worked to align who is benefiting from programs and services with the sources of funding used to pay for them. The tax investment is used in greater amounts at the bottom levels of the pyramid, reflecting the benefit to the Community as a whole. As the pyramid is climbed, the percentage of tax investment decreases, and at the top levels, it may not be used at all, reflecting the Individual benefit. Targets take into account current subsidy levels. As costing of services and matching revenues is a very revealing process, realistic and feasible targets are recommended to align with the pyramid model and also to meet specific financial objectives for recovery of direct and indirect cost. These targets are not g 2' 65B-31 r-'= predetermined by the model, but are identified for each tier of the Agency's Pyramid Model to reflect the values, needs, and realities of the Santa Ana community and the City. STEP 8: UNDERSTAND AND PREPARING FOR INFLUENTIAL FACTORS AND CONSIDERATIONS Inherent to sorting categories onto the Pyramid model using the Benefits and other filters is the realization other factors come into play. This can result in decisions to place services in other levels than might first be thought. These factors can aid in determining core versus ancillary services. These factors include participant commitment, trends, political issues, marketing, relative cost to provide the service (cost per participant), current economic conditions, and financial goals, etc. STEP 9: IMPLEMENTATION PRCSA will set its goals based upon values, vision, mission, stakeholder input, funding, and/or other criteria. Upon completion of steps 1-8, the City is positioned to illustrate and articulate where it has been and where it is heading from a financial perspective. Some recommendations may be implemented immediately, and others will take time to put into place, while some will be implemented incrementally. STEP 10: EVALUATION This process has been undertaken in order to articulate a philosophy, train Team Members on a best practice ongoing approach to cost recovery in public parks and recreation, and enhance financial sustainability. Once established, cost recovery performance measures in the form of tier target minimums and category minimums should be evaluated annually. 28 65B-32 III. ESTABLISHING FEES AND CHARGES PRICING STRATEGY As the final step in the development of this methodology, pricing strategies were considered. Pricing of services must be done on a service -by -service basis. A training on pricing was provided to staff and information is included as Appendix B in this document. Definition of costs and fees as discussed are provided here and followed by Criteria for Establishing Fees and Charges that align with pyramid levels. Table 1: Definitions of Cost and Fees DIRECT COST: Costs that are directly attributable to efforts to put on or provide a program or service. Examples are program specific supplies and marketing, rental fees for facilities, and applicable portions of full-time, part-time, and seasonal staff, as well as corresponding benefits. Cost associated with individual programs or services are not easily identifiable, so some reasonable assumptions may be necessary. INDIRECTAND DIVISIONS OVERHEAD COST: These costs are incurred by the Parks, Recreation, and Seniors Divisions and are not directly attributable to a specific program or service, but are necessary to support the effort, and are incurred for a common objective. Examples may include applicable portion of staff and benefits charges that are shared among multiple services, gas and vehicle maintenance, insurance, fund transfer charges, and staff overtime costs. PARTIAL COST FEE: A fee recovering something less than the cost calculation determined through the chosen methodology. The remaining portion of the costs are subsidized. FULL COST FEE: A fee based on a traditional price -cost relationship; recovers the total cost of a service or program including all costs determined through the chosen methodology, enabling the break-even point to be reached. Full -cost fee is often used as a strategy for services perceived as "private;' benefiting only users while offering no external benefits to the general community. MARKET RATE FEE: Fee based on demand for a service or facility. The market rate is determined by identifying all providers of an identical service (Examples: private sector providers, other municipalities, etc.), and setting the fee at the highest level that the market will bear. 65B-33 CRITERIA FOR ESTABLISHING FEES AND CHARGES Criteria is established for each level of the pyramid as indicated below. A full description of the criteria that applies to each level is found in Appendix C. High or Full Tax investment/Low or No Cost Recovery: These criteria apply to the Mostly Community Benefit Tier (1) of the pyramid. Partial Tax investment/Partial Cost Recovery: These criteria apply to the Considerable Community (2) and Balanced Community/Individual Benefits (3) tiers of the pyramid. Keep in mind that a service does not have to meet every criterion. Low Tax Investment/Substantial Cost Recovery: These criteria apply to the Considerable Individual Benefit tier (4) of the pyramid. No Tax investment/Full Cost Recovery: These criteria apply to the Mostly Individual Benefit tier (5) of the pyramid. The following concepts were discussed and are very typical for park and recreation agencies. COMPARATIVE ANALYSIS CRITERIA As part of a pricing methodology, comparative analysis of differing fees structures can reveal market rates and competitive pricing in the marketplace. Comparative analysis (benchmarking) is an important tool allowing for comparison of certain attributes of the PRCSXs management practices and fee structure. This process creates deeper understanding of alternative providers, your place in the market, and varying fee methodologies, which may be used to enhance and improve the service delivery of parks and recreation. The suggested criteria are found in Appendix D. 30 65B-34 IV. THE SERVICES ASSESSMENT METHODOLOGY Green Play trained a cross section of Team Members to learn how to use the Public Sector Services Assessment tool to understand each service's market segment and strength or weakness of its position within that market and to identify alternative providers, core services, and optional provision strategies. The use of the Services Assessment tool required extensive time and effort by Team Members and resulted in a Service Portfolio Matrix (see Appendix E), a compilation of both the Pyramid Methodology and the Public Sector Services Assessment tools. THE PUBLIC SECTOR SERVICES ASSESSMENT MATRIX Public agencies have not traditionally been thought of as organizations needing to be competitively oriented. Unlike private and commercial enterprises which compete for customers (and whose very survival depends on satisfying paying customers), many public and non-profit organizations operate in a non -market, or grants economy (one in which services may not be commercially viable). In other words, the marketplace may not supply sufficient and adequate resources. In the public sector, customers (taxpayers) do not directly decide how funding is allocated and which service gets adequate, ongoing funding. In fact, many public agencies and non -profits can be considered "sole -source;' the only place to get a service, so there is little to no market analysis. Therefore, the potential exists for apathetic service enhancement and improvement. Consequently, public and non- profit organizations have not necessarily had an incentive to question the status quo, to assess whether customer needs are being met, or to examine the cost-effectiveness or quality of available services. The public sector and market environments have changed; funders and customers alike are beginning to demand more accountability, and both traditional (taxes and mandatory fees) and alternative funding (grants and contributions) are getting harder to come by, even as need and demand increases. This increasing demand for a smaller pool of resources requires today's public and non-profit agencies to rethink how they do business, to provide services where appropriate, to avoid duplicating existing comparable services, and to increase collaboration, when possible. In addition, organizations are leveraging all available resources where possible. Based on the MacMillan Matrix for Competitive Analysis of Programs', the Public Sector Services Assessment is an intensive review of organizational services providing recommended provision strategies including, but not limited to, enhancement of service, reduction of service, collaboration, and advancing or affirming market position. This assessment includes an analysis of: each service's relevance to values, vision, and mission; market position; other service providers in the area, including quantity and quality of provider; and the economic viability of the service. The Matrix is based on the assumption that duplication of existing comparable services (unnecessary competition) among public and non-profit organizations can fragment limited resources available, leaving all providers too weak to increase the quality and cost-effectiveness of customer services. It also assumes that trying to be all things to all people can result in mediocre or low -quality service. Instead, agencies should focus on delivering higher -quality service in a more focused (and perhaps limited) way. The Matrix helps organizations think about some very pragmatic questions. 