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Home My WebLink About FULL PACKET_2011-08-01MINUTES OF THE SPECIAL JOINT MEETING OF THE CITY COUNCIL AND THE COMMUNITY REDEVELOPMENT AGENCY OF THE CITY OF SANTA ANA, CALIFORNIA CALLED TO ORDER ATTENDANCE JUNE 22, 2011 COUNCIL CHAMBER 22 CIVIC CENTER PLAZA, SANTA ANA, CA 7:40 A.M. COUNCILMEMBERS Present: MIGUEL PULIDO, Mayor CLAUDIA C. ALVAREZ, Mayor Pro Tern CARLOS BUSTAMANTE MICHELE MARTINEZ COUNCILMEMBERS Absent: P. DAVID BENAVIDES VINCENT F. SARMIENTO SAL TINAJERO STAFF Present: PAUL M. WALTERS, Interim City Manager JOSEPH STRAKA, Interim City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS • Roy Alvarado, inquired as to need for Special Meeting and noticing provided. *Council explained need for action before next regularly scheduled meeting and proper noticing as legally required. JOINT ITEM AMENDED DISPOSITION AND DEVELOPMENT AGREEMENT AND ASSIGNMENT AND ASSUMPTION AGREEMENTS FOR CREVIER BMW AND MINI AT THE SANTA ANA AUTO MALL MOTION: Adopt a resolution making certain findings with respect to an Amended Disposition and Development Agreement for Crevier BMW and Mini at the Santa Ana Auto Mall. RESOLUTION NO. 2011 -047 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONSENTING TO ASSIGNMENT OF A PRIVATE DISPOSITION AND DEVELOPMENT AGREEMENT AND APPROVING AN AMENDMENT TO THE PRIVATE DISPOSITION AND DEVELOPMENT AGREEMENT BETWEEN THE COMMUNITY REDEVELOPMENT AGENCY OF MINUTES OF SPECIAL MEETING 1 0A -11 JUNE 22, 2011 THE CITY OF SANTA ANA AND FAG SANTA ANA 61, INC. MAKING CERTAIN OTHER FINDINGS IN CONNECTION THEREWITH MOTION: Bustamante SECOND: Alvarez VOTE: AYES: Alvarez, Bustamante, Martinez, Pulido (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Benavides, Sarmiento, Tinajero (3) ADJOURNED — 7:46 A.M. Maria D. Huizar, Clerk of the Council MINUTES OF SPECIAL MEETING 1 OA_Z JUNE 22, 2011 MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA JULY 18, 2011 CLOSED SESSION MEETING The Closed Session meeting was relocated to Conference Room 147, adjacent to the Council Chamber dais, to facilitate transition to the regular City Council meeting. CALLED TO ORDER COUNCIL CHAMBER, CONFERENCE ROOM 147 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:05 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL PULIDO, Mayor CLAUDIA C. ALVAREZ, Mayor P.M.) CARLOS BUSTAMANTE MICHELE MARTINEZ VINCENT F. SARMIENTO SAL TINAJERO (5:30 p.m.) COUNCILMEMBERS Absent: P. DAVID BENAVIDES Pro Tern (5:15 STAFF Present: PAUL M. WALTERS, Interim City Manager JOSEPH STRAKA, Interim City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS - None CLOSED SESSION ITEMS 1A CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Government Code Section 54956.9(a) Coalition for Accountable Government Ethics vs COSA CITY COUNCIL MINUTES 1 JULY 18, 2011 1 0B -1 1B CONFERENCE WITH LEGAL COUNSEL -- ANTICIPATED LITIGATION pursuant to Government Code Section 54956.9(b) — One (1) anticipated matter.* *Mayor Pulido and Councilmember Sarmiento indicated for the record that they had a conflict of interest and left the room at 5:50 p.m. and did not return to the meeting. 1C CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6 Agency Negotiators: Personnel Services Executive Director, Kathie Gonzalez Employee Organizations: Santa Ana Police Officers Association (POA) Santa Ana Police Management Association (PMA) Santa Ana Firemen's Benevolent Association (FBA) Santa Ana Fire Management Association (FMA) Service Employees' International Union (SEIU) Full -Time Employees Service Employees' International Union (SEIU) Part-time Civil Service Employees Confidential Association of Santa Ana (CASA) Santa Ana Management Association (SAMA) Agency Negotiator: Interim City Manager, Paul M. Walters Employee Organizations: Executive Management (EM) 1 D PUBLIC EMPLOYEE EMPLOYMENT AND APPOINTMENT pursuant to Government Code Section 54957(b)(1) Title: City Attorney; and City Manager CLOSED SESSION REPORT — See Item 19A. for Report. ADJOURNED THE CLOSED SESSION MEETING AT 6:13 P.M. AND CONVENED TO THE REGULAR OPEN MEETING CITY COUNCIL MINUTES 2 JULY 18, 2011 1 0B -2 REGULAR OPEN SESSION CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:14 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL PULIDO, Mayor CLAUDIA C. ALVAREZ, Mayor Pro Tern CARLOS BUSTAMANTE MICHELE MARTINEZ VINCENT F. SARMIENTO SAL TINAJERO (6:20 p.m.) COUNCILMEMBERS Absent: P. DAVID BENAVIDES STAFF Present: PAUL M. WALTERS, Interim City Manager JOSEPH STRAKA, Interim City Attorney MARIA D. HUIZAR, Clerk of the Council PLEDGE OF ALLEGIANCE MAYOR PULIDO INVOCATION COUNCIL RECESSED AGENCY, FOLLOWE D COUNCIL MEETING PRESENT. Barry Summers, Police Chaplain AT 6:17 P.M. TO THE COMMUNITY REDEVELOPMENT BY THE HOUSING AUTHORITY MEETING; THE CITY RECONVENED AT 6:18 P.M. WITH SAME MEMBERS *Mayor Pulido declared a conflict of interest on Item 12A and abstained; he left the meeting at 6:19 p.m. and did not return. Mayor Pro Tern Alvarez assumed the Chair and presided over the meeting. CITY COUNCIL MINUTES 3 JULY 18, 2011 1 0B -3 PUBLIC COMMENT • Bill Cunningham, President of the Santa Ana Police Foundation, thanked the Police Department and Council for support and highlighted efforts made since inception in September 2009. • Norma Aronne, property owner of 930 N. Grand Avenue, concerned with current zoning and inability to develop that property with current standards; seek assistance. • Ruben Puebla, of Pachanga Inc., pleased with security and maintenance services, and events hosted by Downtown Inc. • Allen Witten, of Orange County Department of Education ACCESS Program, asked public and local businesses to support their continued fundraising efforts and presented Councilwoman Michele Martinez with Certificate of Recognition for her assistance. • Carter Dewberry, resident and business owner, spoke in support of Downtown Inc. • Nazley Restrepo, representing Orange County Bar Foundation, spoke in support of Downtown Inc. and assistance they have received with their fundraising efforts. • George Mendoza, thanked Council for supporting his business; also spoke in support of Downtown Inc. and the progress taking place in Downtown Santa Ana. • Archer Alstaetter, spoke in support of Downtown Inc. and facilitation efforts they provide; successful Harvey Milk Day in Downtown; and invited all to attend the Summer Concert Series in Downtown on Friday nights for 10 weeks. • Jeff Jan, of Chapter One Restaurant, spoke in support of Downtown Inc. and their focus to bring businesses into area. • Joey Mendes, of Proof Bar, spoke in support PBID and Downtown Inc. • Sam Romero, noted longtime family roots in Santa Ana, expressed concern with alleged move to change businesses and the people to be serviced. • Ryan Chase, President of Downtown Inc., summarized purpose of PBID's; efforts made by Downtown Inc. including added safety; held meetings with members wanting dissolution of PBID, but no resolution; Downtown Inc. proposing modified boundaries to focus on Downtown core and no increase in assessment. • Fina Chaves, reiterated support for the disestablishment of PBID (Community Management District). • Irving Chase, support of Downtown Inc. and proposed reboundary; his business focus and change is market drive to broaden appeal into Downtown; key issue is to improve Downtown; urged Council to make decision on PBID. • Ralph Allen, opposed to PBID and establishment procedures; recommends Council disband. • Barbara Deroche, representing Country Garden Caterers, support disestablishment of PBID; not receiving benefits offered to other businesses. • Jay Meehan, was originally opposed to PBID, but has since changed; need leadership to make decision. • Mike Paxton, support of Downtown Inc.; urged Council to make decision on the matter. *Mayor Pro Tern Alvarez noted for the record that the City Council had received a letter from Herb Rose and also that approximately 26 people were currently standing in the room holding signs supporting disestablishment of PBID. CITY COUNCIL MINUTES 4 JULY 18, 2011 1 0B -4 CLOSED SESSION REPORT - Nothing to report. CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 31B with the following modifications: • Councilmember Sarmiento abstained on Items 25L and 25M (due to campaign contribution limits); • Councilmember Martinez pulled Item 31 B for separate discussion; • Councilmember Sarmiento abstained on Item 12A (due to a potential conflict of interest and did not participate in the discussion /consideration); • Mayor Pro Tern Alvarez pulled Item 12A for separate discussion; and • Mayor Pro Tern Alvarez voted "No" on Item 19C. MOTION: Martinez SECOND: Tinajero VOTE: AYES: Alvarez, Bustamante, Martinez, Sarmiento, Tinajero (5) NOES: None (0) ABSTAIN: None (0) MINUTES 10A MINUTES FROM THE REGULAR MEETING ON JUNE 20, 2011 - Clerk of the Council Office MOTION: Approve Minutes. 10B MINUTES FROM THE SPECIAL JOINT MEETING OF THE CITY COUNCIL AND COMMUNITY REDEVELOPMENT AGENCY ON JUNE 22, 2011 - Clerk of the Council Office *June 22, 2011 City Council minutes to be considered on the August 1, 2011 City Council Agenda CITY COUNCIL MINUTES 5 JULY 18, 2011 1 0B -5 MOTION: Approve Minutes. 10C MINUTES FROM THE SPECIAL CLOSED SESSION MEETING ON JULY 13, 2011 - Clerk of the Council Office MOTION: Approve Minutes. NOTICE OF PUBLIC HEARINGS Legal Notice published in the Orange County Register on July 9, 2011 and notices mailed to business and property owners. Council discussion ensued. Mayor Pro Tern Alvarez noted that she has asked City Attorney for legal opinions, and will be sending additional questions tomorrow pertaining to different alternatives, including different maps for consideration; concerned with assessment on property tax role; have asked in the past for process to modify and also disestablish the PBID; process for noticing business /property owners; meetings with groups in support and opposition to PBID — OC Human Relations Commission had tried to mediate meetings; leadership needed to make decision, but need the fact and legal questions answered before; Downtown looking great and progress being made due to vision of prior City Council's including establishment of Artist Village; question how to manage PBID; encouraged public and City Council to provide potential maps of redistricting to the City Clerk's Office by Thursday, July 21 st at 5:00 p.m.; asked the following questions: Can we have a separate agency manage the PBID money? We need full audit of funds; concerned with bylaws and membership composition; and is Downtown Inc. in compliance with Brown Act? Councilmember Tinajero commented on need to have all types of businesses benefit from PBID; events such as Harvey Milk Celebration taking place in the Downtown; programming needs for all merchants and patrons need to be considered. Councilmember Bustamante stated that change is constant; Downtown Inc. along with businesses are partners for progress. CITY COUNCIL MINUTES 6 JULY 18, 2011 1 0B -6 Councilmember Martinez noted that zoning changes have allowed mixed uses in Downtown and added to success of area; support continuance of item to allow for additional proposed maps to be submitted for consideration; and asked why $230,000 from DSABA were transferred to Downtown Inc. upon establishment? MOTION: Continue consideration of matter to the August 1, 2011 City Council Meeting. MOTION: Alvarez VOTE: AYES: NOES: ABSTAINED AND NOT PRESENT: SECOND: Tinajero Alvarez, Bustamante, Martinez, Tinajero (4) None (0) Pulido *, Sarmiento (2) ABSENT: Benavides (1) *Pulido abstained for the record, although he had left the meeting prior to the item being considered. BOARDS / COMMISSIONS / COMMITTEES 13A APPOINTMENT — HISTORIC RESOURCES COMMISSION - NOMINATED BY MAYOR PULIDO AS THE CITY -WIDE REPRESENTATIVE FOR A FULL TERM EXPIRING DECEMBER 11, 2012 — Clerk of the Council MOTION: Appoint. Residing Name Board /Commission Ward Phil Schaefer Historic Resources Commission 6 (Replace Seeley) FINAL TRACT /PARCEL MAP NOTIFICATIONS Pursuant to Section 34 -183 of the Santa Ana Municipal Code, the City Engineer has received this Final Map and is in the process of reviewing the map for final approval. The City Engineer shall approve or disapprove this map within 10 days of the City Council Meeting. 17A FINAL PARCEL MAP NO. 2006 -115 — 1316 -1320 NORTH KING STREET MOTION: Receive and file. CITY COUNCIL MINUTES 7 JULY 18, 2011 1 0B -7 MISCELLANEOUS ADMINISTRATION 19A CLOSED SESSION REPORT — Nothing to report. 19B EXCUSED ABSENCES — Clerk of the Council Office 19C! MOTION: Excuse Councilmember David Benavides from the City Council. Community Redevelopment Agency, and Housing Authority Meetings. MOTION: Approve the requests for the destruction of obsolete records from various City departments in accordance with the retention schedule outlined in City Council Resolution 2006 -045. *Mayor Pro Tem Alvarez voted "No" on Item 19C. 19D QUARTERLY REPORT OF CONTRACTS ENTERED INTO BY THE CITY MANAGER - Finance & Management Services MOTION: Receive and file the Quarterly Report of Contracts entered into between October 1, 2010 and December 31, 2010, valued at $25,000 and less. BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A WORKFORCE INVESTMENT ACT CALIFORNIA NEW START GRANT - Community Development Agency MOTION: Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2012 -03 — Recognizing additional revenues in an amount of $45,566 from the State of California for Prison - to- Employment Program activites. CITY COUNCIL MINUTES 8 JULY 18, 2011 1 0B -8 SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A SPEC. NO. 11 -036 - STREET SWEEPERS - (Public Works Agency) - Finance & Management Services Continued from the June 20, 2011 City Council Meeting by a vote of 4 -3 (Alvarez, Martinez, Tinajero, no). MOTION: Staff recommends continuance of matter to the August 1, 2011 City Council Meeting. MOTION: Award in accordance with Request for Council Action. (Items 22B through 22F) 22B SPEC. NO. 11 -019 - UNIFORM, MAT AND TOWEL SERVICE - Award a contract to G &K Services, Inc. for a three -year period with provision for one three -year renewal, in an annual amount not to exceed $43,000 - Finance & Management Services 22C SPEC. NO.08 -014 - JANITORIAL SUPPLIES - Renew the contract with Kathco Products for a one -year period in a total annual amount not to exceed $45,000 - Finance & Management Services 22D SPEC. NO. 09 -004 - HIGH DENSITY POLYETHYLENE (HDPE) FUSIBLE PIPE - Renew the contract with ISCO Industries, LLC for a one - year period in an annual amount not to exceed $35,000 (Public Works Agency) - Finance & Management Services 22E SPEC. NO.09 -029 - ASPHALT CONCRETE MATERIALS - Renew the contract with Vulcan Materials Co. for a one -year period in an annual amount not to exceed $45,000 (Public Works Agency) - Finance & Management Services 22F SPEC. NO. 09 -036 - TRANSPORTATION SERVICES FOR THE SENIOR CENTERS - Renew the contract with JFK Transportation Company for a one -year period in an annual amount not to exceed $40,000 (Parks, Recreation & Community Servcies Agency) - Finance & Management Services CITY COUNCIL MINUTES 9 JULY 18, 2011 1 0B -9 AGREEMENTS 25A TREE MAINTENANCE SERVICES - Public Works Agency, Parks, Recreation & Community Servcies Agency, and Community Development Agency Continued from the June 20, 2011 City Council Meeting by a vote of 7 -0. MOTION: Staff recommends continuance of matter to the August 1, 2011 City Council Meeting. MOTION: Authorize the City Manager and Clerk of the Council to execute the following agreements, subject to non - substantive changes approved by the City Manager and City Attorney and /or actions as noted on the Request for Council Action report. (Items 25B through 25M) 25B AGMT NO. 2011 -176 - EMERGENCY LIGHTING AND COMMUNICATION EQUIPMENT - With 911 Vehicle in an annual amount of $30,000. - Fire Department 25C AGMT NO. 2011 -177 - INFORMATION TECHNOLOGY SERVICES FOR HAZARDOUS MATERIALS ELECTRONIC REPORTING PROJECT - Execute an amendment with eCompliance Inc. in an amount not to exceed $30,000 - Fire Department 25D AGMT NO. 2011 -178 — CLEANING SERVICES AT THE CIVIC CENTER — Execute an amendment with Hydroblast Exterior Cleaning Company, LLC in an amount of $78,140 (Paid for by Civic Center Authority) - Parks, Recreation & Community Services Agency 25E AGMT NO. 2011 -179 - FOUNTAIN MAINTENANCE SERVICES IN THE CIVIC CENTER PLAZA - Execute an amendment with Deckside Pool Service in an amount of $19,620. (Paid for by Civic Center Authority) - Parks, Recreation & Community Services Agency and Community Development Agency 25F AGMT NO. 2011 -180 - WIRELESS DATA SERVICES AND EQUIPMENT - Execute an amendment with Verizon Wireless Data Communications Servcies extending the term up to an additional 18 months, through March 30, 2013, and increasing compensation by $115,00, for a total not to exceed an amount of $265,000 - Finance & Management Services CITY COUNCIL MINUTES 10 JULY 18, 2011 1 0B -10 25G AGMT NO. 2011 -181 — VIDEO SEWER INSPECTION SERVICES - Execute an amendment with Houston - Harris PCS Inc., in an amount not to exceed $300,000 (Paid for by Santiago Sewer Service Fund) - Public Works Agency 25H AGMT NO. 2011 -182 - ANIMAL CARE SHELTER SERVICES - With the County of Orange for a one -year period in an amount not to exceed $903,470 - Police Department 251 AGMT NO. 2011 -183 - ANIMAL LICENSE FEE COLLECTION PROGRAM - Execute an amendment with Civic Collections, Inc. in an amount not to exceed $100,000 for an additional one -year term - Police Department 25J AGMT NO. 2011 -184 - REGIONAL INTEROPERABILITY /FIRE COMMUNICATIONS - With Fatpot Technologies, LLC in a fiscal year amount not to exceed $192,000 - Fire Department 25K JANITORIAL SERVICE — Finance and Management Services • AGMT NO. 2011 -185 - Execute an amendment with Pacific Building Care, Inc. for janitorial services at the Depot at Santa Ana in an annual amount not to exceed $160,000 for a one -year term. Additionally, include janitorial services at the Santa Ana Main Library, Newhope Learning Center, Santa Ana PAAL (Police Athletic & Activity League) program facility and 13 park centers in an annual amount not to exceed $200,000 for a one -year term. • AGMT NO. 2011 -186 - Execute an amendment with Bell Building Maintenance Company for janitorial services at Santa Ana City Hall, Ross Annex, and Corporate Yard in an amount not to exceed $248,000 for a one -year term. *Councilmember Sarmiento abstained on Item 25L due to a campaign contribution. CITY COUNCIL MINUTES 11 JULY 18, 2011 1 0B -11 *Councilmember Sarmiento abstained on Item 25M due to a campaign contribution. MISCELLANEOUS - BUDGET 29A INSURANCE RENEWALS - Personnel Services Agency MOTION: 1. Approve the City's continued membership in the Big Independent Cities Excess Pool from July 1, 2011 to July 1, 2012 at an estimated premium cost not to exceed $1,250,000. 2. Approve the City's continued participation in the Public Entity Property Insurance Program from July 1, 2011 to July 1, 2012 at an estimated premium cost not to exceed $360,500. 3. Approve the City's continued participation in the California State Association of Counties — Excess Insurance Authority's Crime Bond Program from July 1, 2011 to July 1, 2013 for an estimated two -year pre -paid premium not to exceed $17,500. LAND USE MATTERS DEEDS — TRANSFER OF PROPERTY 30A QUITCLAIM 1101 E. CHESTNUT AVENUE TO OCTA FOR THE AT- GRADE RAIL SAFETY ENHANCEMENT PROJECT (PROJECT 091745) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a quitclaim deed relinquishing the City's fee interest in 1101 E. Chestnut Avenue. CONDITIONAL USE PERMIT/VARIANCES 31A CONDITIONAL USE PERMIT NO. 2011 -14 TO ALLOW A 60 -FOOT HIGH MONOPINE WIRELESS FACILITY FOR METRO PCS AT 601 SOUTH SANTA FE STREET - ROYAL STREET COMMUNICATIONS, APPLICANT - Planning and Building Agency Recommended action approved by the Planning Commission on June 27, 2011, by a vote of 5 -0 (Nalle and Turner absent). CITY COUNCIL MINUTES 12 JULY 18, 2011 1 0B -12 MOTION: Receive and file the staff report approving Conditional Use Permit No. 2011 -14 as conditioned. Recommended action approved by the Planning Commission on June 13, 2011, by a vote of 6 -0 (Alderete absent). Councilmember Martinez commended staff for project; smart development. MOTION: Receive and file the staff report approving Variance No. 2011 -08 as conditioned. MOTION: Martinez VOTE: RESOLUTIONS AYES: NOES: ABSTAIN: ABSENT: SECOND: Bustamante Alvarez, Bustamante, Martinez, Sarmiento, Tinajero (5) None (0) None (0) Benavides, Pulido (2) * *END OF CONSENT CALENDAR ** BUSINESS CALENDAR ITEMS 55A ESTABLISH THE APPROPRIATION LIMIT OF THE CITY OF SANTA ANA FOR FY 2011 -12 (GANN LIMITS) - Finance & Management Services MOTION: Adopt a resolution. RESOLUTION NO. 2011 -040 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING THE APPROPRIATION LIMIT OF THE CITY OF SANTA ANA FOR FISCAL YEAR 2011 -2012 CITY COUNCIL MINUTES 13 JULY 18, 2011 1 0B -13 MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Alvarez, Bustamante, Martinez, Sarmiento, Tinajero (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Benavides, Pulido (2) 55B ACCEPT STATE GRANT FUNDING TO PROVIDE WATER SERVICE TO FORMER CUSTOMERS OF CATALINA STREET PUMP OWNERS ASSOCIATION - Public Works Agency MOTION: Adopt a resolution. RESOLUTION NO. 2011 -041 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO ACCEPT STATE GRANT FUNDING, CONSTRUCT PUBLIC WATER SYSTEM IMPROVEMENTS AND PROVIDE SERVICE TO FORMER CUSTOMERS OF CATALINA STREET PUMP OWNERS ASSOCIATION MOTION: Tinajero SECOND: Sarmiento VOTE: AYES: Alvarez, Bustamante, Martinez, Sarmiento, Tinajero (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Benavides, Pulido (2) 55C ACCEPT STATE GRANT FUNDING TO PROVIDE WATER SERVICE TO FORMER CUSTOMERS OF DIAMOND PARK MUTUAL WATER COMPANY - Public Works Agency MOTION: Adopt a resolution. RESOLUTION NO. 2011 -042 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO ACCEPT STATE GRANT FUNDING, CONSTRUCT PUBLIC WATER SYSTEM IMPROVEMENTS AND PROVIDE SERVICE TO FORMER CUSTOMERS OF DIAMOND PARK MUTUAL WATER COMPANY CITY COUNCIL MINUTES 14 JULY 18, 2011 1 0B -14 MOTION: Bustamante SECOND: Sarmiento VOTE: AYES: Alvarez, Bustamante, Martinez, Sarmiento, Tinajero (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Benavides, Pulido (2) 55D CALIFORNIA EMERGENCY MANAGEMENT AGENCY (CAL -EMA) RESOLUTION TO AUTHORIZE INDVIDUALS FOR DISASTER RELIEF — Finance Management Services MOTION: Adopt a resolution. RESOLUTION NO. 2011 -043 - RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA DESIGNATING THE CITY MANAGER OR THE EXECUTIVE DIRECTOR OF FINANCE AND MANAGEMENT SERVICES OR THE FIRE CHIEF TO ACT AS AGENT FOR THE CITY WITH THE STATE OF CALIFORNIA OFFICE OF EMERGENCY SERVICES MOTION: Tinajero SECOND: Sarmiento VOTE: AYES: Alvarez, Bustamante, Martinez, Sarmiento, Tinajero (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Benavides, Pulido (2) 55E HOMELAND SECURITY GRANT PROGRAMS (2010 METROPOLITAN MEDICAL RESPONSE GRANT) - Fire Department MOTION: 1. Adopt a resolution. RESOLUTION NO. 2011 -044 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER AND THE FIRE CHIEF TO SUBMIT A GRANT CITY COUNCIL MINUTES 15 JULY 18, 2011 1 0B -15 APPLICATION TO THE STATE OF CALIFORNIA OFFICE OF EMERGENCY SERVICES FOR THE FY2010 METROPOLITAN MEDICAL RESPONSE SYSTEM GRANT PROGRAM 2. Authorize the City Manager and Clerk of the Council to execute the attached sub - grantee agreement subject to non - substantive changes approved by the City Manager and City Attorney. AGMT NO. 2011 -189 — With Orange County in the amount of $312,658, for the 2010 Homeland Security Grant Programs, Metropolitan Medical Response System grant. 3. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2012 -014 - Recognizing the 2010 Homeland Security Grant Programs, Metropolitan Medical Response System grant funds and appropriate the same into the 2010 Metropolitan Medical Response System grant expenditure account. MOTION: Tinajero VOTE: AYES: NOES: ABSTAIN: ABSENT: PUBLIC HEARINGS SECOND: Sarmiento Alvarez, Bustamante, Martinez, Sarmiento, Tinajero (5) None (0) None (0) Benavides, Pulido (2) 75A PUBLIC HEARING - RECOVERY OF UNCOLLECTED COSTS FOR ABATEMENT OF DANGEROUS AND ABANDONED BUILDINGS FOR FY 2010 -2011 - Planning and Building Agency Legal Notice published in the O.C. Reporter on July 8, 2011 and notices mailed on July 7, 2011. There was no staff report presentation. The Public Hearing opened at 7:45 p.m. There were no speakers or written communication received, and the hearing closed. MOTION: Adopt a resolution. CITY COUNCIL MINUTES 16 JULY 18, 2011 1 0B -16 75B RESOLUTION NO. 2011 -045 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA OVERRULING OBJECTIONS TO AND CONFIRMING THE COSTS OF SECURING AND DEMOLITION OF VARIOUS STRUCTURES DECLARED TO BE PUBLIC NUISANCES; MAKING, CONFIRMING AND LEVYING ASSESSMENTS FOR SUCH COSTS; AND ORDERING SUCH COSTS TO BE RECORDED WITH THE ORANGE COUNTY RECORDER MOTION: Bustamante SECOND: Sarmiento VOTE: AYES: Alvarez, Bustamante, Martinez, Sarmiento, Tinajero (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Benavides, Pulido (2) PUBLIC HEARING -WEED ABATEMENT PUBLIC NUISANCE REPORT FOR FY 2010 -2011 - Public Works Agency Legal Notice published in the O.C. Reporter on July 8, 2011 and notices mailed on July 7, 2011. There was no staff report presentation. The Public Hearing opened at 7:47 p.m. There were no speakers or written communication received, and the hearing closed. MOTION: Adopt a resolution. RESOLUTION NO. 2011 -046 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONFIRMING THE COSTS OF WEED, RUBBISH AND GARBAGE ABATEMENT: MAKING, CONFIRMING AND LEVYING ASSESSMENTS FOR SUCH COSTS; AND ORDERING A COPY THEREOF TO BE FILED WITH THE COUNTY AUDITOR, ASSESSOR AND TAX COLLECTOR MOTION: Bustamante SECOND: Tinajero VOTE: AYES: Alvarez, Bustamante, Martinez, Sarmiento, Tinajero (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Benavides, Pulido (2) CITY COUNCIL MINUTES 17 JULY 18, 2011 1 0B -17 COMMENTS 90A CITY MANAGER'S COMMENTS — None 90B CITY COUNCILMEMBER COMMENTS Councilmember Sarmiento: • Announced that City hosting Business Expo at Delhi Center at 10:30 a.m. tomorrow (July 19, 2011) to discuss incentives and explain the development and planning process to new and existing businesses; thanked staff for coordinating event; and • El Centro Cultural de Mexico had lease extended because of City staff assistance. Councilmember Martinez: • Thanked Councilmembers Benavides and Bustamante, and staff for 3`d of July Festivities; • Asked that Preferred Local Vendor /Contractor policy be placed on future agenda; policy would help keep dollars locally; • Asked staff to assist Delhi Center as much as possible with their financial needs; • Redistricting — urged residents to comment on proposed Congressional redistricting plan; important to keep Santa Ana in District 47. • Asked Executive Director of Parks and Recreation for an update on plaza at Fourth and French Streets; and • City Manager Recruitment/Search Forum on Thursday, July 28th at Southwest Senior Center at 6 p.m. hosted by Councilmember Benavides and self. Councilmember Bustamante: • 3`d of July event successful; no general funds used; thanked staff for hard work. Councilmember Tinajero: • Congratulated Councilmembers and staff for successful 3`d of July event, • Thanked the Fire department and firefighters for efforts in relation to 4th of July holiday; • Congratulated Police Department for coordinating efforts with FBI and U.S. Marshalls in apprehension of several members; and • Commented on recent documentary by daughter of former Speaker of the House Pelosi of swearing in of U.S. Citizens and meaning of CITY COUNCIL MINUTES 18 JULY 18, 2011 1 0B -18 becoming a U.S. Citizen — pride in becoming American and services provided by this Country and our City employees. Mayor Pro Tern Alvarez: • Commented on Fiesta Market Place sign, carousel, and kiosk that were in the Downtown and now gone. Who owned, where did funding come from and requested that other Fiesta Market Place sign in front of parking lot be removed. Where did funding come from for those projects? Was it federal grants in or about 1982? Who was authorized to bring down the Fiesta Market Place sign? • The Fourth and French Street corner has been referred to as 4t" and French Square. Who designated the name? Requested that an Agenda Item 85A be added to the next regular meeting's agenda for discussion of naming open area (sometimes referred to as the Plaza). Why were businesses leases in El Faisan not renewed? Open area and programming, including Paseo should be available to all, not just concerts or alleged rollerbladers or skaters (which is not allowed) on Sundays. And questioned need for signage change. ADJOURNED 8:10 P.M. - The next meeting of the City Council is scheduled for Monday, August 1, 2011 at 5:00 for the Closed Session Meeting immediately followed by the Regular Open Business Meeting in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. Maria Huizar, Clerk of the Council CITY COUNCIL MINUTES 19 JULY 18, 2011 1 0B -19 ill]1� REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: RESOLUTION OF INTENTION TO MODIFY THE MANAGEMENT DISTRICT PLAN TO ADJUST THE BOUNDARIES FOR THE DOWNTOWN SANTA ANA COMMUNITY MANAGF�IVIERIT DISTRICT 1 . CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15` Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Adopt a Resolution of Intention to modify the Management District Plan to adjust the boundaries and Engineer's Report for the Downtown Santa Ana Community Management District, and establish a time and place for a public hearing to be held by the City Council on August 15, 2011. DISCUSSION On December 15, 2008, the City Council adopted a resolution establishing the Downtown Santa Ana Community Management District (CMD) and the levy of an assessment of the property owners within the district to fund various activities in the Downtown. As part of the establishment process, the Management District Plan was also adopted which includes a description of the boundaries of the district and an Engineer's Report, among other requirements. Downtown, Inc., a non - profit organization, serves as the CMD property owners association and is responsible for the day -to -day management and administration of the CMD. Downtown, Inc. has submitted a written request for City Council to modify the boundaries of the CMD and has also submitted a proposed map (Exhibit 2, Map #1). This item was continued from the July 18, 2011, City Council meeting to allow additional maps to be submitted for consideration. Attached are the three additional maps received (Exhibit 2, Maps #2, #3, and #4). All proposed modifications are to decrease the boundaries of the CMD, which will reduce the number of parcels included within the district. If modifications to the boundaries are approved at a public hearing, the Management District Plan and the Engineer's Report will also need to be amended. The Engineer's Report is critical in substantiating and analyzing the special benefits conferred within the proposed amended boundaries of the CMD. Section 13 -212 of the Santa Ana Municipal Code requires the City Council to adopt of resolution of intent stating the proposed modifications, and then a public hearing must be held not more than 12A -1 Resolution of Intention to Modify the Management District Plan to Adjust CMD Boundaries August 1, 2011 Page 2 ninety days after the adoption of the resolution of intent. The public hearing for City Council to consider Downtown Inc.'s request is scheduled for August 15, 2011. The property owners were notified of this pending action before the City Council, and the appropriate public notice of the meeting was published in the newspaper as required by Section 13 -212. FISCAL IMPACT There is no fiscal impact associated with this action. 'h " (:gA Ydtja-& w Nancy T. EqWards Interim Exec tive Director Community Development Agency NTE /sg Exhibits: 1. Resolution of Intent to set a Public Hearing 2. Proposed Maps 1 -4 12A -2 ROH (08/01/11) RESOLUTION NO. 2011 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA STATING ITS INTENTION TO MODIFY THE MANAGEMENT DISTRICT PLAN TO ADJUST THE BOUNDARIES AND ENGINEER'S REPORT FOR THE DOWNTOWN SANTA ANA COMMUNITY MANAGEMENT DISTRICT, AND SETTING A TIME AND PLACE FOR PUBLIC HEARING THEREON 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. Pursuant to Article XX of Chapter 13 of the Santa Ana Municipal Code (the "Law "), the City Council established the Downtown Santa Ana Community Management District (the "CMD "). B. Pursuant to Section 13 -204 of the Law, a Management District Plan was adopted for the CMD. The Management District Plan includes a description of the boundaries of the district, as well as an engineer's report, prepared by a registered professional engineer, which complies with the requirements of Sections 4(a), (b), and (c) of Article XIIID of the California Constitution. C. Section 13 -212 of the Law permits the Management District Plan for the CMD to be modified by notice of a resolution of intention being sent to all owners affected by the proposed modifications, and published. D. A written request has been submitted by Downtown, Inc. requesting the City Council to initiate proceedings pursuant to the Law to modify the Management District Plan for the CMD. The written request from Downtown, Inc. is incorporated herein by this reference. E. The proposed modification is to decrease the boundaries of the CMD, which will reduce the number of parcels included within the district. F. The City proposes to have all maps, notices, and descriptions of the boundaries in the Management District Plan and required by the Law amended to reflect the revised boundaries. EXHIBIT 1 12A -3 Resolution No. 2011 -XXX Page 1 of 3 G. The proposed modification to decrease the boundaries of the CMD also requires an amendment of the Engineer's Report in order to analyze the special benefits conferred within the proposed amended boundaries of the CMD. H. The City proposes to have the Engineer's Report amended in conformity with the revised boundaries of the CMD. Notice of this Resolution of Intention has been mailed and published as required by the Law. Section 2. Pursuant to Sections 13 -212 of the Law, the City Council declares its intention to modify the Management District Plan of the CMD, including the boundaries and the Engineer's Report, as proposed by Downtown, Inc. to decrease the number of parcels included within the CMD. Section 3. NOTICE IS HEREBY GIVEN that the City Council shall conduct a public hearing on the modification of the CMD Boundaries, Management District Plan, and Engineer's Report on August 15, 2011, at 6:00 p.m., or as soon thereafter as the matter may be heard, in the City Council Chambers located at 22 Civic Center Plaza, Santa Ana, California 92702. 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 1st day of August, 2011. APPROVED AS TO FORM: Joseph A. Straka Interim City Attorney AYES: NOES: ABSTAIN: NOT PRESENT Councilmembers Councilmembers Councilmembers Councilmembers Miguel A. Pulido Mayor Resolution No. 2011 -XXX 12A -4 Page 2 of 3 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, Resolution No. 2011 -XXX to be the original City of Santa Ana on Date: do hereby attest to and certify the attached resolution adopted by the City Council of the Clerk of the Council City of Santa Ana EXHIBIT 1 12A -5 Resolution No. 2011 -XXX Page 3 of 3 12A -6 Proposed Maps 1-4 Exhibit 2 12A -7 oe� o t IS 3ldVW ry J ZJ � 1S HoN3ad w,w,a .,w. 1sNO3oands Ed ,�... i AV SS3adA3 is Hsne w 1S HSne F s � 1S NIVW 1S NIVW wKer co 1S NIVW 1S 380WVOAS # co.w,x co.w,cc - - -- 1S 3aOWtl3AS F 1S 3aOWV3, 1 3aOWtlOA w w =w n,wwc O [OkS AVMavous AVMOVOa9 1 o u~i (� n �w " a is Heal ww,a _ N 1S Heals S Hoals 1S Hoal a # =A f 7 0 3 M 1S SSOa '.. 1S NOlaVd rn � N 2 J Q 3 1S b3M011d jE N 12A -9 i i i e Cl N U U) 0 C N ai r U �L NO �U (0 Q Q co Q = ca M co C O 4-- C O �+ O UC) O N O) C U N to O a- 0 L _� J a 0 a 0 a 12A -10 cc z 4c cc IN= z Q V) LLJ (D cc mi V) FM V) 4-J L. co CD C.) cc "a ca I 4-4 U,) LO 1� LO !K� Its no om Dom rm" 4-0 ti L4snq ,tit ils 41, AMTS HONG e3k S 12A -11 9 ea 0 CL 2 9L 12A -12 ....__ : 1S3ldVW SA ko A. dodgy ........ rsa3Wr N0&.• ............... 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CD O N U 4L r ° co o U� E 0 � �c c� In N 0 QE Q 0 �U C � fa = 0 = U� C 0 0 0 -v7 tai CL a V m 0 CL a 12A -14 If i IS NIVVJ i 4 Lt j AVMCIV ill Ns LL V) sLisne -7 A IS A�JOWVOAS A iI ,I as Is F1 12A -15 IS.Hsn o L7; L i.1 C CL 360MOAS v tn jj jL AMIMis elm 7d a 3T flit `4 ,I as Is F1 12A -15 IS.Hsn o L7; L i.1 C CL 360MOAS v tn jj jL AMIMis elm 7d 12A -16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: ABANDONMENT NO. 10 -01: INTENT TO VACATE PORTIONS OF SANTA ANA BOULEVARD BETWEEN MINTER AND POINSETTIA STREETS CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s` Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER 1. Adopt a resolution declaring the City's intent to vacate portions of Santa Ana Boulevard between Minter and Poinsettia Streets. 2. Set a public hearing for September 6, 2011 . PLANNING COMMISSION RECOMMENDATION Recommend that City Council adopt a resolution approving Abandonment No. 2010 -01. Approved by a vote of 5:0 (Turner absent, Gartner abstained) at the meeting of July 11, 2011. DISCUSSION The Related Companies of California (Related) is working with the City's Community Development Agency to develop courtyard housing as part of the Station District project. As part of the development, Related is requesting that portions of Santa Ana Boulevard at two locations be vacated. Those portions of right -of -way are unimproved strips of land situated behind the southerly sidewalk of Santa Ana Boulevard. Area 1 is between Minter Street and Lacy Street, and Area 2 is between Garfield Street and Poinsettia Street (Exhibit 1). Both locations are rectangular- shaped with Area 1 measuring 12 feet in width by 210 feet in length, and Area 2 measuring 12 feet in width by 50 in length. The right -of -way width for Santa Ana Boulevard between Poinsettia Street and Mortimer Street fluctuates between 80 feet and 92 feet. The variance is mostly due to 12- foot -wide dedications and reservations made along the south side of the street. The purpose of the accumulation of right -of- way was to provide for future widening of the street. However, the street has not experienced the anticipated additional traffic and is not expected to experience the traffic volumes to justify the widening. With the vacation, the street right -of -way width will measure 80 and will align with adjacent segments of the street. The street curbs will remain in place. Additionally, this segment of Santa Ana Boulevard is being studied as a potential route for the fixed guideway transit system. The right -of -way being vacated is not needed for the transit system. 12B -1 Abandonment No. 10 -01 Intent To Vacate Portions of Santa Ana Boulevard August 1, 2011 Page 2 The areas to be vacated will be incorporated into the adjacent Station District project. The additional land area reduces the site's constraints and improves overall site function, such as setbacks, building locations, and site accessibility. Utilities, other government agencies, and City departments have been advised of the street vacation. Easements for power, telephone, and cable lines will be reserved in the resolution of vacation. According to a recent Preliminary Title Report, the City of Santa Ana is identified as the fee owner of the land at both locations. The land will be conveyed to the Community Redevelopment Agency as owner of the adjacent development sites. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from further review. Categorical Exemption ER No. 2010 -119 will be filed for this project. FISCAL IMPACT There is no fiscal impact associated with this action. Raul Godinez II Executive Director Public Works Agency RG:TH Exhibit: 1. Location Map Exhibit: 2 Resolution 12B -2 12B -4 Iss7/21/11 RESOLUTION NO. 2011- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA DECLARING ITS INTENTION TO VACATE TWO PORTIONS OF SANTA ANA BOULEVARD BETWEEN MINTER STREET AND POINSETTIA STREET, SETTING A PUBLIC HEARING THEREON, AND DIRECTING NOTICE THEREOF TO BE POSTED AND PUBLISHED (ABANDONMENT NO. 2010 -01) 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. Pursuant to and in accordance with Chapter 3 of Part 3 of Division 9 of the Streets and Highways Code of the State of California, this Council does hereby declare its intention to vacate portions of Santa Ana Boulevard between Minter Street and Poinsettia Street. The areas proposed for vacation are two unimproved strips of land situated behind the southerly sidewalk of Santa Ana Boulevard, identified as Areas 1 and 2 on the map labeled Exhibit 1, attached hereto and made a part hereof by this reference. B. Notice is hereby given that immediately following the 5:00 P.M. closed session meeting, or as soon thereafter as the matter can be heard on September 6, 2011, in the Santa Ana City Council Chambers at 22 Civic Center Plaza, Santa Ana, California, a public hearing will be held by this Council at which time any and all persons interested in or objecting to the proposed vacation hereinabove described may appear and be heard. C. The Clerk of the Council is hereby directed to cause this Resolution to be published twice, once in each of the two successive weeks prior to the above said hearing, in a newspaper of general circulation in the City. D. The Executive Director of the Public Works Agency is hereby directed to post conspicuously, in the manner prescribed by law, notice of the adoption of this Resolution, containing the statement of the day, hour and place of Resolution No. 2011 - Page 1 of 2 12B -5 hearing hereinabove set forth, and describing the portion of the right -of -way to be vacated at least two weeks before the date set for said hearing. ADOPTED this day of August 2011. Miguel A. Pulido Mayor APPROVED AS TO FORM: Joseph Straka Interim City Attorney Laura Sheedy Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT Councilmembers Councilmembers Councilmembers Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2011- to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana e' Resolution No. 2011 - Page 2 of 2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE-. DESTRUCTION OF OBSOLETE CITY RECORDS CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15t Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Approve the requests for the destruction of obsolete records from various City departments in accordance with the retention schedule outlined in City Council Resolution 2006 -045. DISCUSSION On July 3, 2006, the City Council approved a resolution outlining the records retention schedule for the agencies, departments, and offices of the City. City records are governed by the Public Records Act which provides the time in which records need to be kept. The Citywide Records Team compiled the Citywide Records Retention Schedule which sets forth the retention period for a particular record. The Municipal Code requires that the destruction of a City record be approved by the City Attorney. In accordance with Section 5B of the Citywide Records Retention Schedule Resolution, the City Attorney has approved the list of records proposed for destruction from the departments as outlined in the attached documents. FISCAL IMPACT There is no fiscal impact associated with this item. 19C -1 19C -2 MEMORANDUM To: Laura Sheedy, Assistant City Attorney City Attorney's Office From: Mark Lawrence, Executive Assistant to the City Manager Date: August 1, 2011 Re: REQUEST FOR DESTRUCTION OF RECORDS The City Manager's Office requests your consent to destroy city records on the attached listing, in accordance with the retention schedule outlined in City Council Resolution 2006 -045. Thank you. 19C -3 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE CITY MANAGER'S OFFICE 2011 RECORD RECORD RECORD EXPIRATION CATEGORY SERIES DESCRIPTION DATES Chronological Files Staff Memoranda and Correspondence August 1, 2009 and prior Correspondence/ August 1. 2009 Chronological Files Councilmember Self- explanatory and prior Council Requests Mayor Inquiries processed for Mayor August 1, 2009 and prior Wards 1 through 6 Inquiries processed for Councilmembers August 1, 2009 and prior Correspondence General Correspondence Self- explanatory August 1. 2009 and prior Staff Inquiries processed for Staff August 1. 2009 and prior Monthly Status City Manager Self- explanatory August 1, 2009 Reports and prior Payroll Records Council /Staff Self- explanatory August 1. 2009 and prior August 1. 2009 Travel Folders Council /Staff Self- explanatory and prior APPROVE: CONSENT- Paul M. Walters Date , %�Jo ph Straka Date City Manager °` Interim City Attorney RECORDS DESTROYED: Volume in Cubic Feet Weight in Pounds 19C -4 AUDITED BY: Mark Lawrence Date Assistant to the City Manager il/ REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: QUARTERLY REPORT OF INVESTMENTS AS OF JUNE 30, 2011 r� CITY MANAGER RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER In 1995, the State of California enacted legislation revising the reporting requirements relative to investment of funds by governmental agencies. These requirements, which became effective on January 1, 1996, mandate that a statement outlining the ability of both the City and the Redevelopment Agency to meet the budgeted expenditures for the subsequent six months be submitted to the City Council on a quarterly basis. The legislation dictates that this quarterly report contain the seven major elements listed below: • Type of investments, • Date of maturity, • Par and dollar amounts invested in each security, • Weighted average maturity of the investments, • Market value as of the date of the report, • Source of the market value information, and • Any funds, investments or programs, including loans, under the management of contracted parties. State statutes require that a quarterly report be presented at a Council meeting; however, our office continues to provide this information monthly. The information is in compliance with State law and the City's Investment Policy. The attached report (Exhibit 1) accurately reflects all pooled investments held on behalf of the City and Redevelopment Agency as of June 30, 2011. 19D -1 Quarterly Report of Investments August 1, 2011 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit 1 Treasurer's Report 19D -2 CITY OF SANTA ANA TREASURER'S REPORT as of June 30, 2011 EXHIBIT 1 lt'� 19D -4 CD E Q C> E r r _ _ 0 � N cn 0 w O O O O a U O' O a a U } r Z' c0 �' 0 H O e O a Y d 0.2 M t0 d d Y � ttl j C d d C O O O o r o T c0 o m l 0 N N T I- r- - - O I O O co co to 0 N R N V^' I.- a I O O • O r N O LL7 N T °o v o° °o m oo 00 O v O �[) Rj T O N O N eM- O to O � O O N r o Q2 O to ( r O QI O N ` N a h a{ c0 c0 I M o t0 � N O o O O Lo O O v O O w O O L6 o 6 u7 n LLo 7 N � O N P7 N O (O N r SD OD O L6 (`7 cl O to O N O to o i c6 � co °O c O Co ° °O O N O O O O C .n O n C C °o °D °O o v °o O to C N N o V � It W 0 � 0) m n M Cl) M M t0 N M M N N � d O ' C U v V d c CC c y W L O d > O N U 0 C N Cc), > T d U U ai O c aci CCi C co U Q Q Q 'E N E d d ; U U U ri li C d tC a O N 0 C U N cri w O O n y U a o r 0 �I aai O O Y v o CL a [C i °o so _d CCU: Lam a p O O o III C y N T i ,O a d (0 C E U N C O > d N C Q O E N III COL O CL 7 > I rn d U O t0 a to t0 ( d n N N 7 N N E C O sLO oU c rn �U d wILO C tC d C.L.L M d N O jl UO co .O V C w a Q LL c w = rn OD r. 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N N O N N N m W " n N N 6 N m co rn y o rn O �p N o Q C3 R R O .a CO c LL E 0) L N R U R d i w Cii p C O U N 3 F- L � _ O N O >d } Z m m m y C � V1 L L R � 19 D -1 O O O O O N W N N n N r c N c E H C m 0 W m W 0 r O N m Q F- Q Z Q Q Z Cl) V! d 3 N N N d N 3 H d w U d Q N C d d 3 F- O O O O l W T o'J M m 0) Cl) Cl) N N N N m 01 n M O 01 M M N N N N O) T M M W N M M N N N N d o � N a d o > o v R R O a U) c 3 LL 01 L fn R U N d p r N o cu N r O 7 GO O v v Q d Y CR C O T ON (D � C O u) e 0 N O 0 ( Q o o p LL O O O ❑ d ❑ O O O O Ci N M N ci C1 M N N M N N v R r E d C m 0 e 0 N O 0 i Lei 9-9 Fe" REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE REQUEST FOR PROPOSALS FOR BASELINE GREENHOUSE GAS EMISSIONS STUDY AND CLIMATE ACTION PLAN CITY MA R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s` Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the Public Works Agency to send a Request for Proposals to qualified firms to develop a governmental and community baseline Green House Gas Emissions Inventory and Climate Action Plan. DISCUSSION The California Public Utilities Commission (CPUC) recently made Local Government Strategic Plan funding available to those cities with an existing Energy Efficiency Partnership with Southern California Edison (SCE). The grant is to advance the goals found in the CPUC's Long -Term Energy Efficiency Strategic Plan. At the June 20, 2011 meeting, Council approved an agreement with Southern California Edison to receive a maximum of $729,928 to implement specific energy efficiency strategic plan activities. Two activities funded with Strategic Plan monies are: (1) development of a governmental and community baseline study of greenhouse gas emissions in Santa Ana, and (2) development of an energy action plan, a significant component of a climate action plan (CAP). The remaining components of the CAP will need to be funded with City funds. Strategic Plan funding includes the use of technical consultants to complete these activities. Previously the Council authorized Requests for Proposals to hire an Environmental and Sustainability Consultant to take the lead in managing the activities in the Strategic Plan funding. The selection of an environmental consultant is in process. This is a request to begin the selection process for a technical consultant to prepare the baseline analysis and the CAP. Due to delays in finalizing the agreement with SCE, and the limited time remaining in the funding period, selecting the technical consultant needs to be expedited. The 19E -1 Request for Proposals for Greenhouse Gas Emissions Study and Climate Action Plan August 1, 2011 Page 2 expected term of the contract selected will extend through November 2012, a more limited time than is optimum for preparation of a comprehensive baseline study and climate action plan. The proposed scope of services for this Request for Proposals (RFP) is attached (Exhibit 1). The total amount funded by the Strategic Plan agreement will be a maximum of $181,378. In addition, SCE has allocated an additional $68,622 funding from the current 2010 -2012 Santa Ana Energy Leader Partnership, for a total not -to- exceed amount of $250,000 to prepare the greenhouse gas (GHG) study and energy chapter of a CAP. Any additional money needed to complete the CAP will need to be either funded by the City or reduced from the scope of service. The funding requirements for the various components will be identified as part of the RFP process. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. However, preparing a baseline study and developing a climate action plan will provide a road map to reduce greenhouse gas emissions and ultimately enhance our environment by improving air quality, reducing pollution, and conserving natural resources. FISCAL IMPACT There is no fiscal impact associated with sending out a Request for Proposals. The Strategic Plan agreement and the Santa Ana Energy Leader Partnership have set aside funding in an amount not to exceed $250,000 to complete these activities. Any needed funding required of the City will be identified as part of the RFP process. ,4y R rGodineft II Executive D ctor Public Works Agency RG /CK Exhibit: Request for Proposals 19E -2 REQUEST FOR PROPOSALS SANTA ANA 2011 CLIMATE ACTION PLAN I. Backeround The City of Santa Ana is located 33 miles southeast of Los Angeles, and serves as the county seat. With a population of over 324,500 and a land area of approximately 27 square miles, Santa Ana is the second most densely populated city in California. Santa Ana is located in the heart of Orange County with City, County, State, and Federal government agencies headquartered near the historic downtown. The City provides traditional municipal services. The City has I1 departments /agencies and a City workforce of 1510 full -time employees. Some of the departmental operations are not housed in the City Hall buildings and are, instead, located at sites throughout the downtown area and the city. The City's FY 2011 -12 total budget is approximately $459 million. The City, has a council /manager form of government, with six elected Council members and one elected Mayor. Santa Ana is the eleventh largest city in California, and is committed to promoting energy efficiency and carbon footprint reduction. Currently the City has a number of programs promoting positive environmental practices, including: • Climate Protection Initiative • Tree Program (Tree City USA) • Hybrid and Alternative Fuel Vehicle Program (Green Vehicles) • Water Conservation Initiative • Recycling Programs • Build Green Initiatives • Energy Efficiency Partnership with SCE In 2006, Assembly Bill AB 32, the Global Warming Solutions Act, was signed by Governor Schwarzenegger. This bill requires the reduction of Greenhouse Gas (GHG) emissions to 1990 levels by 2020, a reduction of about 25 percent, and an 80 percent reduction below 1990 levels by 2050. AB Page 1 of 15 19E -3 32 requires the California Air Resources Board (CARB) to prepare a Scoping Plan to achieve reductions in greenhouse gas (GHG) emissions in California. The Scoping Plan document was approved by the CARB Board in December 2008. The AB 32 Scoping Plan contains the main strategies California will use to reduce the greenhouse gases (GHG) that cause climate change. The Scoping Plan has a range of GHG reduction actions which include direct regulations, alternative compliance mechanisms, monetary and non - monetary incentives, voluntary actions, and market -based mechanisms such as a cap- and -trade system. In October 2007, the California Public Utilities Commission (CPUC) created a framework to make energy efficiency a way of life in California by refocusing ratepayer- funded energy efficiency programs on achieving long -term savings through structural changes in the way Californians use energy. In 2008, the Commission prepared and adopted the long -term strategic plan for California energy efficiency through 2020 and beyond. This Energy Efficiency Strategic Plan sets forth a roadmap for energy efficiency in California. It articulates a long -term vision and goals for each economic sector and identifies specific near -term, mid -term and long -term strategies to assist in achieving those goals. In 2008, SB 375 was enacted to focus on the reduction of greenhouse gas (GHG) from automobiles and light trucks, through better integration of transportation, land use, and environmental planning. Orange County communities worked together to develop the 2011 Orange County Sustainable Communities Strategy (OC SCS) - identifying Local policies, plans and best management practices that promote reduction of GHG emissions in Orange County. This sub - regional OC SCS will be incorporated into the Southern California Association of Governments (SCAG) Sustainability Plan and SCAG Regional Transportation Plan, as required by SB 375. Santa Ana has implemented a number of environmental programs including energy conservation, water conservation, recycling, alternative fuel vehicles, and climate protection. A Tree City USA since 1998, Santa Ana continues to develop new programs to fulfill its strategic environmental goals, and has launched its Santa Ana Green website filled with extensive educational material and programs in which citizens and business are involved to help protect the environment. Presently, these programs are not fully integrated and not part of a formalized strategic plan. Page 2 of 15 19E -4 The City lies in the heart of Orange County, where residents, a vibrant commercial sector and federal, state and county government staff live or work. Santa Ana has one of the highest densities in the state with an average of 4.37 people living in each residential unit. In addition, Santa Ana has a Hispanic population of approximately 78.2 percent and an Asian population of 10.4 percent, including many who do not speak English. Many of the City's residents are economically disadvantaged with 19.8% of the population living below the poverty line: the demand for energy savings and energy cost reduction measures has never been higher. To meet this demand, and to address its unique demographics, the City is seeking an experienced consultant to develop a baseline greenhouse gas emissions (GHG) inventory for both the Community and Municipal Operations and a Climate Action Plan (CAP) for the City. Santa Ana is interested in developing a strategy which will achieve needed energy savings and reduce current and future GHG emissions to help combat the effects of climate change. The projected accomplishments of the strategic plan are to achieve energy savings, reduce GHG emissions, educate and engage the community, and contribute value from energy efficiency and emissions reduction to the overall quality of life in Santa Ana. As part of continuing this policy and responding to AB32 and the scoping plan, the City has identified the need to create a strategic plan that provides cost effective, sustainable and relevant solutions to reduce the City's environmental footprint. II. Purpose The City is seeking to develop a baseline greenhouse gas emissions (GHG) inventory for both the Community and Municipal Operations and a Climate Action Plan (CAP) focusing on energy efficiency, transportation and land use, planning /building standards water, waste, carbon footprint reduction and positive environmental practices. The CAP will address a course of action for governmental facilities and energy usage, as well as a community vision /strategy for facilities /activities in the city, which while not under the direct control of the City, can be influenced and encouraged to support the Santa Ana strategic initiative. Compliance with, and support of all appropriate State guidelines and regulations, including AB 32, the California Long Term Energy Efficiency Strategic Plan, and the California Air Resources Board (CARB) Climate Change Scoping Plan must be a part of the CAP. Page 3 of 15 19E -5 III. Funding The City of Santa Ana is an existing local government partner with Southern California Edison (SCE). Santa Ana's Energy Leader Partnership program with SCE targets residences, businesses and city facilities to create long -term energy savings, reduce peak loads, and expand energy efficiency measures in innovative ways throughout the City. The Partnership has committed $68,622 in funding toward the GHG inventory and an energy component in the CAP. Additional funds were made available to SCE partnership entities through the California Energy Efficiency Strategic Implementation Agreement. The City received approval to fund three specific tasks, two of which include development of baseline greenhouse gas emissions (.GHG) inventory for both the Community and Municipal Operations, and the development of an energy component in a Climate Action Plan. This funding includes $181,378 for these two tasks. Funding for the remainder of the components to complete the Climate Action Plan will be the responsibility of the City. With the City's reduced budget this poses a funding challenge. These components may or may not ultimately be included in the final plan/scope of this project. Scone of Work The City is seeking a consultant to develop a comprehensive GHG inventory and Climate Action Plan for the City related to energy and environmental impacts. The respondent should propose an action plan and associated costs including anticipated return on investments, which will reduce the City's energy usage and environmental impact. The CAP should include priorities from the most cost - effective to the least cost - effective. The CAP should also include "no cost" recommendations, such as behavioral changes, etc. The City will want to consider all reasonable means of reducing future environmental impacts. The successful respondent will provide a strategy and methodology to: • analyze and inventory the current energy consumption and emissions from Community and Municipal operations; Page 4 of 15 19E -6 • identify a baseline year; • forecast future trends on energy use and emissions; • identify opportunities for emission reductions; • develop an emissions inventory report; • analyze and recommend an emissions reduction target; • analyze the impact of emissions reductions measures; • work with the public, city council, committees and staff on public education and consensus building; • provide an implementation strategy that includes a list of actions, cost estimates and implementation timetable; • develop an annual data gathering and tracking methodology and annual reporting template to monitor and present progress in meeting climate change commitments; and • develop the Climate Action Plan The City's CAP will be a five to ten year plan that will address energy, transportation and land use, water and solid waste, etc. Specific areas to be addressed include: Energy Efficiency and Conservation As indicated above, the City is an existing local government partner with Southern California Edison. The Partnership targets residences, business and city facilities to create long -term energy savings, reduce peak loads, and expand energy efficiency measures in innovative ways throughout the City. The Santa Ana Green newsletter consistently delivers information to residents about energy efficiency programs and practices. The City has been a proponent of increased energy efficiency in its municipal facilities and has demonstrated this commitment through recurring energy efficiency capital improvements. Most recently, the City completed installation of $3.2 million dollars in energy efficient upgrades and retrofits that were funded through the American Recovery and Reinvestment Act of 2009 (ARRA). Staff is currently evaluating LED street lighting for a portion of the City -owned street lights. Page 5 of 15 19E -7 In addition to improving municipal facilities, the City also assists the public through the Build Green Initiatives. Included is a No -Fee Solar permit program that provides a two -year permit fee waiver for solar projects that convert sunlight to energy or to heat water. Engineering reviews for plans associated with solar energy projects and solar building inspections are also provided at no cost to the customer. The CAP should: • Take inventory of the activities already taking place related to energy efficiency and conservation and the reduction in GHG • Determine efficient ways to deliver conservation messages to the community • Determine what the City can do to increase energy conservation • Determine new energy cost savings measures in City facilities, such as ✓ New energy saving equipment, (e.g. light timers at ball fields) ✓ Energy saving retrofits ✓ Energy saving purchase policies • Explore opportunities for promoting alternative energy and ,green energy in City facilities and the Community • Explore opportunities for implementing energy performance contracts with outside providers • Evaluate the efficiency of street/traffic lights and suggest cost effective opportunities for increasing energy efficiency • Determine additional energy related opportunities for the City • Include other changes suggested by the consultant Transportation and Land Use The City already has a progressive transportation /City fleet program and has demonstrated a commitment to the reduction in greenhouse gas emissions and the environmental impact of the City with its policy to acquire alternative fuel vehicles, the installation of compressed natural gas (CNG) and hydrogen fueling stations, and implementation of a ride share program for its employees. The City has the highest transit ridership in Orange County. To support the expansion of Metrolink services, the cities of Santa Ana and Garden Grove have partnered to create a Transit Vision and Go Page 6 of 15 GP'' =21001 Local Project Concept that provides a comprehensive strategy for transit planning and project development within the Cities. The first phase of the Transit Vision consists of a modern streetcar connecting the Santa Ana Regional Transportation Center with the Santa Ana Civic Center Downtown area and the planned 28 -mile Brea -to- Irvine Bristol Street Bus Rapid Transit line. This phase would also expand the existing intermodal Transportation Center to a regional hub in central Orange County and be a model for transit oriented development in the City of Santa Ana. The second phase of the Go Local Project Concept would extend the streetcar track and operations west from Bristol Street onto the PE right -of -way to a terminal at Harbor Boulevard in the City of Garden Grove. The City of Santa Ana is a leader in sustainable land use planning that supports the development of transit and the reduction of greenhouse gas emissions. The City's policies regarding transit - supportive land use have been included in such plans as the Metro East Overlay Zone, the Transit Zoning Code, and the Housing Element. The Transit Zoning Code, which covers 400 acres within the City's core, was developed to support the City's efforts to construct a fixed- guideway transit line. The Housing Element identified vacant and underutilized land adjacent to potential transit corridors as future opportunities for transit - supportive, mixed -use development in order to further the aims of legislation such as AB 32 and SB 375. In addition, the City is currently beginning an update to the General Plan Circulation Element that will enable the City to be fully compliant with the Complete Streets Act. On a more regional level, the City of Santa Arta is a participant agency in the Orange County Council of Governments (OCCOG) and assisted in the drafting of the recently-adopted Sustainable Communities Strategy (SCS). The SCS will enable the City to comply with Senate Bill 375 (SB 375), which was enacted to reduce greenhouse gas emissions from automobiles and light trucks through integrated transportation, land use, housing and environmental planning., The CAP should: • Take inventory of the activities already taking place related to transportation, fleet management and the reduction in GHG • Determine additional opportunities for the City to encourage clean transportation opportunities for City staff and the community • Consider additional changes to the policy related to transportation and /or the city fleet, such as: ✓ Vehicle sizing Page 7 of 15 19E -9 ✓ Additional consideration for alternate fuels and vehicle types ✓ Opportunities for electric charging stations Y Parking garage ➢ Mall ➢ Parking meters ✓ Fleet demand management ✓ Determine alternative sources for funding • Review and provide an analysis of the City's existing policy plans and documents in order to ensure that they are compatible with, and are included into, the final CAP. • Provide implementation measures that assist the City in complying with the SCS. • Provide additional recommendations regarding the City's land use and transportation policies to further more sustainable development practices. • Include other changes suggested by the consultant Planning /Building Standards The Planning and Building Agency plays a critical role in achieving the City Council's goals for the physical development of the community. While the City encourages building standards and planning practices that are as green as possible, added construction costs to implement these practices may impact development activity, particularly affordable housing opportunities. Therefore, any proposed changes to City standards must take into consideration the financial impact to the community. The CAP should: • Explore possible incentives for stimulating construction, in particular addressing: ✓ Long term cost savings by incorporating Green concepts into development, particularly affordable housing ✓ How to off -set costs to the community ✓ Available funding sources for implementing green construction practices • Consider options for providing a rebuilding subsidy for green buildings, addressing: ✓ Feasibility Page 8 of 15 19E -10 ✓ Program design ✓ Options ✓ Costs • Explore options for encouraging affordable housing, ✓ Rehabilitation of existing buildings ➢ City can easily get LEED certification due, to infill opportunities ✓ Encourage energy efficiency ✓ Potential community or building industry partners ➢ Green construction demonstration building ✓ Potential costs and benefits • Address standards for code changes ✓ What is the most effective route to establish green buildings in the City? ✓ Should the City pursue green planning vs. green buildings? ➢ Green planning is infili, mixed use less area car storage ➢ Green building is codes, materials, etc. ✓ How to implement code changes? ➢ Voluntary ' Mandatory Incentives` • Develop design standards for future civic facilities ✓ Recycled- content and sustainable building products ✓ LEED Green Building rating system • Include other changes suggested by the consultant Water The City is working to reduce the water use in the City and ensure efficient delivery of water to the community. As part of the partnership with SCE, the City has an ongoing program in place to improve the efficiency of its water pumps. In addition, the high efficiency clothes washer, weather based irrigation controller and rotating nozzle rebate programs have been very successful in the City. The average water consumption per capita is one of the lowest in California. Page 9 of 15 19E -11 The CAP should: • Take inventory of the water conservation activities already taking place in City facilities and identify areas where additional efforts could be made ✓ In particular in the parks and other maintenance areas ✓ Some options may be: ➢ Reduce water in common areas — eliminate turf in some areas? ➢ Improve irrigation controls • Medians (water options, smart controllers /adaptors) y Synthetic ground cover options • Medians • Ball parks • Linear parks` • Determine additional opportunities for the City to encourage water conservation in commercial and industrial facilities • Determine additional opportunities for City use of recycled water • Determine alternative ;sources for funding of additional water conservation/efficiency programs or infrastructure changes to conserve water • Include other changes suggested by the consultant Waste The City's recycling and waste diversion programming has been in existence for more than twenty years. To achieve AB93;9 goals, the City has implemented a comprehensive list of recycling and waste diversion programs: • Residential 3 -cart refuse /recyclables /green waste collection • Limited multi - family recycling • Curbside used oil and filter collection • Curbside universal waste collection • Commercial recycling options • Construction and Demolition recycling • Certified recycling centers for bottles and cans recycling Page 10 of 15 19E -12 • City employee battery recycling • Composting workshops • Household hazardous waste collection events • Sharps /needles recycling The City is presently diverting 69% of waste from landfills through program implementation supported by ongoing community education. The CAP should: • Take inventory of the activities already taking place related to refuse /recycling and the reduction in GHG • Determine additional opportunities for the City to encourage enhanced source reduction, recycling, composting, and special waste diversion by City staff and the community • Include other changes suggested by the consultant IV. Proposal Format and Content Consultants responding to the request for proposals (RFP) shall make their proposal brief, concise, but complete enough to allow for a thorough evaluation. To be considered, all proposals shall be completely responsive to the RFP. The proposal must include the following information at a minimum: • Introduction. Submit an introduction that clearly outlines your understanding of the City's objective, the work to be done, and your firm's overall ability and experience in this area. • Qualifications. Submit a description of the firm's background, experience with similar projects and complete resumes of the firm's principals and staff members who will be assigned to the project. Additionally, provide the names and qualifications of all subcontractors who may be assigned to the project and identify which portion of the project they will handle. Page 11 of 15 19E -13 i • Project Methodology. Present a recommended work plan for each of the components outlined in the section titled "Scope of Work ". Include a comprehensive description of how and by whom each component will be handled. Provide a specific description of the City's responsibility and the consultant's. Should any subcontractors be used, please identify their individual responsibility. Identify a specific project manager and any potential conflicts of interest relative to the City of Santa Ana and any individual or firm involved in the project. • Schedule. Specify a schedule that outlines the expected timelines for completion of each project component. All work to be completed no later than October 15, 2012. • Cost. Identify the total cost of the project, with a "not -to- exceed" breakdown by task. The cost for the complete baseline GHG inventory and the Climate Action Plan for energy efficiency and conservation is to be detailed separately. The Climate Action Plan components for Transportation and Land Use, Planning /Building Standards, Water, and Waste, are to be detailed separately as these will be direct costs to the City. See Attachment 1. Cost proposal. • References. Please list present and former clients for whom similar services have been rendered. Include the agency's name, the mailing address, and telephone number of the appropriate contact person. Include a brief description of the type of service performed, and the status of the project. • Inquiries /Clarifications. No oral clarifications will be made to any firm or individual regarding the meaning of the scope of services or any other contract documents. Every request for such an interpretation must be sent in writing via email to Christy Kindig at ckiiiciit7 fr and shall be received by the City not less than three (3) calendar days prior to the date set for opening of proposals. Significant interpretations or clarifications will be made by an addendum to the contract documents, which will be sent as promptly as is practicable to all persons who have provided proper notice of their intent to respond. (Refer to V. Submittal of Proposal). Such addendums may become part of the contract documents. Page 12 of 15 19E -14 V. Submittal of Proposal If, upon review, you are interested and capable of providing these, complete and submit your proposal as directed. Please provide proper notice of interest in responding to the RFP. (An email to cLitidi d1 ��.�� notifying the City of your intent to respond is considered proper notice.) This RFP is not in any way to be construed as an agreement, obligation, or contract between the City of Santa Ana and any party submitting a proposal, nor will the City pay for any costs associated with the preparation of the proposal. Submit one original and 5 copies of your proposal in a sealed envelope bearing the firm's name and address, and clearly marked "GHG Inventory and Climate Action Plan PROPOSAL." Place one cost proposal in a separate, sealed envelope bearing the firm's name and address, and clearly marked "GHG Inventory and Climate Action Plan COST PROPOSAL." All proposals should be delivered or mailed to: Raul Godinez II Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza, Ross Annex, M -21 Santa Ana, CA 92701 Proposals received after the date and time specific will be returned to the consultants unopened. The City of Santa Ana shall reserve the right to negotiate any term and condition of received proposal(s) with the final candidate(s) prior to acceptance of said proposal(s). Submittal Date: All proposals must be received by 2 p.m. on September 7, 2011. Questions regarding this invitation may be directed to Christy Kindig at chit2.iiw� a Questions and responses will be sent to all firms that are provided with the RFP. Page 13 of 15 19E -15 VI. Selection Process The selection process will include a review of the proposals by a City review team. The top consultants will be required to participate in an interview. Selection will be based on appropriate experience, the degree to which the proposal meets the stated objectives, successful completion of other similar projects, and the proposed cost. All proposals may be rejected at the option of the City.. An individual proposal may be rejected if it is conditional, incomplete, or deviates from the specifications in this request. The City also reserves the right to modify or reduce the scope of services herein described, should the proposed costs for such services prove to be prohibitive in the opinion of the City. The City reserves the right to postpone opening for its own convenience, to negotiate with 'other than the selected Consultant should negotiations with the selected Consultant be terminated, to negotiate with more than one Consultant simultaneously, or to cancel all or part of the RFP. However, negotiations may or may not be conducted with Consultants; therefore, the proposal submitted should contain the Consultant's most favorable terms and conditions. The City also reserves the right to apportion the award among two or more Consultants. The City reserves the right to waive, at its sole discretion, any procedural irregularity, immaterial defects, or other impropriety which the City deems reasonably correctable or otherwise not warranting rejection of the proposal. Any waiver will not excuse a proponent from full compliance if awarded a contract. Following a review of the proposals and interviews by a City review team, the City will make a recommendation to the City Council regarding selection of a consultant. Page 14 of 15 19E -16 i ATTACHMENT 1 COST PROPOSAL Phase I: Develop GHG Emissions Inventory and Forecast Municipal Operations Inventory Community Inventory Total Phase 1 Phase II: A. Develop Emissions Reduction Target and Climate Action Plan for Energy Efficiency and Conservation (to be performed simultaneously with Phase II B.) Municipal Operations Quantify Existing Programs and Develop Target Conduct meetings with Council Identify, Analyze, and Quantify Measures and Develop Climate Action Plan Community Quantify Existing Programs and Develop Target Conduct meetings with Council and community groups Identify, Analyze, and Quantify Measures and Develop Climate Action Plan Total Phase II A. Phase If B. Develop Climate Action Plan for Remaining Components (to be performed simultaneously with Phase II A.) Municipal Operations Identify, Analyze, and Quantify Measures and Develop Climate Action Plan for Transportation and Land Use, Planning/Building Standards, Water and Waste Community Identify, Analyze, and Quantify Measures and Develop Climate Action Plan for Transportation and Land Use, Planning /Building Standards, Water and Waste Total Phase II B. Total Cost Proposal = __- - - - -__ Page 15 of 15 19E -17 19E -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE REQUEST FOR PROPOSALS FOR SURVEYING SERVICES ,l CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the Public Works Agency to send a Request for Proposals to qualified consulting firms to provide surveying services. DISCUSSION The Public Works Agency Construction Section provides surveying for street improvement projects to ensure that the improvements are constructed to the correct location and elevation. In addition, as required by the Business and Professions Code of the State of California, the staff is also responsible for restoring survey monuments and street centerline records after they are disturbed by construction activities. More than 25 street and facility improvement projects are expected to be completed during the current fiscal year. To keep up with the workload demand and to comply with the State code, it is necessary to retain the services of engineering or land surveying firms to supplement the efforts of the City's survey staff. Staff is requesting Council's approval to issue a Request for Proposals to qualified consulting firms, soliciting proposals to provide the required services (Exhibit 1). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. 19F -1 Request for Proposals For Surveying Services August 1, 2011 Page 2 FISCAL IMPACT Costs shall be charged to the capital improvement projects receiving the services. Raul 6odinez II Executive Director Public Works Agency Exhibit 1: Scope of Work RG /MG APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 19F -2 SCOPE OF WORK REQUEST FOR PROPOSALS FOR AS- NEEDED SURVEYING SERVICES Scope of Work: 1. Research County and City records for survey monuments within the project area 2. Prior to any clearing, removal, or excavation efforts, perform a diligent search for property line monuments, street centerline monuments, and benchmarks within the project area, recording their identities and precise locations in reference to monuments or witness monuments that will not be disturbed during construction. The records of these monuments and references shall conform to Section 8771 of the Business and Professions Code of the State of California. After completion of the construction, any monument disturbed or removed during construction shall be reset, conforming to Section 8771. Each centerline intersection shall be drawn on a single Corner Record showing local tie points and tie distances. A copy of all these records shall be provided to the City. 3. Provide construction staking for project improvements. Records of the line and grade stakes (cut sheets) shall be on forms provided by the City, and the originals shall become the property of the City upon completion of each survey request. 4. Set line and grade stakes in accordance with the plans and specifications. Notify the City immediately of any discrepancies or design errors discovered on the plans during staking or when verifying the line and grade of existing improvements at join points. 5. Complete the construction staking within two working days from the receipt of the survey request, or (when more than two working days notice is provided) within the time frame specified on the Survey Request. 6. Furnish all office support, labor, materials, equipment, tools, and incidentals necessary to complete the specified surveys. The costs for these items shall be included in the hourly rates and no additional compensation will be allowed therefore. Exhibit 1 19F -3 19F -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED ❑ As Recommended APPROPRIATION ADJUSTMENT — El Amended El O Or rdinance on 1ST Reading ADDITIONAL WORKFORCE INVESTMENT ❑ Ordinance on 2nd Reading ACT ALLOCATIONS FOR PROGRAM YEAR 2011 -12 ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Approve an appropriation adjustment recognizing additional revenues of $42,226 in Title I Dislocated Worker funds, $113,141 in Title I Youth funds, and a decrease in revenues of $15,401 in Title I Adult funds and $45,033 in Rapid Response funds from the State of California for the 2011 -12 fiscal year allocation. DISCUSSION The Workforce Investment Act (WIA) of 1998 provides funds to Local Workforce Investment Areas (LWIA) to operate job- training programs for adults, dislocated workers and youth who meet specific criteria as outlined in the Act. The City of Santa Ana was designated as a LWIA and administrative entity on January 28, 2000, by the State Workforce Investment Board. Santa Ana has received WIA funds to operate job- training programs since July 1, 2000. At the time the 2011 -12 City budget was prepared, the allocation of funding from the State of California had not been received for WIA. As a result, estimated revenue figures were used. The State has since issued the final allocations for WIA funding for fiscal year 2011 -12. This appropriation adjustment will reflect the increase in funding for the Dislocated Worker and Youth programs, and the decrease in funding for the Adult and Rapid Response programs. This appropriation adjustment will increase the WIA budget to reflect the actual amount received of $3,608,143. The appropriation also includes the allocation of 10% or $338,297 of the Adult, Dislocated Worker, and Youth program funds to be used for program administration as allowed by WIA regulations. 20A -1 Appropriation Adjustment - Additional WIA Allocations August 1, 2011 Page 2 FISCAL IMPACT Upon approval of the appropriation adjustment, funds will be available in the WIA Dislocated Worker account (no.12318754), WIA Youth Council account (no. 12318750), WIB Admin account (no. 12318748), and WIA Rapid Response account (no. 12318756). APPROVED AS TO FUNDS AND ACCOUNTS: 'TI C! Nancy T. Ed I're ds Interim Exec Director Community Development Agency NTE /LAO /cd /sv Francisco Gutierrez Executive Director Finance & Management Services Agency f REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: APPROPRIATION ADJUSTMENT - WORKFORCE INVESTMENT ACT FUNDS CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Approve an appropriation adjustment recognizing additional revenues from the California Workforce Investment Board in the amount of $5,000 for Workforce Investment Act activities. DISCUSSION The California Workforce Investment Board (CWIB) is responsible for assisting the Governor in all the functions outlined in the Workforce Investment Act. In 2008, the CWIB asked One -Stop Employment Centers in California to pilot a new service model designed to employ job seekers and increase their chances of retaining those jobs. The WORK Center was one of 12 One -Stop employment centers across the State of California to adopt the new model. On February 7, 2011, Cal State Northridge (CSUN) staff on behalf of the CWIB conducted an onsite study of Santa Ana WORK Center services. Specifically, the CWIB measured the impact of the WORK Center service model in order to compare it to others statewide. City staff assisted in the gathering of data on the service model impact including volume and type of services delivered, customer satisfaction, activity based cost accounting and federal outcomes. The CWIB will reimburse the WORK Center for the staff time needed to prepare and collect the needed data. FISCAL IMPACT Upon approval of the appropriation adjustment, funds will be available in the One Stop Program account (no. 12318751). 41UN Appropriation Adjustment - WIA Funds August 1, 2011 Page 2 Nancy T. E ards Interim Ex tive Director Community Development Agency NTE /LAO /cd /mlr 41 = APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency d REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: CONTRACT AWARD TO ZOLL MEDICAL CORPORATION FOR DEFIBRILLATORS (SPEC. NO. 11 -038) Gk— CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Award a contract to ZOLL Medical Corporation for the purchase of 10 manual defibrillators in the amount of $252,000. DISCUSSION The Santa Ana Fire Department's Emergency Medical Services (EMS) use defibrillators in the performance of their duties. In March 2005, the City Council awarded a contract to ZOLL Medical Corporation for the purchase of 10 manual defibrillators. The Orange County EMS regulates standards for EKG testing and manages the replacement schedule; a five year life span on defibrillators. With the replacements, the paramedics can continue to perform critical life saving procedures in the field and while transporting patients to the hospital. The ZOLL E Series ACLS 12 -lead defibrillator has proven to be responsive to the Fire Department needs and the Fire Authority standards and protocols. Santa Ana City Ordinance No. NS -2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. The County of Los Angeles contract with ZOLL Medical Corporation for 12 -lead defibrillators was awarded as a result of open, competitive bidding, and meets the City's requirements. FISCAL IMPACT Funds are available in the Metropolitan Medical Response System 2009 Grant account (no. 14615364- 63001). 22B -1 Contract Award for Defibrillators August 1, 2011 Page 2 David Thomas Fire Chief Fire Department EG APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Mgt. Services Agency REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: CONTRACT AWARD TO POWER AND SYSTEMS INNOVATIONS FOR UNINTERRUPTIBLE POWER SUPPLY REPLACEMENT (SPEC. NO. 11 -033) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1St Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Award a contract to Power and Systems Innovations for uninterruptible power supply (UPS) replacement in an amount not to exceed $67,400. DISCUSSION The Finance and Management Service Agency Building Maintenance Division maintains approximately 50 buildings, including fire stations, recreation and community centers, Police Administration building, libraries, City Hall, and the Corporate Yard. The Police Administration building was completed in 1997 with the major building systems covering electrical, plumbing, air conditioning and elevators requiring constant testing, maintenance and upgrading to meet current certification and safety issues. Two UPS units serve as the electrical power backup units for the Jail covering all security function for the automated door control systems with touch screen control panels covering doors, intercoms and security sensors. In addition, the UPS units provide power back up for the lighting system. Both units have exceeded their 10 year manufactures life expectancy. The electronic boards and components are obsolete and replacement parts are no longer available. In order to provide dependable electrical power backup for the Jail facility, staff recommends replacing the units. The notice inviting bids was advertised on June 23, 2011 and bids were solicited. A summary of the bid invitations and bids received is as follows: 11 Invitations For Bid mailed 1 Invitation for Bid mailed to a Santa Ana vendor 9 Bids received Bids were received, opened on July 5, 20011, and evaluated (Exhibit 1). The bid received from Power Systems Innovations is responsive to the specifications and meets the City's requirements. To allow for unanticipated charges, an additional three percent contingency has been included in the award amount. 22C -1 Contract Award for Uninterruptible Power Supply Replacement August 1, 2011 Page 2 The original specs of 11 -033 requested quotes for the UPS units only. Recommendations made in submitted offers included the option to add a transformer for the small UPS system required energy conversion. The City has elected to include the purchase of a transformer to complete the system package. FISCAL IMPACT Funds are available in the Criminal Activities — D.O.J. account (no. 02614450- 66400). Paul M. Walters Chief of Police KM APPROVED AS TO FUNDS AND ACCOUNTS Francisco Gutierrez Executive Director Finance & Management Services Agency 22C -2 ABSTRACT OF BID CONTRACT AWARD FOR UNINTERRUPTIBLE POWER SUPPLY REPLACEMENT (11 -033 OFFERS ARE MGE UPS SYSEMS THAT MEET BID SPECS. Based on the recommendations made in the offers received, one transformer was added to the project, after the bids were opened. Purchasing requested the 2 best offers received to add the cost of the transformer. ALL REVISED OFFERS PRESENTED WITH SALES TAX AT 7.75% REFLECTING TAX RATE CHANGE AS OF 7 -1 -11 POWER SYSTEMS INNOVATIONS — ORLANDO FL $65,496.73 + 3% CONTINGNECY = 1$67,400.00 = AwAR POWER SYSTEMS ENGINEERING — CRESTWOOD IL $69,141.77 ALL ORIGINAL OFFERS PRESENTED WITH SALES TAX AT 8.75% VENDOR — LOCATION POWER SYSTEMS INNOVATIONS — ORLANDO FL POWER SYSTEMS ENGINEERING — CRESTWOOD IL TIM POWER SYSTEMS — TORRANCE CA TITAN POWER INC — PHOENIX AZ ALTERNATIVE MANUFACTURER OFFERS ALL OFFERS PRESENTED WITH SALES TAX AT 8.75% VENDOR - LOCATION POWER CONVERSION SYSTEMS — HUNTINGTON BEACH CA LIEBERT MFG POWER CONVERSION SYSTEMS - ALTERNATIVE OFFER 2 LIEBERT MFG. POWER CONVERSION SYSTEMS — ALTERNATIVE OFFER 3 LIEBERT MFG. TITAN POWER — PHOENIX AZ LIEBERT MFG. TITAN POWER — ALTERNATIVE OFFER 2 GAMATRONIC MFG. AWARD TO: POWER & SYSTEMS INNOVATIONS $67,400 Exhibit 1 22C -3 $59,647.73 $60,114.83 $76,332.70 $77,059.50 $61,966.84 $67,593.56 $69,064.95 $72,336.56 $76,315.40 22C -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: CONTRACT RENEWAL WITH CALIFORNIA FORENSIC PHLEBOTOMY, INC. FOR BLOOD AND BREATH TECHNICIAN SERVICES (SPEC. NO. 07 -060) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Renew the contract with California Forensic Phlebotomy, Inc., for blood and breath technician services in an annual amount not to exceed $120,000. DISCUSSION The Santa Ana Police Department Forensics Division contracts with California Forensic Phlebotomy Inc. for blood alcohol level testing /analysis, drug content, blood typing, and DNA testing. California Forensic Phlebotomy, Inc. is the current provider of blood and breath technician services for all Orange County law enforcement agencies. The testing is required for use as evidence in the prosecution of criminal cases. On July 2, 2007, the City Council awarded a contract to California Forensic Phlebotomy, Inc., for a two -year term, with provision for three, one -year renewals. The vendor has agreed to renew the contract for the final year. California Forensic Phlebotomy, inc., has been providing service to the City since 1992, and has performed satisfactorily during this time. As a result, the Police Department recommends Council approval of this action. FISCAL IMPACT Funds are available in the Police Patrol Services Other Contractual Services account (no. 01114420- 62300). 22D -1 Contract Renewal for Blood and Breath Technician Services August 1, 2011 Page 2 Paul M. Walters Chief of Police PD /EG /07 -060 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency Ir- ---h. 22D -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: CONTRACT RENEWAL TO GALLADE CHEMICAL INC. FOR WATER TREATMENT SALT (SPEC. NO.08 -008) f #- ` j l CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Renew the contract with Gallade Chemical Inc. for water treatment salt for a one -year period in an annual amount not to exceed $40,000. DISCUSSION The Public Works Agency Water Resources Division produced 35,274.6 acre -feet of water last fiscal year from 21 groundwater wells and purchased another 5,860.6 acre -feet of treated water from the Metropolitan Water District for delivery to businesses and residents in Santa Ana. In compliance with the National Sanitation Foundation Standard 60 requirements for safety, salt is used in a non- hazardous disinfection process at the well sites. Central Stores at the Corporate Yard handles the ordering and storing of the salt bags until requisitioned by PWA water crews. The contract for salt provides quality products at a significant savings based on quantity pricing. On April 7, 2008, the City Council awarded a contract to Gallade Chemical Inc. for a one -year period, with provisions for four one -year renewals. The vendor has performed satisfactorily during the past contract period and has agreed to renew the contract; however the vendor has requested a 2.15 percent price increase per sack as the results of rising cost of raw material. Staff verified the increase is consistent with the market and the vendor continues to offer a competitive price. Staff recommends the third renewal of the contract. The annual amount has been adjusted down by 11 percent based upon staff's projection for the next year. FISCAL IMPACT Funds are available in the Water Utility Production & Supply account (accounting unit 06017640- 63001). Raul Godinez II Executive Director Public Works Agency km APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 22E -1 22E -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: CONTRACT RENEWAL TO UNISOURCE WORLDWIDE INC. FOR REPROGRAPHICS PAPERS AND ENVELOPES (SPEC. NO. 09 -008) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: U920pLw ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Renew the contract with Unisource Worldwide Inc. for reprographic papers and envelopes for a one - year period in an annual amount not to exceed $80,000. DISCUSSION The Finance and Management Services Agency's Central Services division stocks copier, laser and specialty papers for in -house duplicating services for departments throughout the City. In addition, the Police Department's Central Distribution Center stocks copy paper for various divisions and the Holding Facility. On April 6, 2009, the City Council awarded a contract to Unisource Worldwide Inc. for a one -year period, with provisions for two one -year renewals. The vendor has performed satisfactorily during the past contract period and has agreed to renew the contract without an increase in pricing except to pass on announced paper mill increases. Staff recommends the final renewal of the contract. FISCAL IMPACT Funds are available in the Finance & Management Central Services account (no. 07110100- 63001), and the Police Property & Facilities account (no. 01114450- 63001). �j Paul Walters Chief of Police 2w APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency, 22F -1 22F -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: CONTRACT RENEWAL TO ORANGE COUNTY STRIPING SERVICE INC. FOR TRAFFIC LINE PAINTING AND TRAFFIC SIGN MAINTENANCE (SPEC. NO. 08 -060) 1 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Renew the contract with Orange County Striping Service, Inc., for roadway striping and markings and traffic sign maintenance for a one -year period in an annual amount not to exceed $425,275. DISCUSSION The Public Works Agency's Roadway Marking and Signs Section manages approximately 400 miles of streets in the city. Contracts are required for the installation and removal of traffic stripes, pavement markings, curb markings, and raised pavement markers, as well as the installation, removal or relocation of traffic signs. To minimize impact on traffic flow, roadway striping and sign maintenance is conducted at night. On November 17, 2008, the City Council awarded a contract to Orange County Striping Service, Inc. for a one -year period, with provision for three one -year renewals. In the last year, crews have restriped over 2,950,000 linear feet of roadway, and repainted 200,000 linear feet of curb, 1,300 legends and 2,650 arrows. The vendor has performed satisfactorily during the past contract period and has agreed to renew the contract without an increase in pricing. Staff recommends the final renewal of the contract. FISCAL IMPACT Funds are available in the Public Works Roadway Markings and Signs Account (no. 01117625- 62300). APPROVED AS TO FUNDS AND ACCOUNTS: auI — N ne II Francisco Gutierrez Executive Dir ctor Executive Director Public Works gency Finance and Management Services Agency] PG /KM �.#�' 22G -1 22G -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: AMENDMENT TO AGREEMENT WITH WEST COAST ARBORISTS FOR TREE MAINTENANCE SERVICES CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15t Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the Clerk of the Council and the City Manager to execute the attached amendment (Exhibit 1) for tree maintenance services with West Coast Arborists, Inc. in the amount not to exceed $760,622 for fiscal year 2011 -2012. DISCUSSION The Public Works Agency (PWA) is responsible for the maintenance of approximately 65,000 street trees and 3,000 median trees. The work performed is a component of the City's tree management program and is planned based upon the tree species pruning cycle. Since 1997, the City has utilized the services of West Coast Arborists, Inc. (WCA) to provide tree - maintenance services. The City and the contractor have had an excellent public /private partnership over the term of the contract, working with neighborhoods and the community on tree -care issues. The PWA Tree Section has been reviewing the City's pruning standards. During the review it was noted that the industry standard for pruning has changed. Some cities are reducing their foliage removal to 15 percent of the tree canopy. This is approximately a 25 percent reduction in pruning costs, and the City has implemented a pilot program that reflects a reduced pruning level. Last month, the Council directed staff to explore reduced pricing to coincide with the reduced pruning standards. WCA recognizes that municipalities remain challenged by substantial reductions in revenue and increased operating costs and, based on Council's request, have agreed to add a price for lighter tree pruning. A survey was conducted of other Orange County cities for pruning costs including other comparable urban - forest -sized cities. The pruning pricing ranged from $46.50 up to $136.00 per tree (Exhibit 2); Santa Ana's price is $47.00 per tree. WCA has agreed to reduce the price by 30 percent for a light pruning. The light pruning price will be $33.00, which will be the lowest of all cities surveyed. Some trees may require a heavier trim and will continue to be charged at the current rate of $47.00. No other changes to the current agreement are proposed. 25A -1 Amendment to Agreement with West Coast Arborists for Tree Maintenance Services August 1, 2011 Page 2 This amendment will result in a savings of approximately $161,000 in pruning costs during the 2011- 2012 fiscal year. Other costs included in the program are for planting, tree removal, stump grinding, and emergency callouts. For this fiscal year, services will be provided to programs in the Public Works, Community Development, and the Parks, Recreation and Community Services Agencies for a total not -to- exceed amount of $760,622. On June 21, 2004, the City Council approved the current 5 -year agreement with WCA to provide general maintenance services for the city's urban forest, with an option for five one -year extensions, through fiscal year 2013 -2014. This is the third one -year extension. West Coast Arborists, Inc. has successfully provided the services specified in the agreement, and staff recommends approval of the amendment. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds for this agreement are available in the following activities: Street Trees (accounting unit 06817643- 62321), Water Production and Supply (accounting unit 06017640- 62320), Median Maintenance (accounting unit 02917635- 62320), Depot Operations (accounting unit 06717650- 62320), Parks Maintenance (accounting unit 01113250 - 62320), Civic Center Maintenance (accounting unit 07413250 - 62320), and Stadium Maintenance (accounting unit 01113210 - 62320). _', &,- 6",__ Raul Godfnez II Executive Director Public Works Agency Gerardo Mouet Executive Director Parks, Recreation & Community Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: A:�Sm � S�, r. , , �kl ". 