2 Alliance for Nonprofit Management Opt 1 65B-35 r-'= Figure 7: Services Assessment Matrix Where criteria intersect (in the purple boxes) is the most logical Service Provision Strategy Q: Is the PRCSA the best or most appropriate organization to provide the service? Q: Is market competition good for the citizenry? Q: Is the PRCSA spreading its resources too thin without the capacity to sustain core services and the system in general? Q: Are there opportunities to work with another organization to provide services in a more efficient and responsible manner? THE SERVICES ASSESSMENT PROCESS The Agency created a Service Menu listing each program, activity, or facility provided to the community. The next step in the process was to gather data about each program and service provided and research other providers of similar services in the market area for each service. This information was then used to answer questions to determine the fit, financial capacity, market position, and alternative providers for each service. This assessment allowed the determination of a recommended service provision strategy for each service. IDENTIFYING CORE SERVICES AND PROVISION STRATEGIES The Services Assessment required Team Members to answer a series of questions regarding "fit" with the mission and vision of the PRCSA; community need; the "strength of its market position" for each of its services and programs; present credibility and capacity, and community awareness; the "financial capacity" of the service or program to be viable without the support of tax funding; and the presence of "alternative providers" in the market place. 32 Q 65B-36 The resulting provision strategies for the Agency identify: • Services to affirm or advance its market position. • Services to pursue collaboration. • Services for complementary development. • Services to invest in to change the market position. • Services to divest. Multiple strategies are sometimes highlighted through this process for particular services. This is because there are several variables at work creating a weak market position an agency may or may not be willing or able to change. Market position is determined by the current resources available (could the investment be increased?), the location of the service (could it be moved?), the track record and credibility of the agency (is there any momentum toward improvement?), technical skill (could training be provided?), and community awareness of the offering (could marketing efforts be increased?). An appropriate solution for some of the challenges might be collaboration, or it may be time for divestment. PROVISION STRATEGIES DEFINED CORE SERVICE These services are "core" to satisfying the Agency's values and vision typically benefiting all community members, or are seen as essential to the lives of under -served populations. There are few, if any, alternative providers, yet the PRCSA is in a strong market position to provide the service. However, there is not the financial capacity to sustain the service outside of taxpayer support, and the service is not deemed to be economically viable. AFFIRM MARKET POSITION The Services Assessment identified services in which a number of (or one significant) alternative provider(s) exists, yet the service has financial capacity, and the Agency is in a strong market position to provide it to customers or the community. Affirming market position includes efforts to capture more of the market and investigating the merits of competitive pricing strategies. This includes investment of resources to realize a financial return on investment. Typically, these services have the ability to generate excess revenue. Niche positioning and messaging can be used as market strategy. 1e111179 L1 [e] :1 Ji /9:13 :1 9 Z•by l l [•] L1 The Services Assessment identified services in which a small number of (or no) alternative providers exist to provide the service, the service has financial capacity, and the Agency is in a strong market position to provide the service. Primarily due to the fact that there are fewer, if any, alternative providers, advancing market position of the service is a logical operational strategy. This includes efforts to capture more of the market, investigating the merits of market pricing and various outreach efforts. Also, this service may be an excess revenue generator by increasing volume. COMPLEMENTARY DEVELOPMENT The Services Assessment identified services in which the service is a good fit, a number of, or one, significant alternative provider(s) exists; the PRCSA is in a strong market position to provide the service, yet it does not have financial capacity to fully develop the service. Complementary development encourages planning efforts avoiding duplication, yet broadening the reach of all providers. Although there may be perceived market saturation for the service due to the number of like services by alternative providers, demand and need exists, justifying the service's continued place in the market. 65B-37 r-'= COMPLEMENTARY DEVELOPMENT The Services Assessment identified services in which the Agency's current market position is weak, and the service can be enhanced or improved through the development of a collaborative effort. Collaborative efforts, or partnerships, with other service providers (internal or external) can minimize or eliminate duplication of services while most responsibly utilizing agency resources. INVESTMENT The Services Assessment identified services where investment of resources is the Agency's best course of action as the service is a good fit with values and vision, and an opportunity exists to strengthen the current weak market position. DIVESTMENT The Services Assessment identified services where the Agency has determined it is in a weak market position with little or no opportunity to strengthen its position. Further, the services are deemed to be contrary to the Agency's interest in the responsible use of resources, and are therefore being considered for divestment. Divestment not only includes the discontinuation of a program or service but perhaps a hand-off to another agency, or the purposeful nurturing of an entity to prepare to take on the service. 34 h 65B-38 V. KEY FINDINGS The defining and placement of categories on the pyramid tiers provided the opportunity to question the purpose of each of the programs and services within each category, who they were serving, and how those programs and services are funded and delivered. During the first year of implementation, Team Members will have the opportunity to respond to the volume of information now available, allowing them to further refine definitions and re-evaluate early decisions made in this process. Throughout the series of workshops several key issues emerged, including: • Identifying costs accurately and defining which costs should be recovered and which should be considered indirect and a basic service. • Identifying fee strategies and how they may be applied. Other key findings are discussed below. COST RECOVERY Cost recovery targets could not be identified for each level of the Pyramid to assist in future planning and determination of appropriate pricing. These targets will need to be identified once PRCSA has established an effective way to track cost. As the Agency improves tracking and more precise calculations become available, it is possible some services may be better defined and moved to more appropriate categories. As soon as Tier targets are established, this approach will empower the Agency to use fees and charges to supplement the tax investment that allows it to affirm its priorities for investment. PRCSA is not a static operation and needs flexibility within a philosophically -based structure to appropriately carry out its business. This model will allow it to do so. FEES FOR SERVICE Fees for services should be reviewed annually and adjusted as necessary to meet cost recovery objectives and City policy. It is not expected that all fees will be immediately adjusted, but fees will be examined with each budget and marketing cycle for appropriate categorization, with a goal of implementing the Pyramid tier outcomes, as possible. It is recognized that market, historical, and political factors play a major role in any fee change, and sensitivity to these issues is paramount while the adjustments take place to meet the goals over time. It is in the purview of the PRCSA Director to adjust some minor program and service fees as needed, and others will be recommended at the appropriate time as part of the budgeting process. However, it should be noted that incremental annual increases appear to be more tolerable than larger increases less frequently, and this has become a best practice in parks and recreation agencies over time. There will be programs and/or facilities where cost recovery is different from that suggested by the Pyramid model exercise, simply based on the market rate, meaning the City simply can't charge what is indicated or no one will participate, or can charge more, because of the market rate and there is demand. There are valid reasons for charging "Market Rate." These programs should be identified and acknowledged for the role they play. Opt.'; 5 6513-39 r-'= DONATIONS, SPONSORSHIP, AND PARTNERSHIP POLICIES Donations, sponsorships, and partnerships are best practice strategies for maximizing cost recovery levels, and are in use in PRCSA. To evolve the use, however, they each need to be guided by policy. Comprehensive donation, sponsorship, and partnership policies providing Team Members guidelines will ensure that solicitation, negotiation, and fulfillment are appropriate under all applicable rules, regulations, and laws. The policies will provide evaluation criteria to determine if the benefit is appropriate in the delivery of the existing mission, vision, and goals of the City, and will ensure transparent consistency for solicitation and fulfillment. Research to establish strategic opportunities and appropriate valuations for sponsorship and partnership opportunities, by using a consultant or an established industry methodology, will