4-- Francisco Gutierrez Executive Director Finance & Management Services Agency RG /DM Exhibits: 1. Amendment 2. Price Comparison for Tree Pruning Services 25A -2 EXHIBIT 1 FOURTH AMENDMENT TO AGREEMENT FOR TREE MAINTENANCE SERVICES THIS AMENDMENT, made and entered into this 18`h day of July, 2011 by and between WEST COAST ARBORISTS, INC., hereinafter referred to as "CONTRACTOR" and the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "CITY ". RECITALS The CITY and CONTRACTOR entered into that certain "Agreement for Tree Maintenance Services A- 2004 -116" dated June 21, 2004, hereinafter referred to as "said Agreement," setting forth the terms, scope and conditions of the services CONTRACTOR is to provide CITY. 2. By Amendments dated July 7, 2008, June 1, 2009 and June 21, 2010, the Parties agreed to adjust the unit pricing for tree trimming. The parties hereto desire to amend said Agreement, adjusting the unit prices, extending the term for an additional one -year period and allocating funds to pay for services during the extended term. WHEREFORE, in consideration of the mutual and respective covenants hereinafter set forth, and subject to the terms and conditions hereof, the parties hereto do hereby agree as follows: A. Section 1, TERM, shall be amended to reflect City's exercise of its option to extend the term for an additional one -year period, through June 30, 2012. The City retains the option to extend the term of said Agreement for up to two additional one -year periods. Contractor grants to City an additional option to extend the term for up to five consecutive one -year periods, through June 30, 2019. Said option(s) may be exercised in the sole discretion of the City. B. Section 4.A., COMPENSATION AND PAYMENT TO CONTRACTOR, shall be amended to increase total compensation by Seven Hundred Sixty Thousand, Six Hundred Twenty Two Dollars ($760, 622) to pay for the services rendered in conformance with standards set forth in the Contract Documents during the period commencing July 1, 2011, through June 30, 2012. Payment shall be made in accordance with the Schedule of Compensation attached as Exhibit B -1 hereto. C. Except as herein amended, all terms and conditions of said Agreement shall remain in full force and effect. /// 25A -3 EXHIBIT 1 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM JOSEPH STRAKA Interim City Attorney Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: RAUL GODINEZ, II Executive Director — Public Works Agency CITY OF SANTA ANA PAUL M. WALTERS Acting City Manager WEST COAST ARBORISTS, INC. PATRICK MAHONEY President 25A-4 I" II;3Y81. SCHEDULE OF COMPENSATION Fiscal Year 2011 -2012 ITEM DESCRIPTION UNIT PRICE 1 Light Pruning Each $ 33.00 2 Tree Pruning Each $ 47.00 3 Service Request Pruning Each $ 55.90 4 Palm Pruning Each $ 24.00 5 Tree and Stump Removal Inch $ 18.70 6 Tree Only Removal Inch $ 13.00 7 Stump Only Removal Inch $ 5.90 8 Tree Planting 24" Box with RB Each $229.70 9 Arterial- Tree Planting 24" Box with RB Each $280.00 10 Infill- Tree Planting 24" Box with RB Each $280.00 11 Priority — Tree Planting 24" Box with RB Each $280.00 12 Tree Planting 36" Box with RB Each $954.70 13 Tree Well Installation Each $272.70 14 Root Pruning L.F. $ 8.60 15 Crew Rental — 3 -man crew Hour $136.35 16 Emergency Crew Rental Hour $287.10 17 Watering Day $373.40 25A -5 aVlffl, Exhibit 2 Price Comparison for Tree Pruning Services CITY —� TREE PRUNING PRICE Pruning Type Species Grid Current price for Species Pruning Santa Ana $ 47.00 x Local Cities Anaheim $ 58.00 x Costa Mesa $ 46.60 x County of Orange $ 135.00 x Fullerton $ 48.00 x Garden Grove $ 52.00 x Huntington Beach $ 95.00 x Mission Viejo $ 90.00 x Yorba Linda $ 46.50 x Cities visited by City staff in 2011 Claremont $ 49.00 x La Verne $ 90.00 x San Dimas $ 58.00 x Cities with comparable urban forests to Santa Ana Long Beach $ 55.00 x Whittier $ 90.00 x Note: The tree pruning prices are for a typical industry standard pruning As of May 2011 25A -7 aVlffoe,� REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2010 -19 FOR THE PROPERTY LOCATED AT 2126 NORTH ROSS STREET -r CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15` Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Thomas and Amy Tsotsis, property owners, for the structure located at 2126 North Ross Street, subject to non - substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION Recommended that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Thomas and Amy Tsotsis, property owners, for the structure located at 2126 North Ross Street, subject to non - substantive changes approved by the City Manager and City Attorney at its July 7, 2011 meeting by a vote of 5:0 (Hitterdale absent; O'Callaghan abstained). DISCUSSION After the public hearing on July 7, 2011, the Historic Resources Commission reviewed the proposed Historic Property Preservation Agreement (Mills Act Contract) and concluded that the resulting potential property tax savings would encourage the owner to reinvest the tax savings in the maintenance of their historic property, and would benefit both the owner and the community (Exhibit A). Additionally, the agreement prevents inappropriate alterations. 25B -1 HPP Agreement No. 2010 -19 August 1, 2011 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $112.30 to $561.51 annually, for a period of not less than ten years. LNL�s — Jay W Trevino Executive Director Planning & Building Agency HS:rb hs\historic info\mills act agreements \2126_N_Ross \hppa10 -19.cc APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agencyj— Exhibit: A. Historic Resources Commission Staff Report REQU EST FOR Historic Resources Commission Action Nr HISTORIC RESOURCES OOMUISSIOIV NEETM DAM JULY 7, 2011 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2010 -19 FOR THE PROPERTY LOCATED AT 2126 NORTH ROSS STREET Prepared by Hally Soboleske APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For CONTINUED TO xecutive Director Planning MarAger RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Thomas and Amy Tsotsis, property owners, for the structure located at 2126 North Ross Street subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant The applicants, Thomas and Amy Tsotsis, request the approval of Historic Property Preservation Agreement No. 2010 -19 (Mills Act) between the property owner and the City of Santa Ana. Property Location and Site Description The subject property includes a Spanish Colonial Revival styled residence located at 2126 North Ross Street, between Santa Clara Avenue and Nineteenth Street, and is within the Floral Park neighborhood. Surrounding land uses are all residential (Exhibit 1). The lot is 9,250 square feet, and is developed with a 1,381 square foot home and a detached garage. Proiect Background This project was brought to the Historic Resources Commission for action on April 7, 2011; however, this item was continued to July 7, 2011 due to a lack of quorum. In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as the Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. 101 W-:151 HPPA No. 2010 -19 July 7, 2011 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties pursuant to Government Code Section 502380.1. The subject property was placed on the local register as the MacKay House and categorized as Contributive in 2007 by the Historic Resources Commission (Exhibit 2). Analysis of the Issues Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Public Notification This subject site is located within the Floral Park neighborhood. The president of this Neighborhood Association was notified by mail prior to this meeting date although this is not a public hearing item. No areas of concern were identified by the Neighborhood Association president, nor was there a request that the applicant present the project to a meeting of their members. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended action is exempt from further review under General Rule Section 15061(b)(3), and therefore, the recommended action is exempt from further review. 25B -4 HPPA No. 2010 -19 July 7, 2011 Page 3 Conclusion Since the property meets all the requirements for Agreement, and there are no code violations noted Historic Property Preservation Agreement is given. Hally'Sobolq5ke Associate Planner HS:jm hslhistoric info\mills act agreements\2126— N_Rosslhppal0- 19.070711.hrc Attachments: Exhibit 1 — Radius Map Exhibit 2 — Executive Summary Exhibit 3 — Mills Act Agreement eligibility for a Historic Property Preservation at this site, a positive recommendation for a 25B -5 Sergio Ilotz, AVP Princin Planne I � �� HPPA - 2010 -19 2126 North Ross Street PLANNING AND BUILDING AGENCY EXHIBIT 1 25B -7 SANTA CIARA AV 2224 325 X21 C Offis 26 20 !s iB i 2w 21t1t9 2A32 +OCR ZtB 2tJE31 20�@ Awl 2A91f 8026 500' RADIUS HPPA - 2010 -19 2126 North Ross Street PLANNING AND BUILDING AGENCY EXHIBIT 1 25B -7 EXECUTIVE SUMMARY MACKAY HOUSE 2126 North Ross Street Santa Ana, CA 92706 NAME MacKay House REF. NO. ADDRESS 2126 North Ross Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1930 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD I Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 1 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE Mission /Spanish Colonial Revival The Mission /Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Mission Revival vocabulary, popular between 1890 and 1920, drew its inspiration from the missions of the Southwest. Identifying features include curved parapets (or espadana); red tiled roofs and coping; low- pitched roofs, often with overhanging eaves; porch roofs supported by large, square piers; arches; and wall surfaces commonly covered in smooth stucco. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama - California Expostion in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low- pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. SUMMARY /CONCLUSION: The MacKay House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it `contributes to the overall character and history" of Santa Ana, and, as an example of the Spanish Colonial Revival style in the Floral Park neighborhood "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated locally. EXHIBIT 2 Page 1 of 5 25B -9 State of Califomla The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD HRI # Trinomial NRHP Status Code Other Listings Review Code_ Reviewer Date rce by P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted "a. County Orange County *b. U'SGS 7.5' Quad TCA0067 Date: "c. Address 2126 North Ross Street City Santa Ana Zip 92705 *e. Other L.ocational Data: Assessor's Parcel Number 002 - 112 -15 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) This Spanish Colonial Revival residence was built as a one -story home but recently (2002) was expanded to two. The original portion of the house comprises the front (east) and of building. Stucco -clad, the building features a complex roof consisting of tiled front and side gables, a flat- section rimmed by a parapet, and hipped roof "towers." The roof configuration of the upper story echoes that of the lower. The fagade is asymmetrical in composition, with a porte cochere spanning the driveway on the north and merging into a covered entry porch crowned by the original of the two towers. Three arches, varied in width and degree of curvature, pierce the porte cochere and porch. South of the porch, a front - gabled wing projects forward and contains a large, multi -paned window whose segmented head accommodates a lunette with radiating muntins. The flat roofed wing that marks the southeast comer of the building is anchored by buttress and contains a triple window shaded by a canvas awning. The addition, setback so as not to overwhelm the original building, echoes the vocabulary and proportions of the lower story. It incorporates a characteristically Spanish Colonial Revival wood - railed balcony visible on the north elevation and an attached, stucco - covered chimney on the south elevation. The properly is in good condition and also includes a similarly designed garage visible through the Porte cochere and a pool and pool house which are hidden from view. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ❑Element of District ❑Other .I P5b. Photo: (view and date) East elevation January 2007 *P6. Date Constructed /Age and Sources: ■historic 1930ICity of Santa Ana Building Permits *P7. Owner and Address: DANIEL SEAN & KELLY MARIE O'SULLIVAN 2126 N. Ross Street Santa Ana, CA 92706 *P$. Recorded by: L. Heumann and D. Howell- Arrtfle Sapphos Environmental, Inc. 133 Martin Alley Pasadena, California 91105 *P9. Date Recorded: January 26, 2007 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter'none') None. *Attachments: ❑None 01-ovation Map ❑Sketch Map ■Continuation Sheet NBuiiding, Structure, and Object Record E3Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1195) *Required information Page 2 of 5 State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *CHR Status Code 5S1 -rcesource name or e: macnay House B1. Historic Name: MacKay House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *85. Architectural Style: English- Revival *86. Construction History: (Construction date, alterations, and date of alterations): Constructed in 1930 July 21, 1929. Swimming pool. April 1, 1959. Patio and fireplace. December 30, 1974. Repair fire damage. August 21, 2002. 1st floor: add family room with prefab fireplace, laundry roam, and bedroom. Add 2i° floor master bedroom with retreat area, two prefab fireplaces, bathroom and deck (100 square feet). , $86,600. *87. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *88. Related Features: Garage. B9a. Architect: Unknown b. Builder: Roy Russell *810. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1895 -1965 Property Type: Single- family Residence Applicable Criteria: NR: Q CR: 3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The MacKay House is architecturally significant as a representative example of the Spanish Colonial Revival style. The house retains its Spanish character despite the sizeable addition made in 2002 because of the setback and design of the new second floor, including its proportions, materials, massing, and detailing. City of Santa Ana records indicate that the house and garage, valued at $5,000, were originally constructed in March 1930by Roy Russell, one of the primary developers of the Floral Park neighborhood. Curiously enough, a building permit for a swimming pool, valued at $350, was issued prior to that for the house, in 1929. When the address first appears in city directories in 1931, Kenneth MacKay, the district manager of the Union Central Life Insurance Company, and his wife Clarice were the listed residents. From 1932 through 1935, Howard L. Stone, a foreman for the Telephone Company, and his wife Marquita occupied the house. In subsequent years, ownership of the residence changed multiple times. (See Continuation Sheet 3 of 4.) B 11. Additional Resource Attributes: (List attributes and codes) *12112. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 3 of 4.) B13. Remarks: *614. Evaluator: Leslie J. Heumann *Date of Evaluation: January 26, 2007 (This space reserved for official comments.) DPR 5238 (1195) Page 3 of 5 25B -11 Sketch Map SAWA CLAM » ° O o- OOOUO�; Y IC z „, 2126 N. Ross Street 002 - 112 -15 0 U p CU O - ,• O n 0 O O p O O O 40 *Required Information State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial rage ,s or 4 Kesource Name or ip (Assigned by recorder) MacKay House "Recorded by Leslie J. Neumann and Deborah Howell - Ardila *Date January 26, 2007 O Continuation ❑ Update *B10. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The MacKay House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by East Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves oforanges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). 'Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War Ili, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War 11 years, Floral Park continued its development as numerous, smaller, single- family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2006) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The MacKay House also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Spanish Colonial Revival style. Typical features of this style illustrated by the house include its combination of stucco cladding with tiled roofs, the use of arched openings as a unifying theme, and the incorporation of a romantic feature such as decorative tower into the design. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an example of the Spanish Colonial Revival style "is a good example of period architecture." Character - defining exterior features of the MacKay House that should be preserved include, but may not be limited to, materials and finishes (stucco, wood); original roof configuration and detailing; original windows and doors where extant porch and porte cochere; architectural details such as vents, buttress, and slightly raised molding at the roolline; and garage. *1312. References (continued): Harris, Cyril M. American Architecture: An illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana. An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept, of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MiT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921. Franklin, Don. NW Santa Ana History: Roy Russell & Son, Builders." Unsourced article from the Santa Ana History Room Historic House File, circa 1995. Santa Ana and Orange County Directories, 1930 -1947. DPR 523L Page 4 of 5 25B -12 State of California -- The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name or # (Assigned by recorder) MacKay House 'Recorded by Leslie J. Neumann and Deborah Howell- Ardila "Date January 26, 2007 © Continuation 0 Update 135b. Photographs (continued): DPR 523L Page 5 of 5 25B -13 25B -14 MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ( "Agreement ") is made and entered into this August 4, 2011 by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the of the State of California (hereinafter referred to as "City"), and Thomas and Ann Tsotsis, (hereinafter referred to as "Owners "), owner of real property located at 2126 North Ross Street, Santa Ana, California, 92706 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 2126 North Ross Street, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property ". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code, D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. EXHIBIT 3 -i- 25B -15 MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owners of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on August 4, 2011, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owners or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owners to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owners at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owners may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owners of nonrenewal. d. If either the Owners or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: -2- I MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 a. Owners shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owner shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right -of -way shall be maintained, and Owners shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character - defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owners shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner' compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owners hereby agree to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. -3- 25B -17 MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one -half (12 %Z) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owner, the City shall give written notice to the Owners by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owners), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owner growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owners or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owners if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by -4- ee� MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owner hereby subject the Historic Property, located at 2126 North Ross Street, Assessor Parcel Number, 002 - 112 -15, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owners hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner's successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owners shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owners as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 Owner: Thomas and Amy Tsotsis 2126 North Ross Street Santa Ana, CA 92706 -5- I[a �1 : J MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owners agree to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owners or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owners hereby agree to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. C. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. -6- 256-20 MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: Date: APPROVED AS TO FORM: Joseph Straka Interim City Attorney By: Ryan O. Hodge Assistant City Attorney CITY OF SANTA ANA DAVID N. REAM City Manager By: Thomas Tsotsis By: Amy Tsotsis -7- 256-21 25B -22 MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 Exhibit A N TR 946 LOT 10 Assessor's Parcel Number: 002 - 112 -15 -s- 25B -23 25B -24 MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. 8. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with -9- 25B -25 MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. -10- W.J MILLS ACT AGREEMENT 2126 North Ross Street Santa Ana, CA 92706 Exhibit C (photograph attached) -11- 25B -27 2126 NORTH ROSS STREET PHOTO LOCATION MAP ROSS STREET 50.00 ■ � O � ■ 187.15 � r I ' ■ I ' POOL NORTH -12- 256-28 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2011 -02 FOR THE PROPERTY LOCATED AT 2346 N. NORTH PARK BOULEVARD CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Tam Tran, property owner, for the structure located at 2346 N. North Park Boulevard, subject to non - substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION Recommended that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Tam Tran, property owner, for the structure located at 2346 N. North Park Boulevard, subject to non - substantive changes approved by the City Manager and City Attorney at its July 7, 2011 meeting by a vote of 6:0 (Hitterdale absent). DISCUSSION After the public hearing on July 7, 2011, the Historic Resources Commission reviewed the proposed Historic Property Preservation Agreement (Mills Act Contract) and concluded that the resulting potential property tax savings would encourage the owner to reinvest the tax savings in the maintenance of their historic property, and would benefit both the owner and the community (Exhibit A). Additionally, the agreement prevents inappropriate alterations. 25C -1 HPP Agreement No. 2011 -02 August 1, 2011 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $83.68 to $418.30 annually, for a period of not less than ten years. 99�� - Ja . Trevino Executive Director Planning & Building Agency HS:rb hs\historic info \mills act agreements \2346_N_NorthPark \hppaI1 -02.cc APPROVED AS TO FUNDS AND ACCOUNTS: \ � j J-t L Francisco Gutierrez -°- Executive Director Finance & Management Services Agencyk Exhibit: A. Historic Resources Commission Staff Report 25C -2 REQUEST FOR M " Historic Resources Commission Action A _ ,J HISTORIC RESOURCES CONIIASSION NEETM DATE JULY 7, 2011 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2011 -02 FOR THE PROPERTY LOCATED AT 2346 N. NORTH PARK BOULEVARD Prepared by Hally Soboleske • - « «• .tip « APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For CONTINUED TO Executive Director Planning M ager RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Tam Tran, property owner, for the structure located at 2346 N. North Park Boulevard subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant The applicant, Tam Tran, requests the approval of Historic Property Preservation Agreement No. 2011 -02 (Mills Act) between the property owner and the City of Santa Ana. Property Location and Site Description The subject property includes a Colonial Revival styled residence located at 2346 N. North Park Boulevard, and is within the Floral Park neighborhood. Surrounding land uses are all residential (Exhibit 1). The lot is 9,100 square feet, and is developed with a 2,460 square foot home and a detached garage. Project Background In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as the Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. E 25C -3 HPPA No. 2011 -02 July 7, 2011 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties pursuant to Government Code Section 502380.1. The subject property was placed on the local register as the C. Swanner House and categorized as Key in 2011 by the Historic Resources Commission (Exhibit 2). Analysis of the Issues Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Public Notification This subject site is located within the Floral Park neighborhood. The president of this Neighborhood Association was notified by mail prior to this meeting date although this is not a public hearing item. No areas of concern were identified by the Neighborhood Association president, nor was there a request that the applicant present the project to a meeting of their members. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended action is exempt from further review under General Rule Section 15061(b)(3), and therefore, the recommended action is exempt from further review. 25C -4 HPPA No. 2011 -02 July 7, 2011 Page 3 Conclusion Since the property meets all the requirements for eligibility for a Historic Property Preservation Agreement, and there are no code violations noted at this site, a positive recommendation for a Historic Property Preservation Agreement is given. Hally Soboganner ke Associate HS:jm Whistoric infolmills act agreementsU346 _N_NorthParklhppal1- 02.hrc Attachments: Exhibit 1 — Radius Map Exhibit 2 — Executive Summary Exhibit 3 — Mills Act Agreement 25C -5 Sergio I�itz,'ffP Princip illan r j 25C -6 H P PA- 2011 -02 2346 N. North Park Boulevard PLANNING AND BUILDING AGENCY EXH181T 1 25C -7 25C -8 EXECUTIVE SUMMARY C. SWANNER HOUSE 2346 N. North Park Boulevard Santa Ana, CA 92706 NAME C. Swanner House REF. NO. ADDRESS 2346 North North Park Boulevard CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT 1937 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 2 & CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Colonial Revival The most universal of all American domestic building styles, the Colonial Revival has been popular since the 1876 Centennial celebration in Philadelphia stimulated a patriotic interest in the American architectural past. Whether drawing upon Georgian, Federal, or Dutch Colonial prototypes, Colonial Revival buildings feature rectangular building plans and designs which are usually symmetrical, or at least highly regular and balanced, in composition. Roofs are commonly side - gabled, hipped, or gambreled, sometimes accented with dormers. Porches, one or two stories in height, are often included, mostly as central focal points, and frequently incorporate classical elements such as columns, pilasters, and entablatures. Doorways are adorned with classical surrounds and pediments; sidelights, transoms, and fanlights are not uncommon. Windows are typically double -hung sash, with multiple lights in the upper sash. French doors and Palladian windows are also utilized. Depending on location, Colonial Revival buildings have wood, brick, or stucco exteriors (McAlester, 320 -326). SUMMARY /CONCLUSION: The C. Swanner House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Key" because of its "distinctive architectural style and quality" and, as an intact example of the combination of the Colonial Revival style in the Floral Park neighborhood, its association with Charles D. Swanner, attorney, author, and local historian. (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 2: It is associated with the lives of persons important to local, California or national history 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) SSl: Individual property that is listed or designated locally. EXHIBIT 2 Page 1 of 4 25C -9 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Primary HR #_ Trinomial NRHP Status Code Other Listings Review Code Reviewer Date Page 1 of 4 Resource name(s) or number (assigned by recorder) C. Swanner House P1. Other Identifier: *P2. Location: E]Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA1725 Date: *c. Address 2346 N. North Park Blvd, City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002- 122 -03 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) This Colonial Revival styled residence is rectangular in plan, as a side gable, and is two storied. The structure is clad in horizontal wood siding, and is topped by asphalt shingles. A red brick chimney sits atop the roof. The roof has very shallow eaves and the side gables have broken pediments. Fenestration patterns are very symmetrical. The first floor front fagade has two bow windows on either side of the front entry. Fach bow window has five 10 -tight segments composed of wood and a copper roof. Shutters adorn each side of the windows. Windows on the upper floor span the second floor elevation in its entirety and include five single hung wood windows, all with wood shutters straddling each window. The central front entry includes a wood door with a narrow porch and landing protruding into the front yard. The porch is supported by half Doric wood porch supports and includes a front facing gable with broken pediment The landscape on the property is lush and mature. A small detached garage sits to the rear of the property. *P3b. Resource Attributes: (list attributes and codes) HP2. Single - family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ❑Element of District ❑Other P5b. Photo: (view and date) Northeast facing elevation March 2011 *P6. Date Constructed/Age and Sources: ■historic 193710ty of Santa Ana Building Permits *P7. Owner and Address: Tam Quang Tran 2346 North North Paris Blvd, Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza Santa Ana, CA 92702 *P9. Date Recorded: March 21, 2011 *P10. Survey Type: intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none") None. 