assist with alignment to current market conditions. Sample Sponsorship and Partnership policies have been provided to the PRCSA for its use, and policy development can serve as a model for the entire City. 36 LL. 65B-40 VI. RECOMMENDATIONS The main purpose of this endeavor has been to create a fair, equitable, and defensible cost recovery system for establishing and adjusting fees and charges having credibility with City Council, stakeholders, the public, and Team Members. As a result of the comprehensive process and impending results, as illustrated in the Cost Recovery Pyramid Model, the PRCSA will begin the process of tracking cost, implementing strategies and aligning financial resource allocation once cost recovery goals are developed. In order to identify cost recovery goals, the PRCSA will need to identify typical and measurable direct and indirect costs associated with providing programs and services. Only then will they be able to define categories of programs and services with associated target cost recovery minimums. These efforts are intended to guide goals and objectives, and decision -making proven to create service sustainability for the organization. RECOMMENDED COST RECOVERY POLICY STATEMENT PRESENT POLICY AND PRACTICE The PRCSA does not have a current cost recovery policy. Until now, there has not been a full understanding of cost recovery concepts, and there is inconsistent application of program and service costs. There is lack of adequate philosophy based on the mission of the PRCSA to establish adequate and non -conflicting cost recovery targets. An umbrella policy statement sets the underlying principles of the Cost Recovery Philosophy, and service pricing approach. Key elements include: a. Basic level of service is "free" (supported by tax revenues) b. Fees are a responsible and necessary supplement c. Community benefit = use of tax dollars d. Individual benefit = use of fees e. The greater the individual benefit = lower rate of tax subsidy f. The policy considers economic climate, alternative providers, and market rate g. Fee reductions available for economic need The following overall Statement of Policy recommendation is intended to provide support to the establishment of a specific policy or practice. This policy statement should be adopted by the City. RECOMMENDED STATEMENT OF POLICY As a publicly financed park system, the PRCSA provides a basic level of service free to the public in exchange for tax dollars. However, fees and charges and other methods to recover costs are considered a responsible and necessary means to supplement tax revenue and regulate park use where appropriate. In establishing fees and charges, the Agency will determine the direct costs of providing services and establish goals to recover those costs. The appropriate level of cost recovery will be based on an assessment of who is benefiting from the service provided. If the benefit is to the community as a whole, it is appropriate to use taxpayer dollars to completely, or primarily, fund the service. Examples of services that primarily provide community benefits are hiking and biking trails, play areas, parks, and large natural areas. g 37 6513-41 r-'= As the benefit is increasingly to an individual or select group of individuals, it is appropriate to charge fees for the service at an increasing rate of cost recovery. Supervised or instructed programs, facilities, and equipment visitors can exclusively use, and products and services that may be purchased, provide examples where user fees are appropriate. The PRCSA shall also consider available resources, public need, public acceptance, and the community economic climate when establishing fees and charges. In cases where certain programs and facilities are highly specialized by activity and design, and appeal to a select user group, the Agency shall additionally consider fees charged by alternative service providers or market rates. Fees and charges can be set to recover costs in excess of direct and indirect costs, where appropriate, as a method of subsidizing other services. The Agency may subsidize the cost recovery objective of services for persons with economic need or other targeted populations, as determined by policy of the City Council, through tax -supported fee reductions, scholarships, grants, or other methods. The City Council may also approve exceptional fees or fee waivers upon determination the fee arrangements will benefit the public interest. SERVICES AND FINANCIAL STRATEGIES RECOMMENDATION ONE: COST RECOVERY The intent of this focus area is to develop targets and a timeframe for identifying cost recovery goals. Over the past year Team Members have completed a very comprehensive and intense process of developing a best practice business tool, known as The Pyramid Methodology. This will now live within the PRCSA for ongoing use as an established underlying philosophy and provide direction for much more defensible and consistent application. This work was facilitated to ensure the integrity of the tool and challenge Team Members in its proper use. After an introduction and training, Team Members articulated and refined the menu of programs, services, and activities currently provided by the Agency; categorized those into like groupings; and worked with the public to sort each category of service into one of five pyramid levels, representing a well-defined continuum of a shifting balance of community and individual benefit. OBJECTIVES 1.1: The following tier targets are based on a first pass at estimating a possible cost recovery range. Detailed cost accounting for each program and service was not available in the detail needed to develop the subsidy level target ranges for the pyramid based on actual expenses verses revenue generated. This will need development and refinement over the first year of implementation, so these could be adopted as preliminary targets to be re-evaluated prior to year two. Team Members will need to work with Agency Leadership to identify a methodology for tracking program cost and to determine the typical and measurable direct and indirect costs that will be tracked. Tier Level Subsidy Level Target Range Tier 5 0% Tier 4 0-29% Tier 3 30-64% Tier 2 65-94% Tier 1 95-100% 38 Q 65B-42 1.2: Over the next three to six months, in preparation for the FY2021-2022 budget: • Identify policy revisions during the budget preparation process. • Identify and implement opportunities for fiscal adjustments such as fee changes, • Program elimination or collaboration, and/or expense reduction. • Continue to analyze programs and implement fiscal adjustments based on • Methodology. • Refine methodology and analysis based on lessons learned. 1.3: The PRCSA must define all of the expenses considered "direct costs' vs. "indirect costs' for programs and services. Expand use of existing budgeting, project, and time management tools to track actual costs over the next year. Determine the most efficient way to assign costs to programs and services. 1.4: Use the Cost Recovery and Resource Allocation Philosophy and Model as the foundation for business planning; articulating the philosophy and process in a Business Plan approach. 1.5: Adjust fees to reflect the PRCSA cost recovery philosophy, being sensitive to fee tolerance, and implementing over time as necessary. Consider annual incremental price increases to keep up with rising costs, as necessary, allowing Team Members to respond to market conditions, opportunities, and service demands in a timely manner. • Tier 1 of the model is expected to be supported through tax funding Tier 1 houses services such as non -monitored parks use. This Tier also includes the Department's Community Special Events. These are seen as services that are of great benefit to the entire community. • Tiers 2 through 4 will experience decreasing levels of tax subsidy support Tiers 2 through 4 house services that require supervision, instruction, or other attention, and serve subsets of the community. Each ascending Tier level increases focus on the individual or group receiving the service and subsidy level targets decrease with each level. Examples of services in these tiers include Youth Classes and Sports (Tier 2), Parks and Facility Rentals (Tier 3), and Adult Classes and Sports (Tier 4). • Tier 5 is not intended to be supported through tax funding Tier 5 houses services that are ancillary to the mission of the Department with services such as private lessons and film permits. Often fees for this tier may be market -based. 1.6: Ensure long-term sustainability by focusing taxpayer funding on those services producing the widest community benefit, using the pyramid. Consider return on investment, number of participants served, and cost per participant covered by tax revenues as criteria for evaluation of all services. 1.7: Assign a project champion or champions and an Implementation Team to keep the focus on the goals and recommendations of the study. Opt.'; 9 65B-43 r-'= RECOMMENDATION TWO: SERVICE PORTFOLIO AND MANAGEMENT The intent of this focus area is to avoid duplicative services in over -saturated markets which exhaust resources; identify and develop niche markets in response to service area needs; and advance the market position of the PRCSA where services are financially sustainable through an appropriate use of tax dollars, fees, and other forms of revenue. The Agency has pursued a best practice business tool, the Public Sector Services Assessment, for ongoing use within the Agency. Working with an outside facilitator to challenge current thinking and make the best use of this tool, the Agency has, and will continue to consider service delivery mechanisms including affirming or advancing programs, complementing the efforts of other providers, collaboration and partnership, further investing, outsourcing, or divestiture to maximize efficiency, effectiveness, and best use of resources. Building on the introduction and training provided, Team Members identified their menu of programs and services, evaluated each for fit, financial capacity, market strength, and alternative coverage, and defined and identified "core services." Ongoing efforts will include use of the tool on an ongoing basis to address changes in the marketplace and Agency resources, and to evaluate provision of a potential new program, service, or activity. More specific objectives resulting from this evaluation follow: OBJECTIVES 2.1: Use the Public Sector Services Assessment as the foundation for business planning for programming efforts, articulating the philosophy and process in a Business Plan approach. Update the services assessment and review portfolio of services annually. Tie review appropriately to budget preparation schedule. 2.2: Establish and adhere to evaluation criteria, such as minimum enrollment, program lifecycle status, and waiting lists, for making decisions as to holding, continuing, or expanding a program and require annual reporting regarding that criteria, for longer term decision -making purposes. Monitor registration, attendance figures, and cost recovery goals on an ongoing basis. Cancel and replace under -performing services. • Forecast impacts of changes to be made to programs prior to decisions being made to do so, evaluating for economic, social, and environmental sustainability. This is particularly important when considering adding new programs during the budget process. • To ensure an apples -to -apples comparison, calculate cost per contact hour for both Agency programs and those of alternate providers. 40 65B-44 2.3: Implement service provision strategies identified through the Services Assessment. Core Services These services are "core' to satisfying the Agency's values and vision, typically benefit all community members, or are seen as essential to the lives of under -served populations. There are few if any alternative providers, yet the PRCSA is in a strong market position to provide the service. However, there is not the financial capacity to sustain the service outside of taxpayer support, and so the service is not deemed to be economically viable. Continual evaluation for efficiencies and effectiveness in providing these services is paramount. PRSCA Core Service's include the following: • Development and care of the basic park amenity forviewing or general use by the public including maintenance, repair, and landscaping services for open spaces, natural areas, and manicured parks. • Nearly all programs in Tier One of the PRSCA Cost Recovery Pyramid were identified as a Core Services. Tier One of the Pyramid represents programs and facilities which mostly benefitthe community as a whole. Affirm Market Position Affirming market position includes efforts to capture more of the market through existing sites and investigating the merits of competitive pricing strategies. This includes investment of resources to realize a financial return on investment. Typically, these services have the ability to generate excess revenue. Niche positioning and messaging can be used as market strategy. In general, the following additional programs and facilities were identified for affirm market position: • Zoo Camps • El Salvador Center • Garfield Community Center • Jerome Center • Lawn bowling Clubhouse • Roosevelt -Walker Community Center • Salgado Center • Santa Ana Senior Center • Southwest Senior Center Advance Market Position Advancing market position includes efforts to capture more of the market, investigating the merits of market pricing and various outreach efforts. Also, this service may be an excess revenue generator by increasing volume (particularly to fill current capacity). More specifically: • Capitalize on PRCSA strong market position forthese services by increasing offerings as demand dictates. • Advance market position of permitted services, concession and vending, and equipment rentals. • Consider implementing the use of Resident and Non -Resident rates for Zoo Admissions. Opt.'; al 65B-45 r-'= Complementary Development Complementary development encourages planning efforts avoiding duplication, yet broadening the reach of all providers. Complementary development was indicated for all or most programs found in the following Categories: • Youth Leagues • Camps and After School Programs • Youth Classes and Sports • Preschool Classes and Sports • All Ages Classes and Sports Collaboration, Investment, or Divestment Collaborative efforts, or partnerships, with other service providers (internal or external) minimizing or eliminating duplication of services, while most responsibly utilizing agency resources are recommended. Investment may be in order if an opportunity exists to strengthen the current weak market position. Divestment may be in order if collaboration or investment are not considered or successful. This can occur by discontinuing a service or handing off the service to others. More specifically: • Invest, Collaborate, or Divest was identified for Park Picnic Reservations and Movies in the Park. By investing in Picnic Amenities and in the Movies in the Park program their current weak market position could be improved. • Collaborate or Divest was identified for the Memorial Center and the Santa Anita Center. Both facilities are out of date making them less attractive for programs or rentals. • Collaborate or Divest was also identified for a small number of programs in various categories. RECOMMENDATION THREE: POLICY AND ADMINISTRATION The intent of this focus area is to identify policies and procedures to revise or develop, allowing Team Members to achieve appropriate cost recovery targets. This will allow the Agency to maximize revenue generation where appropriate and to shift taxpayer investment/subsidy to those areas more foundational on the pyramid. All new or revised policies as a result of these recommendations will go through existing development, review, and City approval processes and are anticipated to be developed as part of the implementation of this plan. OBJECTIVES 3.1: Seek acceptance or approval of the Resource Allocation and Cost Recovery Philosophy, Model, and Policy Statement by Agency Leadership, City Leadership, Board of Recreation and Parks, and the City Council. 3.2: Review fees and charges for program and facility services annually making minor adjustments as allowed at the Director level and recommending adjustments as part of the formal budgeting process. 3.3: Develop a comprehensive Sponsorship Policy. A sample Sponsorship Policy has been provided to the Agency for this purpose. Research strategic opportunities and appropriate valuations. (See also Recommendation 5.4 regarding assignment of Team Members necessary for a successful sponsorship effort). 3.4: Develop a comprehensive Partnership Policy providing guidelines that can be used throughout the City organization. A sample Partnership Policy has been provided to the Agencyforthis purpose. Research strategic opportunities and appropriate valuations. 42 Q 65B-46 3.5: As pricing is adjusted, ensure that Youth Services Scholarship opportunities are known to those who qualify and remain adequately funded as the City pursues an increase in cost recovery levels. Seek and designate additional funding sources including excess revenues generated by the Agency. 3.6: Use Resource Allocation and Cost Recovery Philosophy, Model, and Policy and the Services Assessment Tools as Team Member training tools. Incorporate specific recommendations for use of the tools and recommendations/decision making into annual Team Member work plans holding Team Members responsible for taking appropriate steps each year to complete the Service Assessment and Alternative Provider Spreadsheets; recommend indicated service strategies and actions to achieve indicated cost recovery targets. RECOMMENDATION FOUR: COST SAVINGS & COST AVOIDANCE STRATEGIES Avoiding and reducing costs will also lead to higher cost recovery rates, provided doing so does not negatively affect the quality of the program and therefore the desire for participation. The intent of this focus area is to identify practices and analysis methods for service planning and provision to consistently ensure the most cost-effective use of resources. OBJECTIVES 4.1: Continue to review internal management practices and identify and use cost savings practices producing cost effective results. Consider efficiencies, simplifying processes, placing approval/ decision -making authority at appropriate levels, and providing periodic management reports using information generated in this process, among other strategies. 4.2: Continue to maintain current capital and maintenance management plans, appropriately budgeting for ongoing operating expenses. RECOMMENDATION FIVE: REVENUE ENHANCEMENT The intent of this focus area is to identify new sources of revenues, including alternative funding ideas, and explore their potential to increase or contribute to overall financial sustainability. OBJECTIVES 5.1: Explore alternative funding sources that strategically align with targeted services by identifying ideas during each budget cycle from the Parks and Recreation Funding Sources listing provided to Team Members and formulate a work team to explore the pros, cons, and potential outcomes. 5.2: Expand alternative funding for strategic initiatives through grants for new and existing projects such as healthy and active living initiatives; trail development; cultural, historic preservation, and natural resource projects; and environmental and sustainability efforts. 5.3: Review procurement and other policies to maximize the ability to pursue alternative revenues such as grants, sponsorships, and permitfees, while ensuring that the cost to pursue these revenues does not exceed the benefit received. 5.4: Explore the opportunities for and use of sponsorships, in accordance with an approved Sponsorship Policy. Complete a valuation of park assets and develop a list of potential park facility sites, programs, services and events, and other amenities to consider for sponsorship. Assignment of staffing will be necessary for a successful sponsorship effort. Opt.43 '; 65B-47 r-'= RECOMMENDATION SIX: EVALUATION AND PERFORMANCE MEASURES Following the identification of Tier targets the first year of implementation will allow adjustment of fees as indicated by the Model. It will also allow for Team Members and City Council to see the implications on overall cost recovery; identify any currently unknown market, historical, and political filters; and allow Team Members to experience using the methodology. OBJECTIVES 6.1: Following a one-year pilot implementation of the model and policy, assess results; thereafter, review the impact on an annual basis. 6.2: Use both internal and external data to create performance measures. • Conduct cost benefit analysis of programs by evaluating participation, waiting lists, cancellation rates, and rate of repeat customers. • Conduct pre- and post assessments of accessibility, impact to participants, and community wellness. • Benchmark performance by conducting assessments of effectiveness using: • Self-benchmarking. • Surveys. Commission for Accreditation of Parks and Recreation Agencies (CAPRA) Accreditation standards. National Recreation and Park Association National Gold Medal Award winning cities or agencies in the similar population category. 6.3: Establish program performance measures and base divisional work plans and individual goals on performance measures. 6.4: Establish a formalized, Agency -wide program and service evaluation; conduct periodic program surveys to evaluate public perspective in reaching desired program outcomes. 44 65B-48 APPENDIX A: PRCSA CATEGORIES OF SERVICE Table 2: Categories of Service Tier 5 Service Category Definition Examples Lessons arranged for one Tennis Private Lessons student with a specific instructor and/or time All permitted filming and Student or commercial on public photography activities planned or private property, Zoo film Film Permits and implemented by outside permit, etc. organizations run through City permit process Tier 4 Service Category Definition Examples Rentals for exclusive use of Aquatic activities, Cabrillo Tennis spaces and facilities for ongoing Center, Lawn Bowling Club Agreements (profit) or multiple time -periods by a House, Archery Club private individual, group, or for - profit business All permitted events planned Birthday parties, anniversaries, Special Event Services and implemented by individuals graduation parties, etc. (Permitted- Private) run through City permit process Rental and scheduling for Stadium, basketball courts, and Sport Field/Court Rentals exclusive use of sports facilities tennis courts (Leagues) for formal or informal use Rentals equipment for exclusive Snow Mobile Equipment Rentals use of by group, or the general public Group or individual special Tennis, dance, arts and crafts, interest programs and activities painting, guitar, computer Adult Classes and Sports for adults operated, taught, or workshops, self-defense, voice managed by the department talent, yoga, Zumba, Pilates, through contract or staff mindfulness, connecting mind and body Opt.'; 45 6513-49 r-'= Tier 3 Service Category Definition Examples Group or individual services Insurance, legal and financial and programs for 55+operated, services, HICCAP Senior Services Partnerships taught, or managed through service providers or outside agencies Group recreational and/or Basketball, Rookie Baseball, flag instructional sports programs football, tennis Youth Leagues and activities for youth operated, taught, or managed by the department through contract or staff Rental of facilities, parks, and Community and Senior Centers, Park and Facility Rentals (Public) other amenities for exclusive Stadium, Plaza Calle Cuatro, use on a one-time basis by the picnic areas, pools, gymnasiums, general public shelters Non -licensed recreational and After school, sports and fitness, school break programs, day summer camp, zoo camp Camps, Afterschool & School camps and after school programs with a social, and/or recreational Break Activities focus which may include field trips, rather than specific instructional or skills programs Daily, group, or annual entrance Zoo admission Admissions - Special Facilities fee Educational and conservation On -site and off -site Zoo Youth School Based Programs programs programs. Tier 2 Service Category Definition Examples Grant funded services offered Daily transportation, field trip Senior Grant Funded Services to 55+, operated, taught, or and excursions managed by the department through contract or staff Targeted annual, individualized Senior Center monthly events, activities and events requiring recreation center monthly Special Events (Program Related) registration that are typically events, talent show offered on a one-time or limited basis 46 65B-50 Group or individual special Self-defense, cooking, ballet, interest programs and activities guitar, dance, art, language, Youth Classes and Sports for youth operated, taught, or photography, cheerleading, managed by the department kayaking sports through contract or staff Rentals for exclusive use of TKO boxing, Rancho Santiago spaces and facilities for ongoing Community College District, Agreements (non-profit) or multiple time -periods by a Family Resource Center, Back to private individual, group, or non- Natives, U.S. Geological Survey profit business (Zoo), Master Gardeners, SAUSD, etc. All permitted events planned International older adults fair, Special Event Services and implemented by outside Movies in the Park, Madison (Permitted -Open to the Public) organizations running through Walk-a-thon, Dia del Nino, etc. the City permit process Drop -in use of park, facility or Drop -in basketball, public swim, Park and Facility Use (monitored) activity that is monitored admissions, parking, self -guided visits, community gardens, etc. Group or individual special Star ballerinas, Tiny Tots, interest programs and activities cooking, art, language, care bear Preschool Classes and Sports for preschool ages operated, academy, drawing, Itty Bitties taught, or managed by the Learning Academy, Basketball, department through contract or Rookie Baseball, Flag Football staff Tier 1 Service Category Definition Examples Community service and youth Scout Projects, Nature Center, Volunteer Program development programs and Zoo, Senior Volunteers, Youth opportunities operated, or Sport Coaches, Internships, and managed through staff Corporate Volunteers Work experience for students Department wide opportunities Internships Group programs and activities Arts, crafts, dance, tai chi, yoga, Senior Activities for older adults operated book club, trips, etc. or taught by staff and/or participant led City produced events 4th of July, Shakespeare in the Special Events (Open to Public) Park, Fiestas Patrias Festival and Parade, DTSA 5K Run, Plaza Navidena Opt.'; 47 65B-51 r-'= Drop -in use of park/facility/ Use of parks, use of trails, open Park and Facility Use (non- activity that is non -registered lawns, landscaped areas, trees, monitored) and non -instructed, city areas playgrounds, picnic areas, etc. not monitored by department staff/volunteer supervision 48; 65B-52 APPENDIX B: DEVELOPING A PRICING STRATEGY As the final step in the development of the Comprehensive Service and Financial Sustainability Study, pricing strategies were considered. This discussion should continue in the future, and the following topic areas should be included and applied. 1. UNDERSTANDING FINANCIAL TRENDS The increasing complexity and resulting shifts of our society's economy have led to what can be deemed as constant fiscal change in government. Public sector administrators and managers must be prepared to respond to the fiscal realities that have resulted from these economic shifts. Trends impacting fiscal and pricing decisions include: • Increased governmental accountability • Increased demand for people's "leisure dollar" • Ongoing or increased demand for services with no/limited additional funding, or decreased funding • Disinterest in service reductions or increased fees and charges • Increased operating expenses (utilities, fuel, personnel, supplies, etc.) 2. UNDERSTANDING THE BUDGET PROCESS AND FISCAL YEAR CYCLE Budgets are viewed as annual financial plans and include planning and forecasting, establishing priorities, and a way to monitor fiscal process. This overview allows for an abbreviated look at the process and how it is impacted by pricing. 3. UNDERSTANDING THE COSTS OF SERVICE PROVISION Prior to making pricing decisions, it is important to understand the different types of service provision costs. Having knowledge of the various types of costs allows staff to make better informed pricing decisions. The different types of service provision costs are as follows: • Direct costs Fixed costs • Changing fixed costs • Variable costs • Indirect Costs 4. UNDERSTANDING THE PURPOSE OF PRICING There are many reasons to develop service fees and charges. These include, but are not limited to, the following: • Recover costs • Create new resources • Establish value • Influence behavior • Promote efficiency 5. PRICING STRATEGIES —DIFFERENTIAL PRICING Differential pricing is grounded in the notion that different fees are charged for the same service when there is no real difference in the cost of providing the service. There may be many reasons the Divisions may wish to consider this pricing strategy including: • To stimulate demand for a service during a specified time • To reach underserved populations • To shift demand to another place, date, or time g 49 6513-53 r-'= 6. ALTERNATIVE FUNDING SOURCES In general, there has been a decrease in the amount of tax support available to public Parks, Recreation, and Senior Services agencies across the nation. The Divisions are forward thinking in their planning. As such, the need to look at alternative funding sources as a way to financially support services has become commonplace. Alternative funding sources are vast and can include: • Gifts • Grants • Donations • Scholarships • Sponsorships • Collaborations • Volunteer contributions 7. EXAMINING THE PSYCHOLOGICAL DIMENSIONS OF PRICING In addition to the social and environmental issues surrounding pricing, the human elements of pricing must be considered. Regardless of how logical a price may seem, customer reactions and responses are their own and can be vastly different than what one might expect. The psychological dimensions of pricing include: • Protection of self-esteem (pricing in such a way as to not offend certain users) • Price -quality relationship (value received for every dollar spent) • Establishing a reference point (worth of service in comparison to others) • Objective price (price has a basis in fact, is real, and impartial) • Subjective price (price is not biased or prejudiced) • Consistency of image (perception of the brand and identification with product or service) • Odd pricing (perception of arbitrary or incongruent pricing) 8. ESTABLISHING INITIAL PRICE Establishing an actual price for a program can be based upon a variety of strategies including: • Arbitrary pricing: basing fees on a general provision such as raising all fees $.25 to meet budget goals which ignores market conditions and cost recovery goals. Arbitrary pricing is not encouraged, as it is impossible to justify. • Market pricing: a fee based on demand for a service or facility or what the target market is willing to pay for a service. The private and commercial sectors commonly use this strategy. One consideration for establishing a market rate fee is determined by identifying all providers of an identical service (examples: private sector providers, municipalities, etc.) and setting the highest fee. Another consideration is setting the fee at the highest level the market will bear. • Competitive pricing: a fee based on what similar service providers or close proximity competitors are charging for services. One consideration for establishing a competitive fee is determined by identifying all providers of an identical service (examples: private sector providers, municipalities, etc.), and setting the mid -point or lowest fee. • Cost recovery pricing: a fee based on cost recovery goals within market pricing ranges. 9. UNDERSTANDING PRICE REVISIONS Once a price is established, there may be the need to periodically review it and examine the need for revision. In some cases, "revised" may be viewed as "increased;" therefore, a systematic approach to pricing revision is important. Factors to consider in pricing revision include: • Customer tolerance: the degree to which small increases in price will not encounter client resistance. • Adjustment period: the period of time where the value of the service is assessed by the customer in relation to the price increase. The value of the service from the customer's perspective must meet or 50 Q 65B-54 Exceed the impact of the increased cost. Adjustment periods may lead to diminished participation or termination of participation altogether based upon customer loyalty and other factors. Customers' perceived value of the service: the degree to which services including programs, facilities, and parks impact the public (individual and community), or in other words, the results or outcomes of services. Value is the judgment or perception of worth or the degree of usefulness or importance placed on a service by personal opinion. The intent or intention of a service is the purpose, aim, or end. 10. THE PRICING PROCESS — DEVELOPING A METHOD Staff participating in the series of workshops engaged in interactive exercises that applied the cost recovery goals of their respective service areas. The workshops prompted discussions leading to recommended changes to selected current pricing practices with the intention of attaining recommended cost recovery and tax investment allocation goals and establishing a new method for setting fees and charges. This method is based upon using cost recovery goals as a primary pricing strategy, followed by either market pricing (for services with low alternative coverage — few if any alternative providers) or competitive pricing (for services with high alternative coverage —other alternative providers offer similar or like services). Opt.'; �1 65B-55 r-'= THIS PAGE IS INTENTIONALLY LEFT BLANK 65B-56 APPENDIX C: CRITERIA FOR ESTABLISHING FEES HIGH OR FULL TAX INVESTMENT/LOW OR NO COST RECOVERY: These criteria apply to the Mostly Community Benefit Tier (1) of the pyramid. The following criteria are used to determine if a service should be included in the tier, keeping in mind that a service does not have to meet every criterion: • The service is equally available to everyone in the community and should benefit everyone • Because the service is basic, it is difficult to determine benefits received by one user • The level of service attributable to a user is not known • Administrative costs of imposing and collecting a fee exceed revenue expected from the fee • Imposing the fee would place the agency at a serious competitive disadvantage • The service is primarily provided by the public sector PARTIAL TAX INVESTMENT/PARTIAL COST RECOVERY: These criteria apply to the Considerable Community (2) and Balanced Community/Individual Benefits (3) tiers of the pyramid. Users fees may recover only partial cost for those services for which the agency desires to manage demand. • User fees may recover only partial cost from those individuals who cannot pay full cost due to economic hardship • User fees may recover only partial cost if competitive market conditions make a full cost fee undesirable • The following criteria are used to determine if a service should be included in these tiers, keeping in mind that a service does not have to meet every criterion: ✓ Services benefit those who participate but the community at large also benefits ✓ The level of service use attributed to a user is known ✓ Administrative costs of imposing and collecting the fee are not excessive ✓ Imposing a full cost fee would place the agency at a competitive disadvantage ✓ The service may be provided by the public sector but may also be provided by the private sector LOW SUBSIDY/SUBSTANTIAL COST RECOVERY: These criteria apply to the Considerable Individual Benefit tier (4) of the pyramid. • User fees should recover the substantial cost of services benefiting specific groups or individuals • User fees should recover the substantial cost for those services provided to persons who generate the need for those services • The following criteria are used to determine if a service should be included in this tier, keeping in mind that a service does not have to meet every criterion: ✓ The individual or group using the service is the primary beneficiary ✓ The level of service use attributed to a user is known ✓ Administrative costs of imposing and collecting the fee are not excessive ✓ Imposing a substantial cost fee would not place the agency at a competitive disadvantage ✓ The service is usually provided by the private sector but may also be provided by the public sector NO TAX INVESTMENT/FULL COST RECOVERY: These criteria apply to the Mostly Individual Benefit tier (5) of the pyramid. • User fees should recover the full cost or more for a service in order to subsidize other services provided to the community • The following criteria are used to determine if a service should be included, keeping in mind that a service does not have to meet every criterion: 53 65B-57 ✓ Individuals or groups benefit from the service and there is little community benefit ✓ The level of service use attributable to a user is known ✓ There is excess demand for the service; therefore, allocation of limited services is required ✓ Administrative costs of imposing and collecting the fee are not excessive ✓ The service is provided at market price by the private sector 54 Q 65B-58 APPENDIX D: COMPARATIVE ANALYSIS CRITERIA LIMITS OF COMPARATIVE DATA AND ANALYSIS Comparative analysis (benchmarking) is an important tool allowing for comparison of certain attributes of the City's management practices and fee structure. The process creates a deeper understanding of alternative providers, your place in the market, and varying fee methodologies, which may be used to enhance and improve the service delivery of parks and recreation. It is very difficult to find exact comparable communities, because each has its own unique identity, ways of conducting business, and differences in what populations it serves. The political, social, economic, and physical characteristics of each community make the policies and practices of each parks and recreation department unique. It is important to keep in mind that many park and recreation departments primarily serve residents, others serve a large portion of non-residents, while still others cater to the tourism market. Despite efforts to promote uniformity in comparison, organizations often have slightly different fee structures and associated benefits. For example, some parks and recreation departments may not report all benefits associated with the purchase of a center membership, or may not explain the breadth of indoor recreation spaces they have in the same way as another. The availability of detailed information may also be limited. Additionally, organizations do not typically define the expenditures of parks, trails, facilities, and maintenance the same way. Agencies also vary in terms of how they organize their budget information, and it may be difficult to assess whether or not the past year's expenses are typical for the community. Despite these inherent limitations, the comparative analysis and fee comparisons criteria presented in this document should be used as a catalyst for the City of PRCSA to continue to research fees, market position, and best practices for more specific areas when they are needed. COMPARATIVE ANALYSIS DATA SOUGHT The communities selected for benchmarking data should be chosen primarily for their proximity and perceived similarities to PRCSA. Requested comparative data in addition to service specific fee structure may include: • Values, vision, and mission of the organization • Population and demographics • Median household income and household size • Prior year budget, actual expenses, and revenues for the entire department • Prior year budget, actual expenses, and revenues for the parks and recreation divisions • Number and square footage of Community/Recreation Centers • Total acres of open space and developed park land • Number of maintenance acres contracted out and maintenance description • Total miles of Department maintained trails • Number of indoor and outdoor pools • Number of lighted and unlighted softball/baseball fields • Recreation and parks department full-time employees and FTEs Often, comparative analysis data looks to weigh pertinent data along with comparing against a "per thousand" population calculation for categories including: total department budget, total acres, developed acres, miles of trails, Community/Recreation Center square footage, number of pools, number of softball/baseball fields, and recreation FTEs. Parks expenses and FTEs can be calculated per I 65B-59U 55 developed acre. Population, demographics, median household income, and household size estimates can be provided by the U.S. Census. FEE COMPARISON CONSIDERATIONS To compare fees, other factors should be considered along with the price or fee charged for a program, rental, admission, pass, or other services. Comparative data for each fee should be included as applicable: • Program contact hours • Program session length • Student/teacher ratio • Contractor or in-house instructional staffing • Instructor qualifications • Program quality • Materials included or additional fees • Set up/tear down and preparation time included • Facility amenities included in admission or pass • Programs included with admission or pass • Towel service, locker, equipment usage included or extra • Hours of operation or availability of service • Peak or off peak pricing • Packaging • Value added amenities or services • Service area demographics • Tax investment versus cost recovery goals • Use of alternative funding 56 Q 65B-60 APPENDIX E: SANTA ANA SERVICE PORTFOLIO MATRIX Santa Ana - Service Portfolio - Master Category of Service/Type of Service Fit Financial WPeelty Me r ket Fos Rion Ahernati� Coverage Provision Strategy cased Fnor High Low strcrtg weak nigh may Private Lessons Film Permits Film Permits - Public x x x x Film Permits - Student/Public x x x x Film Permits - Private (may include student - no fees) x x x x Concessions and Vending Bean Sprouts Cafe - Zoo FOSAZ Concessions A,roccoments Park Carnivals Vendor agreement Blueray -Aquatics agreement MatchPoint Tannic Academy - Cabrillo Tennis Center Special Event Services - Permitted -Private Permits -Athletic Fields and Stadium Facility Reservations (DYSC, Stadium, Willard) Field Park Reservations Equipment Rentals Events Trailer x x x x Showmobile x x x x Adult Classes and Sports Aerobics x x x x Collaborate or Divest Ceramics x x x x Complementary Development Creative Drawing Collaborate or Divest Creative Drawing& Illustration Karate Do Kcal Mindfulness & Mediation x x x x Collaborate or Divest Salsa Classes xxxxA xxx 1xxxxA Social Ballroom & Line Dancing Tennis - Adult Beginners Toning w/ Silvia =xxx Wire Art & Jewelry �7 65B-61 r-'F `''P IrC Santa Ana - Service Portfolio - Master yoga -Chair x x x x Yoga -Gentle x x x x Yoga -Hatha x x x x yoga -Introduction to (2 site) x x x x Zomba Latin Fitness x x x x Collaborate or Divest Zomba w/ Laverne (2 sites) x x x x Complementary Development Zomba w/Maria x x x x Complementary Development Zomba w/Raquel x x x x Affirm Mark t Position Zomba w/Silvia x x x x A rom Mar at Position All Ages Classes and Sports Brain Wellness -Family x x x x Clay -Family x x x x Complementary Development Danza Folklorico x x x x Complementary Development Guitar - Basic x x x x Complementary Development Guitar - Intermediate x x x x Complementary Development Judo Jujitsu x x x x Advance Market Position Karate Do Kiel (2 sites) x x x x Affirm Market Position Karate-TKK x x x x Complementary Development Martial Arts (2 sites) x x z x Complementary Development Mindfulness Connecting Mind &Body x x x x Music-Dosis Piano &Guitar x x x x Complementary Development PRIDE Program x x x x Zomba (RW) x x x x Complementary Development Senior Services Partnerships BEC/HICAP x x x x Complementary Development Medical Assistance x x x x Complementary Development Senior Legal Aid x x x x Complementary Development Youth Leagues Baseball -Co-Ed Rookie x x x x Complementary Development Basketball -Boys x x x x Complementary Development Basketball - Girls x x x x Complementary Development Flag Football -Co-Ed x x x x Complementary Development Youth School Based Programs 0 ir sse-ss (D Santa Ana - Service Portfolio - Master Education Program (Zoo -school based) x x x x OffsRe Program (Zoo school based) x x x x Permits Parks- Picnic Reservations x x x x Invest, Collaborate, or Divest Rentals (Public) Plaza Calle Cuatro (Batres) x x x x Rentals (Private) El Salvador Center x x x x Garfield Community Center x x x x Jerome Center x x x x Lawnbowling Clubhouse x x x x Memorial Center x x x x Collaborate or Divest Roosevelt -Walker Community Center x x x x Salgado Center x x x x Santa Ana Senior Center x x x x Santa Anita Center x x x x Collaborate or Divest Southwest Senior Center x x x x Fisher and Santiago Cabins x x x x Rentals (NOrrPlofR & Inter -Agency) Boxing Tournaments x x x x Advance Market Position Karate Tournaments(Recreation Classes) x x x x Affirm Market Position Neighborhood Associations x x x x Complementary Development FOSAZ Rentals x x x x FOSAZ Special Events (move to Tier 3 nonprofit rentals) x x x x Camps and Afterschool Programs After School Adventures Program(ASA) x x x x Complementary Development Overnight Camps x x. x x Complementary Development Summer Day Camp(6 sites) x x x x Complementary Development Sari AllAges x x x x Admissions - Special Facilities General Zoo Admission x x x x Senior Grant Funded Services Senior Mobility Program x x x x Complementary Developmem gul 59 65B-63 r-'= 0 Santa Ana - Service Portfolio - Master Youth Classes and Sports Adventures with Clay x x x x Complementary Development Art for Kids(RW) x x x x Complementary Development Art Club III x x x x Complementary Development Badminton x x x x Complementary Development Ballerinas - Star x x x x Complementary Development Ballet(RW) x x x x Complementary Development Ballet- Classical(2 sites) x x x x Ballet Folklorim-Girl Scouts x x x x Baile Folklorim Advanced (Memorial) x x x Complementary Development Ballet - Star (2 sites) x x x x Complementary Development Cartooning Fundamentals Cheerleading x x x x Complementary Development Curious George Jr Workshop x x x x Banta Polklorim x x x x Gymnastics -Acrobatic x x x x Complementary Development Gymnastics -GStar Tumbling x x x x Complementary Development Hip HOP(2 sites) x x x x If You Give A Mouse A Cookie x x x x Karate Do TKK x x x x Collaborate or Divest Kayaking Program x x x x Complementary Development Multi Sport(3-Sport) x x x x Rork Out! Workshop Soccer Skills x x x x Taekwondo(Novella) x x x x Complementary Development TennisBeginnersx x x x Complementary Development Tennis -Intermediate x x x x Complementary Development TennisAdvancedx x x x Complementary Development Zomba - Kids x x x x Complementary Development Preschool Classes & Sports Ballet and Creative Dance - Kids Complementary Development Creative Dance (Memorial) Complementary Development Gymnastics -G-Star Parent-N-Me x x x x Complementary Development 60 Q 65B-64 )mil. Santa Ana - Service Portfolio - Master Pre -School (Corbin Center) Agreements (non-profit) Community Action Partnership of Orange County x x x x Complementary Development Corbin Family Resource Center x x x a Complementary Development TKO Boxing Program x x x x Complementary Development Special Event Services - Permitted -Open to the public Special Event Permits (Large scale events) x x x x park& Facility Use (monitored) Work Stutl ll otems/Community Service Internship Program x x x x Volunteer Program Volunteer Program x x x x Senior Activities Advance Care Planning Seminar x x x x Asian American Social Club x x x x Billiards Beading and Origami x x x x Bingo Bingo- Loterfa(Mexican Bingo) x x x x Cards/Dominoes Chair Exercise Chinese Opera x x x x Choir and Guitar Dance for Fitness x x x x Elder Issues Seminar Excursions - Sen Gardening Class x x x x Guitar Class Healthy Aging Seminar x x x x Holidays Around The World Home Safety For Adults x x x x Knitting x x x x Lunch Prorani-Senior •x �1 65B-65 r-'= G) Santa Ana - Service Portfolio - Master Monthly Special Events x x x. x Music Class x x x x Line Dancing x x x x Quilting Club x x x x Sewing and Fashion x x x x Social Science -CA History x x x x Table Tennis x x x x Tai Chi x x x x Technalogy Class x x x x Walking Club x x x x Watercoloring x x x x Yoga x x x x Yoga - Chair x I I x x I x Zomba Gold Class x x x x Santa Ana College Classes and Seminars for Seniors x x x x Special Events(Open to Public) Fiestas Patrias Festival x x x xAdvance Market Position Fourth of July Celebration x x x x Advance Market Position Movies in the Parks x x x aborate, or Divest Plaza Navidena x x x Santa Ana SK Run x x x. *Invest, Shakespeare in the Park x x x Park and Faility Use (Monitored) Creek Side Story Time x x x x Collaborate. or Divest Habitat Restoration Days x x x x Nature Walks x x x x Watershed Clean-up Days x x x x Wellness Program (Community Gardens) x x x x Park & Facility Use (non -monitored) REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 15, 2020 TITLE: PUBLIC HEARING —ADOPT A RESOLUTION TO AMEND THE FORECLOSURE, ABANDONED AND VACANT PROPERTY REGISTRATION FEE TO $ 1,232.85 FOR SERVICES IN THE FISCAL YEAR 2020-21 MISCELLANEOUS FEE SCHEDULE REGARDING THE REGISTRATION AND MAINTENANCE OF THE ABANDONED AND VACANT PROPERTIES 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 /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Adopt a resolution to adjust the fee for the Foreclosure, Abandoned and Vacant Property Registration Fee to $1,232.85 in the Fiscal Year 2020-21 Miscellaneous Fee Schedule for the Planning and Building Agency. DISCUSSION A recent Code Enforcement survey conducted in June 2020 found approximately 175 properties vacant and abandoned identified as privately owned and not recognized as defaulted or foreclosed mortgage properties. This included a number of historic properties allowed to remain vacant without proper maintenance, monitoring, or security, leading to trespassing, vandalism, delinquency, arson, and destruction. On August 18, 2020, the City Council adopted Ordinance No. NS-2993 to amend Article X of Chapter 8 of the Santa Ana Municipal Code regarding the registration and maintenance of abandoned, vacant, and historical properties. Section 8-1989 of the Santa Ana Municipal Code authorizes an administrative fee related to the registration, inspection, and enforcement regarding such abandoned, vacant, and historical properties, that is to be established by resolution. Based on analysis and evaluation of staff time, equipment, and materials, this fee is recommended as set forth below, adjusted to include third party services monthly inspections of registered foreclosed, abandoned, and vacant properties, and city costs to administer and manage the program. This amended fee shall become effective immediately and shall be incorporated into the City's Uniform Schedule of Miscellaneous Fees for Fiscal Year 2020-21, as updated annually. 75A-1 Foreclosure, Abandoned, and Vacant Properties Fee Resolution September 15, 2020 Page 2 FISCAL IMPACT There are no adverse economic impacts to the City if this resolution is adopted by the City Council. The ordinance provides that the City may impose a registration fee adopted by resolution. The cost of the registration will be included in the City's Miscellaneous Fee Schedule and fees in the amount of $1,232.85 will be collected annually for each registered property. Similar to the PROCHAMPS (a digital property registration platform) cost for the administration and collection of the Foreclosure Registration Program, PROCHAMPS annual flat rate registration of $100 will continue for additionally identified vacant or abandoned properties such as historic properties. PROCHAMPS will issue a property status report and a check for funds collected from this program to the City on a monthly basis. The original fee of $513, implemented over three years ago, would account for two (2) annual inspections and only addressed defaulted and foreclosed properties. With the changes in the Municipal Code to requiring monthly inspection for all registrable properties, the hours dedicated to inspections and the number of inspections per year will increase significantly. The City will now be inspecting all registerable properties on a monthly basis. This significantly increases the annual staff time from 5.5 hours to 18.5 hours. In addition, regulatory requirements under the ordinance necessitates additional time and involvement by the Code Enforcement Supervisor as well as Code Enforcement Manager, to review these properties, especially those with more complex property issues. The funds received will be deposited in the Foreclosure, Abandoned, and Vacant Properties Registration Program (Account No. 01116002-53628). The Miscellaneous Fee Request Modification Form is provided to reflect the increased fee amount for this program (Exhibit 1). Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Minh Thai, Executive Director/Planning and Building Agency Exhibits: 1. Resolution 2. Modify Miscellaneous Fee Request Form and calculations 75A-2 LS 9.15.20 RESOLUTION NO. 2020-xx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING THE FORECLOSURE, ABANDONED AND VACANT PROPERTY REGISTRATION FEE IN ACCORDANCE WITH CHAPTER 8, ARTICLE X OF THE SANTA ANA MUNICIPAL CODE BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. On August 18, 2020, the City Council of the City of Santa Ana amended Chapter 8, Article X of the Santa Ana Municipal Code regarding the registration and maintenance of abandoned, vacant and defaulted mortgage property by adopting Ordinance No. NS-2993. B. Section 8-1989 of the Santa Ana Municipal Code authorizes an administrative fee related to the registration, inspection and enforcement regarding such abandoned, vacant and defaulted mortgage property that is to be established by resolution. C. Based on analysis and evaluation of staff time, equipment, and materials, this fee is recommended to be adjusted due to the amendment of the Code which requires additional responsibilities, monitoring, and enforcement by the City. The amended fee is set forth below, adjusted to include third party monthly services, monthly inspections of abandoned, vacant and historic properties, as well as additional costs to assist and manage the program to promote the health, safety and welfare of the community. D. This amended fee was presented to the City Council at a duly noticed public hearing on September 15, 2020, shall become effective immediately, and shall be incorporated into the City's Uniform Schedule of Miscellaneous Fees for Fiscal Year 2020-21, as updated annually. Section 2. The City Council hereby amends the annual administrative fee relating to the registration, inspection and enforcement regarding such abandoned, vacant and defaulted mortgage property. The fee shall include both City staff costs and third party costs and is hereby amended from $513 to $1,232.85 per property. Section 3. Without further action of the City Council, the above -referenced fee amended by this Resolution shall be incorporated into the City's Uniform Schedule of Resolution No. 2020-xx Page 1 of 2 75A-3 LS 9.15.20 Miscellaneous Fees for Fiscal Year 2020-21 and updated annually as part of the annual budget adoption process. 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 12020. Miguel A. Pulido Mayor /_19U:ti]�/��LF�CH7i7:7�i1� Sonia R. Carvalho, City Attorney By: &ey (- ( Lisa E. Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby certify the attached Resolution No. 2020 - to be the original resolution adopted by the City Council of the City of Santa Ana on 12020. Date: Clerk of the Council City of Santa Ana Resolution No. 2020-x Page 2 of 2 75A-4 EXHIBIT 2 Miscellaneous Fee Request The following information is required by Departments to request the establishment of a new Miscellaneous Fee or an increase/decrease of an existing Miscellaneous Fee beyond the established rate. Department Information Department Planning and Building Agency Miscellaneous Fee Title: Foreclosure, Abandoned, and Vacant Properties Registration Program Fee Contact Person: Sona Mooradian / Alvaro Nunez Email: smooradian@santa-ana.org / anunez@santa-ana.org Phone: x2712 / 5871 Proposal Information Proposed Effective Date: September 15, 2020 Proposed/Current Account Number: 01116002-53628 Proposed Action: ❑ Establish a new fee in the amount of ❑■ Increase fee amount from $513 to $1,232.85 ❑ Decrease fee amount from to ❑ Other (Please Explain) Provide a brief description of the basis for the proposed, increased, or decreased fee. We are increasing the Foreclosure, Abandoned, and Vacant Properties Registration Program Fee. This increase fee amount from $513 to $1 ,232.85 is due to the increased amount of staff hours necessary for each project. The increased hours include Code Enforcement Officer, Code Enforcement Supervisor, Senior Office Assistant time and adding .05 hours for Code Enforcement Manager time for the complex property issues. If this is a new fee, explain how these expenses have been paid in past years. This is not a new fee. 1 75A-5 If this is a new fee, what are the projected annual revenues? N/A If this is a request to increase an existing fee, what has changed to cause the current adjustment rate to insufficient? This increase fee amount is due to the increased amount of staff hours necessary for each project. The new fees include 18.5 staff time dedicated for Foreclosure. Abandoned. and Vacant Properties. Previously 5.5 hours were only dedicated to foreclosed properties. In addition on August 18. 2020 City Council adopted an ordinance amending chapter S. Article X of the Santa Ana Municipal Code relating to the registration and maintenance of abandoned. vacant and/or defaulted mortgage properties: to add historic properties and provide additional responsibilities and enforcement options by the City. Are there any legal limitations this fee must adhere by (i.e. statues)? N/A On the attached spreadsheet, provide a detailed breakdown of the fee calculation proposed, include all projected expenses. For Budget Office Use Only: ❑ Denied ❑ Approved Approval: Name Title Date r7 75A-6