'Attachments: ❑None ❑Location Map ❑ Sketch Map ■Continuation Sheet .........y, .... a. ...aa , , uJG . —G l U ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record OPhotograph Record ❑ Other (list) DPR 523A (1195) Page 2 of 4 25C -10 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *CHR Status Code 5S1 rwawuiuv amw vi fr. u. owtlrlrivi rruuse B1. Historic Name : C. Swanner House B2. Common Name: Same B3. Original Use: Single - family Residence *135. Architectural Style: Colonial Revival B4. Present Use: Single- family Residence *66. Construction History: (Construction date, alterations, and date of alterations): Constructed 1937 October 7, 1937. Residence and garage. $10,000. March 21, 1945. One fixture for Charles Swanner. April 5, 1957. Garage extension. September 30, 1988. Pool and spa. December 7, 1988. Install sauna in garage. *67. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *68. Related Features: None. B9a. Architect: Unknown b. Builder: Roy Russell *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1895 -1965 Property Type: Single- family Residence Applicable Criteria: CR. 5S1 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The C. Swanner House is architecturally significant as a Colonial Revival style of architecture in the Floral Park neighborhood. It was constructed in 1937 by Roy Russell as a speculative venture. The first occupants and owners were Loyal and Mary King, who were ranchers in the area. Loyal King eventually gave up ranching and became part owner of the Santa Ana Register with J. Frank Burke, a precursor to the Orange County Register. The publication began in 1905 as a way to offer local news to Santa Ana residents and those nearby. The publication was sold to R. C. Hodes in 1935 at a time when the newspaper was being sold at 3 cents a copy. After Mr. King sold the newspaper, he became part owner in Pacific Coast Broadcasting which operated out of Pasadena, and he and his wife moved out of the home to be closer to his employment. The house was then sold to Charles Douglas Swanner and his wife Helen. Charles Swanner was a local who attended Santa Ana High School, and went on to become a well -known attorney and President of the Orange County Bar Association. His offices were located in the National Bank Building on the southwest comer of Fourth and Main Street. Mr. Swanner was a lieutenant in Company L "in Santa Ana in 1916. Mr. Swanner was also the owner of a 30 acre ranch in the San Juan Capistrano area that was sold to the City in 1990 for $6.9 million. He was also an amateur historian and authored several books regarding life in Santa Ana, and the history of Orange County. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) i Map *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *614. Evaluator: Hally Soboleske (This space reserved for official comments.) "Date of Evaluation: March 21, 2011 Page 3 of 4 25C -11 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name or # (Assigned by recorder) C. Swanner House - mecoraea by many 000aesKe 'Date March 21, 2011 © Continuation ❑ Update DPR 523B (1/95) *Required information *1310. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The C. Swanner House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). `Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register. September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. 'When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each"( range County Register. September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War ll years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The C. Swanner House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as Key" because it of its distinctive architectural style and quality of architecture, as well as its association with both Loyal King, former co -owner of the Santa Ana Register, and with Charles D. Swanner, notable attorney and historian. Character- defining exterior features of the C. Swanner House that should be preserved include, but may not be limited to, exterior materials, massing, original windows where extant, and front porch configuration. 1312. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. How to Complete the National Register Registration Form." Washington DC. National Register Branch, National Park Service, US Dept of the interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Pleasants, Mrs. J. E. History of Orange County California volume 2. Los Angeles: J. R. Finnell & Sons, 1931, pp. 364 -365. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. History of Floral Park." httoYA vww./loral- park.com/page2.html. Santa Ana and Orange County Directories, 1937 -1978. DPR 523E Page 4 of 4 25C -12 MILLS ACT AGREEMENT 2346 N. North Park Blvd Santa Ana, CA 92706 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ( "Agreement ") is made and entered into this August 1, 2011 by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the of the State of California (hereinafter referred to as "City "), and Tam Tran (hereinafter referred to as "Owner "), owner of real property located at 2346 N. North Park Boulevard, Santa Ana, California, 92706 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act ") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 2346 North North Park Boulevard, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property ". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. EXHIBIT 3 -1- 25C -13 MILLS ACT AGREEMENT 2346 N. North Park Blvd Santa Ana, CA 92706 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owners of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on August 1, 2011, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owners or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owners to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owners at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owners may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owners of nonrenewal. d. If either the Owners or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: -2- 25C -14 MILLS ACT AGREEMENT 2346 N. North Park Blvd. Santa Ana, CA 92706 a. Owners shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owner shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right -of -way shall be maintained, and Owners shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character - defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owners shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner' compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owners hereby agree to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. -3- 25C -15 MILLS ACT AGREEMENT 2346 N. North Park Blvd Santa Ana, CA 92706 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one -half (12 Yx) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owner, the City shall give written notice to the Owners by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owners), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owner growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owners or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owners if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by -4- 25C -16 MILLS ACT AGREEMENT 2346 N. North Park Blvd Santa Ana, CA 92706 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owner hereby subject the Historic Property, located at 2346 North North Park Boulevard, Assessor Parcel Number, 002 - 122 -03, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owners hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner's successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owners shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owners as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 Owner: Tam Tran 2346 N. North Park Boulevard Santa Ana, CA 92706 -5- 25C -17 MILLS ACT AGREEMENT 2346 N. North Park Blvd Santa Ana, CA 92706 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owners agree to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owners or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owners hereby agree to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. -6- 25C-18 MILLS ACT AGREEMENT 2346 N. North Park Blvd. Santa Ana, CA 92706 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: APPROVED AS TO FORM: Joseph Straka Interim City Attorney By: Ryan O. Hodge Assistant City Attorney CITY OF SANTA ANA Paul Walters Interim City Manager Lin -7- 25C -19 Tam Tran MILLS ACT AGREEMENT 2346 N. North Park Blvd. Santa Ana, CA 92706 Exhibit A N TR 425 LOT 213 Assessor's Parcel Number: 002 - 122 -03 -8- 25C -20 MILLS ACT AGREEMENT 2346 N. North Park Blvd. Santa Ana, CA 92706 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. 8. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with -9- 25C -21 MILLS ACT AGREEMENT 2346 N. North Park Blvd Santa Ana, CA 92706 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. -10- 25C -22 MILLS ACT AGREEMENT 2346 N. North Park Blvd. Santa Ana, CA 92706 Exhibit C (photograph attached) 2346 N. NORTH PARK BLVD. PHOTO LOCATION MAP N. NORTH PARK BLVD. 1 � NORTH ?m -12- 25C-24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 CLERK OF COUNCIL USE ONLY: TITLE APPROVED AGREEMENT WITH CORDOBA ❑ As Recommended CORPORATION FOR STEP 2 El Amended 171 O Or rdinance on 1s1 Reading PRE - PRELIMINARY ENGINEERING ❑ Ordinance on 2nd Reading ANALYSIS (PROJECT 092505) ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER CITY MANAG RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute the attached agreement with Cordoba Corporation in an amount not to exceed $491,736 to prepare the Pre - Preliminary Engineering Analysis for the Santa Ana and Garden Grove Fixed Guideway Project, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION On March 7, 2011, the City Council authorized staff to execute a cooperative agreement with the Orange County Transportation Authority (OCTA) in an amount not to exceed $5,541,700 for Pre - Preliminary Engineering (Pre -PE) and Preliminary Engineering (PE) activities for the Santa Ana - Garden Grove Fixed Guideway Project. The cooperative agreement with OCTA defined the roles and responsibilities related to funding and project delivery between OCTA and Santa Ana, the Lead Agency, for Pre -PE and PE activities consistent with Measure M2 as well as federal guidelines and requirements. Prior to entering PE, there are certain project development activities that need to be completed to satisfy Federal Transit Administration (FTA) requirements. Such activities include the development of project and fleet management plans, a detailed ridership, and cost analyses. These tasks were not included as part of the Go Local Step 2 grant award or scope of work. Consequently, on April 18, 2011, the City Council authorized the Public Works Agency to issue a Request for Proposals (RFP) to qualified consulting firms to prepare Pre -PE analyses to satisfy FTA requirements. The RFP was issued on April 22, 2011. In addition to being posted on the City's website, it was also advertised in the Orange County Register and Orange Reporter and published in Integrated Management System's Architectural and Engineering (A &E) newsletter. The City hosted a pre - proposal meeting on May 18, 2011. Representatives from seven A &E firms attended the pre - proposal meeting. Proposals were due on June 1, 2011. One team submitted a proposal. The team is led by Cordoba Corporation and includes Sheils, Obletz, Johnsen, Inc. (SOJ); URS Corporation; Leon Skiles & Associates, Inc.; E.D. Hovee & Company, LLC; Cambridge Systematics; and John Parker Consulting, LLC. This multidisciplinary team includes several firms 25D -1 Agreement for Step 2 Pre - preliminary Engineering Analysis (Project 092505) August 1, 2011 Page 2 of 2 which have successfully completed the tasks included in the Pre -PE scope of work and, thereby, helped to gain federal funding for streetcar systems in Portland and Seattle. Both URS and Cordoba Corporation are Santa Ana -based firms. The fact that the City received only one proposal is not surprising given the highly specialized nature of the work required to complete the Pre -PE analysis. However, in compliance with federal procurement policies, follow -up calls were placed to each of the firms that attended the pre - proposal meeting but chose not to submit a proposal. Exhibit 1 is a summary of the information they provided, which will be shared with OCTA and FTA. Consistent with federal procurement policies, a detailed review of the cost proposal submitted by the Cordoba /SOJ team was also conducted by members of the City's transit program team and by OCTA's Go Local project management oversight team. The contract amount included in the attached agreement (Exhibit 2) reflects the price that was negotiated with Cordoba Corporation following the detailed review. The Pre -PE analysis is anticipated to take approximately six months and will be prepared simultaneously with the final tasks of the ongoing conceptual engineering and environmental analysis tasks. Staff will return to the City Council with an update on the Fixed Guideway Project early next year. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT On November 22, 2010, the OCTA Board allocated federal Section 5307 formula funds and Measure M2 funds to the City of Santa Ana for the Pre -PE Analysis. Funds are available in Measure M Street Construction (accounting unit 03217660 -66220 project 092505) Raul Godinez II Executive Director Public Works Agency RG:DB Exhibits: 1. Memo 2. Agreement J APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25D -2 Memo June 30, 2011 To: Raul Godinez, Executive Director, Public Works Agency, City of Santa Ana From: Cindy Krebs, Contract Transit Program Manager Subject: Calls to Firms That Attended the Santa Ana - Garden Grove Fixed Guideway Project Pre - Preliminary Engineering Pre - Proposal Meeting I have had the opportunity to talk with representatives from all but one of the firms that attended the pre - proposal meeting for the Santa Ana - Garden Grove Fixed Guideway Project Pre - Preliminary Engineering Pre - Proposal Meeting on May 18, 2011 but chose not to submit a proposal. A summary of the information they shared with me is provided below: Diaz Yourman — Tried to team; no interest from other firms they contacted. Didn't think they'd be in strong position to lead. Attended meeting to gain more information about the project. APA Engineering — Lack relevant experience. Were hoping to team but weren't successful. Believed current team had the advantage for the next phase. Iteris, Inc — Not geared to prime. Didn't find an opportunity to team with another firm. Harris & Associates — Not qualified to prime. Didn't find another firm to team with. Tait & Associates — Attended meeting to learn more about the project. Didn't find anyone to partner with; meeting turnout was low. Said, "The team that had the inside track was present." DEA - I tried to contact the representative from DEA several times by phone. I never received a response to any of the messaged I left. EXHIBIT 1 25D -3 25D -4 AGREEMENT FOR PROVISION OF PROFESSIONAL SERVICES THIS AGREEMENT, made and entered into this I` day of August, 2011 by and between Cordoba Corporation, a California corporation (hereinafter "Consultant "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"), RECITALS A. City desires to retain a consultant having special skill and demonstrated knowledge in preparing the following documents required by the Federal Transit Administration (hereinafter "FTA ") for projects seeking New Starts or Small Starts funding: 1. New Starts Templates and Applications 2. Project Management Plans consistent with 49 USC 5327 and 49 CFR 633 3. Safety and Security Management Plans in accordance with FTA Circular C 5800.1 4. Draft Fleet Management Plans consistent with FTA Circular 9030.11) 5. Quality Management Plans consistent with FTA's Quality Assurance and Quality Control Guidelines (February 2002) 6. Real Estate Management Plans which fully comply with 49 CFR Part 24 and FTA's "Model for Development of a Real Estate Management Plan" 7. Investment Grade Ridership Forecasts 8. FTA Summit Analyses using FTA Summit software B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES a. Scope of Work. Consultant shall prepare the Pre - Preliminary Engineering Analysis studies for the Santa Ana - Garden Grove Fixed Guideway Project. Said services shall be provided as set forth in City's Request for Proposals 11 -025, attached hereto as Exhibit A and incorporated by reference, and Consultant's Proposal dated June 1, 2011, attached hereto as Exhibit B and incorporated by reference. b. Time for Performance. Consultant shall perform and complete all services as may be requested pursuant to the Scope of Work in a timely and expeditious manner. Consultant shall perform such services in accordance with the schedules which Consultant and City may mutually agree as to any particular deliverable, study, job or analysis. In the event that Consultant determines that a proposed schedule for work as requested by the City is not possible or achievable, Consultant shall immediately Exhibit 2 25D -5 notify the City's Representative, in writing and seek modifications. No extension of time shall be accepted unless it is evidenced in a writing executed by each Party's Representative. C. Notice to Proceed. Consultant acknowledges and agrees that this project will be funded through Federal funds, and that said funding is contingent on approval of the Project by the Federal Transit Administration (FTA), and FTA allocation of funds to the Project. Further, said funds are provided through the Orange County Transportation Authority on a pass- through basis. Consultant shall not commence services until it receives a written Notice to Proceed (NTP) executed by the Executive Director of Public Works. Said NTP is contingent on 1) City's receipt of FTA approval of the Project and appropriation of FTA funds for completion of the Santa Ana - Garden Grove Fixed Guideway Project Pre - Preliminary Engineering Analysis or 2) allocation of alternative funds by the Orange County Transportation Agency, in an amount to fully fund the Project. If the FTA does not authorize funding for said Project, and OCTA does not provide alternative funds, the City may terminate this Agreement, as set forth in Section 16, below. d. Consultant acknowledges that the project will be funded in part through funds administered by the Federal Transit Administration and the Orange County Transportation Authority and agrees to comply with all federal requirements as set forth in Exhibit D. 2. REPRESENTATIVES a. For purposes of implementing this Agreement, the representative of City shall be the Executive Director of the Public Works Agency, or his designated representative, and the representative of the Consultant shall be Catherine Higley or her designated representative. Except as may be otherwise stated herein, such representatives shall have the authority to act on behalf of their respective parties in carrying out the terms of this Agreement. b. Consultant shall assign the appropriate key personnel to perform the services required by this Agreement, as set forth in Consultant's Proposal. Consultant shall maintain the Project Manager identified in its Proposal, and approved by the City. OWNERSHIP OF REPORTS AND DOCUMENTS a. The originals of all letters, documents, reports and other products and data produced under this Agreement shall be delivered to, and become the property of City. Copies may be made for Consultant's records but shall not be furnished to others without written authorization from City. Such deliverables shall be deemed works made for hire and all rights in copyright therein shall be retained by City. b. All ideas, memoranda, specifications, plans, manufacturing, procedures, drawings, descriptions, and all other written information submitted to Consultant in connection with the performance of this Agreement shall not, without prior written approval of City, be used for any purposes other than the performance under this Agreement, nor be disclosed to an entity not connected with the performance of the project. Consultant shall comply with City's policies regarding such material. c. No copies, sketches, computer graphics or graphs, including graphic artwork, are to be released by Consultant to any other person or agency except after prior written approval by City, except as necessary for the performance of services under this Agreement. All press releases, including graphic display information to be published in newspapers, magazines, etc., are to be handled only by City unless otherwise agreed to by Consultant and City. 4 4. FINISHED AND PRELIMINARY DATA All of Consultant's finished technical data, including but not limited to illustrations, photographs, tapes, software, software design documents, including without limitation source code, binary code, all media, technical documentation and user documentation, photoprints and other graphic information required to be furnished under this Agreement, shall be City's property upon payment and shall be furnished with unlimited rights and, as such, shall be free from proprietary restriction except as elsewhere authorized in this Agreement. Consultant further agrees that it shall have no interest or claim to such finished, City- owned, technical data; furthermore, said data is subject to the provisions of the Freedom of Information Act, 5 USC 552. 5. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges set forth in Consultant's Fee Proposal, attached hereto as Exhibit C, and incorporated by this reference. The total sum to be expended pursuant to this Agreement shall not exceed $491,736.24 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. The invoice shall include a detailed breakdown of the services, the tasks, the hours, and hourly rates. It should be noted that no more than 90 percent of the total payment amount will be made prior to the final completion and approval of all work and delivery of final deliverables. 6. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2012, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended by a writing executed by the Executive Director of Public Works and the City Attorney. 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. 8. 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 and its subcontractors shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall 25D -7 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. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not - contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 combined single limit. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. 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 in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 9. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief caused by the negligent acts, omissions or willful misconduct of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on its behalf, arising out of the performance of this Agreement, except to the extent caused by the sole negligence, active negligence or intentional misconduct of the City or any other indemnified party. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the negligent acts or willful misconduct of the Consultant, its contractors, 11 subcontractors, agents, employees or other persons acting on its behalf. City may make all reasonable decisions with respect to its representation in any legal proceeding. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 facsimile (714) 647 -6956 With courtesy copies to: and Executive Director of the Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 facsimile 714- 647 -5635 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 ul Santa Ana, California 92702 facsimile 714- 647 -6515 To Consultant: Cordoba Corporation Catherine Higley 2677 N. Main Street, Suite 240 Santa Ana, California 92705 facsimile 714 -558 -8467 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, 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 nor obligate either Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION a. 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: 1. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work products 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. However, any use of unfinished work product shall be at City's sole risk. Col 25D -10 2. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. b. City may terminate this Agreement for Consultant's default if a federal or state proceeding for the relief of debtors is undertaken by or against Consultant, or if Consultant makes an assignment for the benefit of creditors, or if Consultant breaches any term(s) or violates any provision(s) of this Agreement and does not cure such breach or violation within ten (10) calendar days after written notice thereof by City. Consultant shall be liable for any and all reasonable costs incurred by City as a result of such default, including but not limited to reprocurement costs of the same or similar services defaulted by Consultant under this Agreement except that, Consultant shall not be liable for any costs exceeding the amount of total compensation payable under this Agreement to Consultant by the City, as identified in Exhibit C. c. If the Federal Transit Administration does not fully fund the Project, or if after commencement of said Project, funding is terminated by FTA or OCTA, City may terminate this Agreement immediately. Upon termination, City shall pay Consultant as set forth in Section 16. a., above. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 17. JURISDICTION - VENUE This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall be government and construed in accordance with the laws of the State of California. This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES a. Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. b. All Consultant and sub - consultant services to be provided by Consultant pursuant to this Agreement shall be provided by personnel experienced and /or licensed in their respective fields and in a manner consistent with the standards of care and skill ordinarily exercised by professional consultants in similar circumstances in accordance with generally accepted 25D -11 professional consultant practice and principles and under the supervision of professionals licensed in the State of California. c. Consultant assumes responsibility for any and all negligence, errors or omissions that Consultant commits and any and all such negligence, errors or omissions committed by a subcontractor of Consultant in performance pursuant to this Agreement. 19. MISCELLANEOUS PROVISIONS a. Fiscal Records and Audits Consultant shall keep a correct and current accounting of payroll costs, travel, subsistence, field and incidental expenses. Consultant shall use recognized accounting methods in preparing such invoices and reports. The City reserves the right to designate its own employee representative(s) or its contracted representative(s) with a certified public accounting firm who shall have the right to audit Consultant's accounting procedures and internal controls of Consultant's financial systems and to examine any cost, revenue, payment, claim, other records or supporting documentation resulting from any items set forth in this Agreement. If Consultant fails to provide supporting documentation satisfactory to the City for costs charged, then Consultant agrees to reimburse the City for those costs. Any such audit(s) shall be undertaken by the City or its representative(s) at reasonable times during normal working hours and in conformance with generally accepted auditing standards. Consultant agrees to fully cooperate with any such audit(s). This right to audit shall extend during the length of this Agreement and for a period of three (3) years, or longer if required by law, following the date of final payment under this Agreement. Consultant agrees to retain all necessary records /documentation for the entire length of this audit period. Consultant will be notified in writing of any exception taken as a result of an audit. Any adjustments and /or payments which must be made as a result of any such audit or inspection of Consultant's invoices and /or records shall be made within thirty (30) days from presentation of the City's findings to Consultant. If Consultant fails to make such payment, Consultant agrees to pay interest, accruing monthly, at a rate of ten percent (10 %) per annum unless another section of this Agreement specifies a higher rate of interest, then the higher rate will prevail. Interest will be computed from the date of written notification of exception(s) to the date Consultant reimburses the City for any exception(s). If an audit inspection or examination in accordance with this article discloses overcharges (of any nature) by Consultant to the City in excess of one percent (1 %) of the value of that portion of the contract that was audited, the actual cost of the City's audit shall be reimbursed to the City by Consultant. Consultant reserves the right to contest any exception. b. Authority. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 25D -12 c. Captions and headings in this Agreement, including the title of this Agreement, are for convenience only and are not to be considered in construing this Agreement. d. Validity. If any provision of this Agreement shall be held invalid, such invalidity shall not affect the other provisions hereof, and to this extent, the provisions of this Agreement are intended to be and shall be deemed severable. e. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. fN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: JOSEPH STRAKA Interim City Attorney By: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: RAUL GODINEZ, II Executive Director Public Works Agency CITY OF SANTA ANA PAUL M. WALTERS City Manager CORDOBA CORPORATION CATHERINE HIGLEY Vice President — Transportations Planning Tax ID# E 25D -13 25D -14 EXHIBIT A REQUEST FOR PROPOSALS RFP 11 -025 SANTA ANA - GARDEN GROVE FIXED GUIDEWAY PROJECT PRE - PRELIMINARY ENGINEERING ANALYSIS Key RFP Dates RFP Issued: April 27, 2011 Pre - Proposal Meeting: May 18, 2011 Proposal Due Date: June 1, 2011 Interview Date: June 15, 2011 Contract Award: July 5, 2011 CITY OF SANTA ANA PUBLIC WORKS AGENCY 20 CIVIC CENTER PLAZA SANTA ANA, CALIFORNIA 92702 Issued by: Dave Biondolillo City of Santa Ana 25D -15 REQUEST FOR PROPOSALS (RFP 11 -025) SANTA ANA - GARDEN GROVE FIXED GUIDEWAY PROJECT PRE - PRELIMINARY ENGINEERING ANALYSIS I. INTRODUCTION The City of Santa Ana, hereafter called "City ", is soliciting proposals from qualified consulting firms, teams, or consultants, hereafter called "Consultant," with demonstrated experience in preparing the following documents required by the Federal Transit Administration, hereafter called "FTA ", for projects seeking New Starts or Small Starts funding: A. New Starts Templates and Applications B. Project Management Plans consistent with 49 USC 5327 and 49 CFR 633 C. Safety and Security Management Plans in accordance with FTA Circular C 5800.1 D. Draft Fleet Management Plans consistent with FTA Circular 9030.1 D E. Quality Management Plans consistent with FTA's Quality Assurance and Quality Control Guidelines (February 2002) F. Real Estate Management Plans which fully comply with 49 CFR Part 24 and FTA's "Model for Development of a Real Estate Management Plan" G. Investment Grade Ridership Forecasts H. FTA Summit Analyses using FTA Summit software II. PROJECT BACKGROUND The Cities of Santa Ana and Garden Grove,in cooperation with the Orange County Transportation Authority (OCTA), are planning to design and construct a fixed guideway project. As the lead local agency, the City of Santa Ana is seeking a Consultant to prepare Pre - Preliminary Engineering (Pre -PE) project deliverables required by the Federal Transit Administration (FTA). It should be noted that the Orange County Transportation Authority (OCTA) is the designated grant recipient for FTA funding in Orange County and shall, therefore, be providing oversight for the project. A significant amount of work in support of the Santa Ana - Garden Grove Fixed Guideway Project has been prepared through the Conceptual Engineering /Alternatives Analysis /Draft Environmental Analysis effort. For efficiency and consistency, Consultant shall draw from those materials to the maximum extent feasible toprepare and assemble all documents and data needed for the FTA Section 5309 (New Starts /Small Starts /Urban Circulator) application. The roles and responsibilities for project delivery, system ownership, and transit operations are being determined at this time by the City and OCTA. It is not yet known who will be responsible for implementing the remaining phases of the project (design, build, operate and maintain) — the City or OCTA. Likewise, no determination has been made as to whether any of the remaining phases of the project might be contracted out. It is anticipated that a final decision on these matters will be reached during the course of the Pre -PE Analysis, most likely during the fall of 2011. Nonetheless, the City and OCTA plan to submit a request to enter Preliminary Engineering or Project Development to FTA upon completion of the Final Environmental Impact Report/Environmental Assessment -- around December 31, 2011. It is, therefore, imperative that the Pre -PE Analysis be completed on or before December 31, 2011. To help the City and OCTA chart the best course for completing the Pre -PE Analysis on schedule, Consultant shall develop a Pre -PE Phasing Plan that indicates the length of time required to complete each task and sub -task. The Pre -PE Phasing Plan shall also indicate which tasks and sub -tasks can be initiated without a clear understanding of which agency will be responsible for implementation of the fixed guideway system and provide target start dates for those activities that can only be initiated after agency responsibilities for further implementation have been determined. 2 2501-16 III. SUBMITTAL REQUIREMENTS FORM OF PROPOSAL AND DUE DATE TRANSMITTAL LETTER A transmittal letter signed by an official authorized to solicit business and enter into contracts for the firm must accompany the proposal. The transmittal letter should include the name and telephone number of a contact person, and describe the working relationship between the Proposer and sub - consultants, if any. The transmittal letter should include a statement that the proposal is a firm offer to contract with the City of Santa Ana to perform work according to the terms of the RFP and that the offer is binding for a minimum of ninety (90) days from the date of submission. The transmittal letter should also include a statement that the Project Manager and key personnel will be available to the extent proposed for the duration of the project and that the Project Manager and key personnel shall not be removed or replaced without the prior written approval of the City. TITLE PAGE The title page should show the RFP number, RFP subject, the name of the proposer's firm, local address, telephone, name of contact person, email address and the date. TABLE OF CONTENTS The table of contents should include a clear identification of the material by section and page number. OVERVIEW AND SUMMARY This section should clearly convey Consultant's understanding of the nature of the work required and the general approach to be taken in completing the Pre -PE Analysis. It should include the following: A. Consultant's experience in successfully preparing the following items consistent with federal /FTA regulations, policies and guidelines: New Starts Templates and Applications, Project Management Plans, Safety and Security Management Plans, Draft Fleet Management Plans, Quality Management Plans, Real Estate Management Plans, Investment Grade Ridership Forecasts, and FTA Summit Analyses using FTA Summit software. B. Consultant's opinion regarding the most difficult issues or risk factors affecting implementation of the project and Consultant's recommendations for addressing each of them. QUALIFICATIONS, REFERENCES AND RELEVANT EXPERIENCE A detailed statement of the Consultant's qualifications and previous experience in conducting similar work, and one -page resumes of the personnel the Consultant intends to use to perform the project, summarizing each individual's training and experience relevant to this project. This section should indicate the percentage of time each team member will devote to this engagement, identify the project manager, and demonstrate that the Consultant's personnel have experience and expertise in all areas required in the Scope of Work. The resumes of key sub - consultant personnel shall also be included. A summary (no longer than one page each) of at least three (3) projects similar in subject matter and scope to this project that have been undertaken in the past thirty-six (36) months including client agency_ the contract term and amount and a contact person (with telephone number) who may be contacted as a reference. WORK PLAN Consultant shall provide a narrative that addresses the Scope of Work and shows Consultant's understanding of the needs and requirements associated with the Pre -PE Analysis. Consultant shall describe the approach and work plan for completing the services specified in the Scope of Work. The work plan shall be of such detail to demonstrate the Consultant's ability to accomplish the project objectives and overall schedule. 25D -17 A detailed staffing plan for each task and subtask must be submitted and should include an organization chart. The staffing plan shall identify all staff by name and identify the specific tasks for which each individual will be responsible. The proposal must also demonstrate adequacy of labor resources for the duration of the project, utilizing a table projecting the labor -hour allocation to the project, and must include each team member's current and projected availability for the duration of the project, including a summary of the time allocated to other projects. Cost Proposal In a separate, sealed envelope, Consultant shall submit a fixed -fee cost proposal consistent with the Scope of Work and the requirements of this RFP. Any optional tasks proposed by the Consultant shall be estimated separately in the cost proposal. The cost proposal shall include a full description and breakdown of the expected expenditures of funds for the proposed project, as set forth in the Scope of Work, in two forms: a task budget and a line item budget. The classifications, names, and hourly billing rates of individuals proposed for the project shall be clearly identified. Cost proposals shall not be opened until a firm is awarded the contract. Firms that are not selected shall have their cost proposals returned to them unopened. IV. SCOPE OF WORK Task 1 - New Starts Templates and Application A significant amount of work in support of the project has recently been prepared through the Conceptual Engineering /Alternatives Analysis /Draft Environmental Analysis effort. At project kick -off, City of Santa Ana staff will provide the selected Consultant with copies of the documents that provide information relevant to the Pre -PE scope of work. For efficiency and consistency, Consultant shall draw from those materials to the maximum extent feasible to prepare and assemble all documents and data needed for an FTA Section 5309 (New Starts /Small Starts /Urban Circulator) application, including: A. Project Description B. Standard Cost Categories (SCC) Annualized Cost Worksheets C. Land Use Supporting Information D. Project Financial Plan & Supporting Information E. "Making the Case" Document Task 1 Deliverables: 1. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the draft Project Description, SCC Annualized Cost Worksheets, Land Use Supporting Information, Project Financial Plan & Supporting Information, and "Making the Case" Document 2. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the final Project Description, SCC Annualized Cost Worksheets, Land Use Supporting Information, Project Financial Plan & Supporting Information, and "Making the Case" Document Task 2 - Project Management Plan (PMP) As a condition of Federal assistance, a grant applicant for a major capital investment project must prepare a Project Management Plan (PMP) consistent with 49 USC 5327 (Project Management Oversight) and 49 CFR 633 (Project Management Oversight Rule). The grant applicant must submit the PMP in time for FTA to review the applicant's plan in conjunction with its New Starts /Small Starts grant application. The PMP is a dynamic document for managing engineering, design, construction and start- up of a project. The PMP must provide sufficient detail to demonstrate the grant applicant's technical capability to carry out the project. Consultant shall develop a draft PMP that addresses the following items: 11 W 9 -9 Feee A. Adequate recipient staff organization with well- defined reporting relationships, statements of functional responsibilities, job descriptions, and job qualifications; B. Budget that covers the project management organization, appropriate consultants, property acquisition, utility relocation, systems demonstrations staff, audits, and miscellaneous payments the recipient may be prepared to justify; C. Construction schedule for the project: D. Document control procedure and recordkeeping system E. Change order procedure that includes a documented, systematic approach to handling of construction change orders; F. Organizations structures, management skills, and staffing levels required throughout the construction phase; G. Quality control and quality assurance functions, procedures, and responsibilities for construction, system installation, and integration of system components; H. Material testing policies and procedures; I. Internal plan implementation and reporting requirements; J. Criteria and procedures for testing the operational system or its major components; K. Periodic updates of the plan, especially related to project budget and project schedule, financing, ridership estimates, and the status of local efforts to enhance ridership where ridership estimates partly depend on the success of those efforts; L. The recipient's commitment to submit a project budget and project schedule to the Secretary of Transportation each month; and For purposes of this task, Consultant shall assume that items b and c, Budget and Construction Schedule, would be the same regardless of which agency chooses to implement the project. It is assumed that a final decision regarding project ownership and management may be reached before completion of Pre -PE. If that is the case, Consultant shall prepare a final PMP focused on the single, approved scenario. The final PMP shall include a plan for managing later stages of the project. Consistent with FTA guidance, such plan shall be laid out in general terms with a description of how and when the details will be developed. Nonetheless, the grant application prepared by Consultant shall demonstrate that the plan will be developed and implemented as necessary to stay ahead of the implementation of the project. Task 2 Deliverables: 1. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the draft PMP 2. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the final PMP Task 3 - Safety & Security Management Plan (SSMP) Consultant shall prepare a SSMP which fully complies with 49 CFR 633 and is prepared in accordance with FTA's Circular C 5800.1. Sections of the SSMP shall include: A. Management Commitment and Philosophy B. Integration of Safety and Security into Project Development Process C. Assignment of Safety and Security Responsibilities D. Safety and Security Analysis E. Development of Safety and Security Design Criteria F. Process for Ensuring Qualified Operations and Maintenance Personnel G. Safety and Security Verification Process H. Construction Safety and Security I. Requirements for 49 CFR Part 659, Fixed Guideway Systems; State Safety Oversight J. Federal Railroad Administration (FRA) Coordination Plan (if necessary) K. Department of Homeland Security (DHS) Coordination Plan 25D -19 Task 3 Deliverables: 1. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the draft SSMP 2. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the final SSMP Task 4 - Fleet Management Plan, Draft (FMP) Consistent with the requirements set forth in FTA's Circular 9030.1D, Consultant shall develop a draft FMP that proposes how the Santa Ana - Garden Grove fixed guideway system will be properly planned for and managed. The FMP shall be substantially consistent with the adopted Record of Decision (if applicable) and sufficiently complete in detail and analysis to readily demonstrate the project's ability to maintain and /or improve service levels, operating costs, and the reliability and quality of service for a minimum of 10 years following project construction. A. The FMP shall plan for and discuss the overall management of the entire fleet of vehicles and related support functions and equipment, addressing all the reasonably foreseeable factors that are relevant to the determination of equipment needs in light of demand for service. It should address in detail the composition of the fleet, operating conditions, maintenance, facilities, peak vehicle demand, and spare ratio; B. The FMP shall discuss in detail: a. Requirements for peak and spare vehicles including schedule spares, maintenance spares, parts spares, b. Requirements for support functions such as heavy maintenance, capital and operating parts inventory and information technology, c. Strategies for acquiring new vehicles or overhauling existing equipment and the tradeoffs between them, d. Strategies for maintenance and operations including reducing spare vehicles, and e. Strategies for reducing operating costs and increasing service reliability. C. The FMP shall include operating and financial data such as current estimates of vehicle operating costs, reliability and life expectancy, for decision - making and performance review. D. The FMP shall be formatted and calculated in conformance with FTA Circular 9030.1D, specifically with respect to: a. Definition of terms, b. Description of existing system and expansion plans, both project and non - project related, c. Justification of the demand for revenue vehicles and operating spare ratio, d. Process for reconciling demand versus supply to determine if additional vehicles will be needed, overhauled, procured or other changes in maintenance practices, inventory, information technology, capital investment will be implemented instead; e. Preventive maintenance schedule for the procured /overhauled rail car fleet; f. Grantee's reliability program, past performance and plans to improve reliability including profile monitoring and support of maintenance, failure rates and rail cars out -of- service, and train failure definitions and actions; E. The FMP shall discuss the selection and specification of vehicle equipment and systems and how the specifications matched the appropriate technology with the planned transit applications for the best performance at the lowest cost. F. The FMP shall ensure that the project's estimates of costs, service levels, quality, or reliability are mechanically correct and complete, consistent with the grantee- defined methodologies and free of any material inaccuracies or incomplete data. 0 25D -20 G. The FMP shall discuss the project's forecasts and schedule, to be consistent with the plan scope and project scope adopted in the Record of Decision (if applicable) and the proposed Revenue Operations Date and shall free of any material inaccuracies or incomplete data. Task 4 Deliverables: 1. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the draftFMP Task 5 - Quality Management Plan (QMP) Consultant shall prepare a QMP that is consistent with the requirements presented in FTA's Quality Assurance and Quality Control Guidelines (February 2002). Task 5Deliverables: 1. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the draftQMP 2. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the finalQMP Task 6 - Real Estate Acquisition Management Plan (RAMP) Consultant shall prepare a RAMP which fully complies with 49 CFR Part 24 and is based upon FTA's "Model for Development of a Real Estate Management Plan ". Task 6 Deliverables: 1. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the draftRAMP 2. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the finaIRAMP Task 7 - Investment Grade Ridership Forecasts Consultant shall review the ridership forecasts developed during the Conceptual Engineering phase and, if necessary, perform additional work to provide defensible travel demand forecasts for the following years, taking into account typical "ramp up" effects of new transportation modes: A. Opening Day (2015) B. Interim (2025) C. Long -Term (2035) The resulting forecasts shall be based upon OCTAM, but shall include refinements necessary to accurately forecast system ridership. Consultant shall secure OCTA concurrence on any proposed refinements to OCTAM and, if necessary, develop travel surveys and analyze travel forecasting uncertainties to support the proposed approach to developing Santa Ana - Garden Grove fixed guideway system ridership forecasts. The final report shall detail any post - processing or "off- model" work that was completed and include ridership forecast for Task 8, FTA Summit Analysis. Task 7 Deliverables: 1. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the draft ridership forecasts 2. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the final ridership forecasts 7 25D -21 Task 8 — FTA Summit Analysis Using the FTA Summit software, Consultant shall determine Transportation System User Benefits for reduced the set of "Build" and "No Build" alternatives selected for the Santa Ana - Garden Grove fixed guideway project. This information shall be presented in a report that includes: A. Thematic Maps for each of the Build Alternatives versus the Baseline Alternative B. Production & Attraction Maps for Each Trip Purpose & Period C. Daily Totals Additional inputs and outputs from Summit, such as trip length frequency reports and row and column sum outputs, shall also be provided. Task 8 Deliverables: One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the draft Thematic Maps for Each of the Build Alternatives versus Baseline, Production & Attraction Maps for Each Trip Purpose & Period, and Daily Totals 2. One electronic version (on CD in Microsoft Office Word 2007 or Microsoft Office Excel 2007 format) and 12 hard copies of the final Thematic Maps for Each of the Build Alternatives versus Baseline, Production & Attraction Maps for Each Trip Purpose & Period, and Daily Totals V. GENERAL REQUIREMENTS All work shall be performed in conformance with the latest City of Santa Ana, OCTA, FTA, and other involved agencies' policies, procedures and standards. The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other involved agencies. The Consultant shall have total responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The documents and plans will be reviewed by the City for conformity with the requirements of the Agreement. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. The minimum standard of appearance, organization and content of the documents shall be that of similar types produced by the City and set forth in related City of Santa Ana and other involved agencies' manuals. The Consultant shall modify its work as necessary to meet the level of acceptability defined by the criteria above. The Consultant shall have a QA/QC plan in effect during the entire time work is being performed under the Agreement. The QA/QC plan shall establish a process which includes checking procedures for report preparation, a discipline and interdiscipline check of the environmental reports and conceptual engineering plans, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. The Consultant's work will be subject to inspections by representatives of the City of Santa Ana and other involved agencies. 25D -22 VI. PERFORMANCE PERIOD The contract shall begin upon approval by the City Council, and the Consultant shall commence work after notification to proceed by the City. Unless extended by contract amendment, the contract shall terminate on February 1, 2012. The Consultant is advised that any recommendation for contract award is not binding on the City until the Agreement and all pertinent paperwork are fully executed and approved by the City Council. VII. CONSULTANT SELECTION PROCESS A Consultant Selection Committee shall be established to evaluate each Proposer's proposal andinterview the most qualified Proposers. The evaluation of each proposal will be based on the following evaluation criteria: Evaluation Criteria 1. Technical Qualifications (40 %) Technical experience in performing work of a similar nature; experience preparing FTA Pre -PE application materials; experience working with public agencies; strength and stability of the firm; strength, stability, experience and technical competence of subcontractors; assessment by client references. 2. Staffing and Project Organization (30 %) Qualifications of project staff, particularly key personnel and especially the Project Manager, including each individual's relevant past experience. Key personnel's level of involvement in performing related work cited in "Qualifications of the Firm" section; adequacy of labor commitment; references from past projects; logic of project organization; concurrence in the restrictions on changes in key personnel. 3. Work Plan (30 %) Depth of Consultant's understanding of City's requirements and overall quality of work plan; logic, clarity and specificity of work plan; appropriateness of labor distribution among the tasks; ability to meet the project deadline; reasonableness of proposed schedule; utility of suggested technical or procedural innovations. Only those Proposers whose proposals receive a combined score of 75 or better (based on a 100 -point scale) shall be considered qualified to provide the services required by this scope of work. If more than one Proposer's proposal receives a score of 75 or better, the Consultant Selection Committee shall interview said Proposers to gain more insight into their technical qualifications, staffing and project organization, and work plan. Upon completion of the evaluation and interview process, if necessary, the Consultant Selection Committee will recommend that the City Council award a contract to the highest ranking consultant. VIII. ESTABLISHING OF FEES A fee proposal is to be submitted separately in a sealed envelope plainly labeled "Fee Proposal ". The fee proposal shall include a not -to- exceed fee and a detailed labor hour breakdown by task and classifications. Include all incidental costs estimated to accrue during the life of the contract. Include a billing rate schedule for the prime consultant and any subconsultants with an hourly billing rate by classification. As this will be a multi -year project, include billing rates for the current year as well as subsequent calendar years covering the duration of the project. 0J 25D -23 The fee proposal will not be opened until the consultants have been evaluated by the proposal selection committee. In conformance with the Brooks Act, the City will select the consultant based on qualifications, and then negotiate a contract price based on available funding and a further breakdown of the not -to- exceed cost submitted in the fee proposal. The City reserves the right to a retainer to ensure project delivery. IX. CITY RESPONSIBILITY The City will be responsible for the following: A. Making available existing, pertinent work products related to the Santa Ana - Garden Grove Fixed Guideway Project. B. Making available other City documents, as required for project completion X. PRIME CONSULTANT RESPONSIBILITIES The selected Consultant will be required to assume responsibilities for all services offered in his /her proposal. The selected Consultant will be the sole point of contact with regard to contractual matters, including payment of any and all charges resulting from the contract. XI. DELAYS The City reserves the right to delay scheduled dates if it is to the advantage of the City XII. PROJECT CONTROL Control of the project shall be the shared responsibility of the City and OCTA. XIII. RULES FOR PROPOSALS The signer of the proposal must declare in writing that the only person, persons, company or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud; and, that the signer of the proposal has full authority to bind the principal proposer. XIV. METHOD OF PAYMENT The consultant shall submit invoices to the City, attention Dave Biondolillo. Each invoice shall include a detailed breakdown of the services, the tasks, the hours, and hourly rates. It should be noted that no more than 90 percent of the total payment amount will be made prior to the final completion and approval of all work and delivery of final deliverables. XV. REGULATIONS The selected consultant shall be expected to comply with all applicable federal and state regulations, and contract provisions. The ensuing contract shall contain such contractual provisions and conditions necessary to define a sound and complete agreement. XVI. THE CITY'S AFFIRMATIVE ACTION PROGRAM 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. The attached Exhibit C, "Certification of 10 25D -24 Non - Discrimination by Contractors" shall be completed by each submitting firm and included in the proposal. XVIL WAGE RATES Because this PROJECT is federally funded, the rate of wages for each craft or type of worker or mechanic employed under this contract shall be specified under the current determinations of the Department of Labor as required under the Davis -Bacon Act. The current wage determination can be obtained at the following location: http: / /frwebgate access gpo- gov /cqi- bin /getdoc cgi ?dbname =Davis Bacon &docid=CA20080035 Notwithstanding the conditions hereinabove, the California Labor Code stipulated that not less than the general prevailing rate of per diem wages for each craft or type of worker or mechanic needed to execute the contract in the locality in which the work is to be performed, and not less than the general prevailing rate of per diem wages for holiday and overtime work as determined by the Director of Industrial Relations of the State of California shall be paid to all workers employed. A copy of the prevailing rate of per diem wages is on file at the City of Santa Ana Public Works Agency — Construction Division, and is available on request to any interested party. Where a discrepancy exists between federal and state prevailing wage rates, the policy of the California Department of Labor is to require that the higher of the two prevailing wage rates shall apply 11 25D -25 25D -26 EXHIBIT B CONSULTANT'S PROPOSAL DATED JUNE 1, 2011 12 25D -27 C CORDOBA CORPORATION LOS ANGELES • OAKLAND . SANTA ANA . SAN BERNARDWO June 1, 2011 Mr. David Blondolillo, Project Manager City of Santa Ana Department of Public Works 20 Civic Center, M -21 Santa Ana, CA 92701 RE: Proposal for Santa Ana - Garden Grove Fixed Guideway Project Pre- Preilminary Engineering Analysis (RFP 11 -025) 1- Dear Mr. Blondolillo: Over the last 18 months, Cordoba Corporation and our subconsultant partners have been working with the cities of Santa Ana and Garden Grove, and the Orange County Transportation Authority (OCTA) on the Santa Ana and Garden Grove �g Fixed Guideway Corridor Study. Over the next several months, we will be distributing a draft Environmental Impact Report t C (DEIR) and Environmental Assessment (EA) for public review, completing the Alternatives Analysis for the project, and working with the cities to adopt a Locally Preferred Alternative for approval by OCTA's Board of Directors. Concurrent with this process, the project is embarking on an all- important undertaking towards its successful implementation, preparation of a Federal Transit Administration (FTA) Section 5309 Grant Application to become eligible to receive federal funding for the project, Cordoba Corporation is pleased to submit this proposal to once again support the City of Santa Ana and their partner agencies in moving this important project forward. In addition to key members of the current Cordoba Fixed Guideway Corridor Study team, and in recognition of the emphasis on the preparation of the materials for a federal Small Starts grant application, Cordoba has joined forces with Shiels Obletz Johnsen Inc., Leon Skiles, JPC Consulting and E.D. Hovee and Company. This SOJ -led team, which also included URS, prepared the successful Federal Small Starts application for the Portland Streetcar Loop project. To date, the Portland Streetcar Loop is the only streetcar project In the U.S. to receive an FTA New or Small Starts grant. We believe this is a powerful team that offers the City the following benefits: strong working relationships with Santa Ana, Garden Grove and OCTA; intimate knowledge of the Fixed Guideway Corridor project, the local environment and the community; deep understanding of, and respect for the public agency sponsors' relationships; and, most importantly, demonstrated success at achieving the desired objective of obtaining an FTA Small Starts Grant for the project. This proposal is a firm offer to contract with the City of Santa Ana to perform work according to the terms of the RFP. This offer will be binding for a minimum of ninety (90) days from the date of submission. The Project Manager and key personnel identified in this proposal will be available to the extent proposed for the duration of the project and shall not be removed or replaced without the prior written approval of the City. 2677 N. MAIN STREET, SUITE 240. SANTA ANA. CA 82705, 71 4.658.61 24 - FAX 71 4.556.5467 WWW,COROOBAC,ORP.COM 25D -28 Mr, David Biondoliilo June 1, 2011 Page 2 We look forward to more fully describing our approach and work program during the interview phase of this procurement. if you should have any questions during the review of our proposal, please do not hesitate to contact either of our Co- Project Managers: Rick Gustafson, Shlels Obletz Johnsen, Inc. (Co- Project Manager — Technical Direction) at (503) 969 -4181, or Catherine Higley, Cordoba Corporation (Co- Project Manager — Contract Administration /Project Coordination) at (714) 342- 2309. Sincerely, CORDOBA CORPORATION Catherine Higley Vice President of Transportation Planning 2677 N. MAIN STREET, SUITE 240, SANTA ANA, CA 82705, 714.558.6124 - FAX 714.555,64137 WWW.COROOBACOHP.COM 25D -29 Work Plan Pro ject Approach The purpose of the Pre - Preliminary Engineering Analysis for the Santa Ana - Garden Grove Fixed Guideway is to prepare and assemble all the documents and data needed for the FTA Section 5309 (New Starts /Small Starts /Urban Circulator) application. The significant amount of information in support of this effort has been or is being prepared as part of the ongoing Conceptual Engineering / Altematives Analysis/Draft Environmental Analysis project. Since the Cordoba team is performing the ongoing work program, we are uniquely qualified to conduct the Pre - preliminary Engineering Analysis. We have a thorough understanding of the proposed Santa Ana - Garden Grove Fixed Guideway project and the context in which the project is being developed. We know the City of Santa Ana, its physical features, its neighborhoods and stakeholders and its staff. We understand and are committed to their impressive and comprehensive Transit Vision for the City. We know OCTA and the Go Local Program. We understand OCTA`s interest in pursuing Federal funding for the most competitive of the Go Local programs in order to fully leverage the local Measure Mz dollars. We understand that OCTA as the designated grant recipient for FTA funding in Orange County, will be providing oversight for the project, similar to their role in the ongoing work effort. But we also know, based on our considerable experience and success with the FTA Section 5309 programs that, for the City to compete successfully, OCTA will need to provide more than technical oversight. In order to successfully compete with the anticipated number of New Starts projects in FTA Region IX and the nation, the Santa Ana - Garden Grove Fixed Guideway project will need to present a technically strong and compelling "story' of why the project is very competitive with respect to FTA's project evaluation criteria. To be successful in attracting Federal New Starts funds that will leverage local M2 dollars, OCTA will need to join with the City, lending their considerable experience, capacity and capability, to advocate for the project. Cordoba's partner in this undertaking, SOJ, has the knowledge and experience to assist the City and OCTA to develop the most effective strategy to competitively position the project for federal funding. We fully understand that the City and OCTA continue to work together on important issues of project ownership, management and operations. The resolution of these issue areas will be critical to the preparation of a successful Project Development application. With national experience in fixed guideway transit, and in particular modern streetcar, the Cordoba team can provide valuable insights into successful funding and grant application models nationally, to assist OCTA and the City in resolving these important issues for project success. The work effort on the Conceptual Engineering /Alternatives Analysis /Draft Environmental Analysis is ongoing and will continue in parallel with the Pre - Preliminary Engineering Analysis. The Cordoba team was originally configured to provide the City with the depth of resources and local knowledge, technical expertise and demonstrated experience in successfully delivering similar projects. By selecting the Cordoba team to continue with the Pre - Preliminary Engineering Analysis, the City will take maximum advantage of the quality work product that has been developed by the team, and also the considerable knowledge and experience gained during the preceding two years. And the current Cordoba team has been reconfigured to address the specific requirements of the Pre - Preliminary Engineering Analysis objectives and work program. We have maintained those members whose particular knowledge and expertise will be critical to seamless integration of the two work programs. We have added SOJ and Section Three — Work Plan 26 WOBY 4TH ST 0 ,q pant � G rj n Ftso�e FixedG t� w T-" . 103 .. Pr r ,r - - y 6 ;F rot associated members to the team because they bring specific technical expertise, a fresh eye and unparalleled success at maneuvering streetcar projects through the FTA funding grant application process. The flow chart below illustrates how the ongoing work effort will be Integrated into the Pre Preliminary Engineering Analysis. Based on the timing of the ongoing work effort, and the need to proceed into the grant application with one project definition, we propose that upon completion of the environmental technical studies, during the preparation of the draft environmental documents a Preferred Alternative will be identified. Given that the two build alternatives represent a single alignment with design options, and both build alternatives along with a Transportation System Management Alternative, are being equally evaluated In the environmental documents, this will allow preparation of the grant application to move ahead while still protecting the integrity of the NEPA environmental process. FLOW CHARTISCHEDULE Apr I May I Jun I Jul I Aug I Sep Oct I Nov Dec Jan Feb Mar I Apr flenefgs ALTERNATIVES ANALYSIS /CONCEPTUAL. DESIGN /ENVIRONMENTAL PROCESS REYDECISIONS e NiP / PRE-PRELIMINARY ENGINEERING ANALYSIS PROCESS - Annualfzed Task 1D iinanclal Platt kshcal3 SSuppurliou Info C O v .Q a oject Q nt Pfan 1, Security ur "t P1 _ _ m a Acquisition UM nt Plan C rauement Pfan O u C/) sgernon[ Plan Summit Analysis 25D -31 Section Three - Work Plan 27 $,t($n, iiO�+B fIXBf��✓ll %Qr0�6t+ u i i W 4TH 5Ts 3 The Cordoba Team is uniquely qualified to complete the work of this Fixed - Guideway Pre - Engineering Analysis efficiently and effectively for a successful Federal capital grant application. Our team is configured to strategically use the strength of each team member based on the expertise and experience each task requires. Our recommended approach to this assignment is based on our team's in -depth understanding of the Federal New Starts and Small Starts capital grant programs, as we have discussed in the Overview and Summary. Key to our achieving success for the City of Santa Ana and completing our work efficiently on time and within budget are these advantages only our team offers: Local connection As has been the case with the Santa Ana and Garden Grove Fixed Guideway Corridor Study, the location of offices of both Cordoba and URS in Santa Ana will aid in efficient and well- coordinated product delivery, direct communications and real -time participation with the City of Santa Ana, and with OCTA and the City of Garden Grove, whenever needed, throughout this phase of the work. Strong understanding of Federal Small Starts process The team is unmatched in its experience of success with SOJ managing the development of the only Federal Small Starts grant application that resulted in a Small Starts grant award for a streetcar project to date (Portland Eastside Loop). The team's understanding of the entire Federal funding process and familiarity with both the FTA headquarters and regional staff will be essential to the successful navigation of the process. Benefit of incorporating key members of the existing team: The continuity with the Fixed Guideway Corridor Study provided by the Cordoba team provides great benefit to the City and to both projects. Team members have been successfully working together and with Santa Ana, Garden Grove and OCTA for nearly two years, engendering mutual understanding, trust and respect. We fully understand the characteristics and attributes of the project alternatives and will use that knowledge to quickly and efficiently develop the required FTA application materials. The quality technical work, task deliverables and supporting data and analyses, developed during the alternatives analysis, conceptual design and environmental review tasks is a valuable foundation for the pre - Preliminary Engineering effort. Most qualified technical expertise. The members of this technical team have already successfully, strategically and efficiently prepared the same format of Federal application that is being requested for the Santa Ana — Garden Grove Fixed Guideway Project. In addition, the technical leadership that will be provided to the team by SOJ is the result of SOJ's involvement nationwide with modern streetcar projects from planning through implementation and into operations and management. Integrated team: Our team is fully prepared to execute the pre -PE work program with the coordinated teamwork required to deliver success. Our members are seasoned professionals, experienced in working collaboratively across geography and disciplines, towards the best interests of the City of Santa Ana and the project. We are confident this is the most informed and experienced team that could come forward to prepare the best possible materials for a successful Federal application for the Santa Ana — Garden Grove Fixed Guideway transit project. Team Organization As indicated previously, our team is configured and staff assigned to take best advantage of the particular experience and technical expertise each member can bring to each task. The Organization Chart on the following page shows are team structure. Section Three — Work Plan 28 25D -32 i� r 1 m • t� m �•. �; 4 x o m Q c (h O Ma a` 01 c m` C'1 0 Z, U 7c, 25D -33 0 v° .N vt` •� v w to C 0 N d i I" CION c cv a. d 0 U m m m �•. �; 4 x o �0 V l� coo a Lo p'r`. j U .p = a C3 .E } $ .... U o o`_ cum ; O > C) to t0 m (q 0 .0 m'v Cc" s c U O in - - C Cc O LA .� `O tJ7 Vl �3 p 'c A a Cy IL r y Q o`o co LU C U) (� ? cm O` C V Wj N A c Q p , p Q. a> o c i-- a a rn o o n cn y p m > p m� a� -o . t .2 U U "o vim . U- C.) v 4) 3 LJ o C N cn o .p z a c CL x 25D -33 0 v° .N vt` •� v w to C 0 N d i I" CION c cv a. d 0 U m Scope of Work Task 7 — Small Starts Templates $ Application A successful Small Starts grant application package requires a depth of understanding of the FTA 5309 Grant Program, a thorough understanding of the project being represented and technical expertise of all aspects of Project Development from engineering, to land use and economic development to financial planning and funding. The Cordoba/SOJ team brings the expertise needed to compile and present in the most advantageous light, all of the materials required for the Small Starts grant application, and the experience necessary to perform the effort efficiently and with a well -honed understanding of the most critical elements and how to convey this information most effectively. o prepare the necessary material to support a successful Small Starts federal capital grant application, under SOJ direction Leon Sklles will coordinate the application templates by providing the outlines to the participating team members. He will, review and compile the completed technical sections of the application to assure that the document is accurate, consistent and cohesive. The various elements will be prepared as follows: Task 1A: Project Description will be written by Cordoba, who has the full and working knowledge of the history, condition and setting of this Project and its area already. Task 1B: Annualized Cost Worksheets will be produced by URS who, together with Cordoba, has already performed and reviewed iterations of preliminary cost estimates for this Project; and will refine them to fit the requirements of this application. Task 1C: Land Use Information will be led by Cordoba, with oversight by SOJ, support from URS and contribution from E.D. Hovee on the projected development and private investment potential of property along the proposed corridor. Santa Ana and Garden Grove's land use policies and existing development patterns support the development of higher density mixed use development that can be served with a fixed guideway system. The full documentation of local plans and commitments will be included. It will show that the transit route serves important attractions in Santa Ana, supports existing and future transit oriented development and provides important connections to Orange County's regional transit system including the Santa Ana Regional Transportation Center, Task 1D: Project Financial Plan & Supporting Information will be led by SOJ, with document support from Cordoba. Applicants must submit an estimate for capital and operating costs and the sources targeted to fund each. FTA will judge the likelihood of the local financial, commitments. A high confidence is needed to qualify for project development. While formal commitments to funding are not required for Project Development submittal, they help considerably in raising the confidence. It Is clear that commitments must be made soon after Project Development approval as FTA will not seek congressional funding commitments until the local commitments are formal. The financial planning completed as part of the Conceptual Engineering /Alternatives Analysis and Environmental Analysis and the information developed as part of the application to OCTA for Preliminary Engineering will serve as the starting point for the Financial Plan. Task 1E: "Making the Case" document will be produced by Cordoba, with major strategic input by SOJ and Leon Ski ►es. In addition to the information prepared as part of the of the application package, the "Making the Case" document will also draw from the Statement of Purpose and Need and other information prepared as part of the Conceptual Engineering /Alternatives Analysis /Environmental Analysis work effort to present the strongest arguments in favor of the project. Optional Task: Economic Development submittal documents would be prepared as an "added" service by E.D. Hovee. We feel this is critical to the success of the Santa Ana - Garden Grove federal rating by the FTA for a Small Starts grant for streetcar, as well as outlining the potential economic development objectives to the community. E.D. Hovee will utilize information developed during the Alternatives Analysis initial screening, and information compiled Section Three — Work Plan 30 25D -34 ' aarw..— W 4TH %TA-A-- 178 V as part of the Land Use templates, with a particular focus on the development and private investment potential along the corridor. E.D. Hovee will consider the implications of the newly - adopted Transit Zoning Code on private development and investment within the corridor, as well as estimating the potential of those opportunities outside the Transit Zoning Code area, particularly along the western half of the corridor. As noted in the Approach, The economic development submittal is not a formal template in the FTA application but represents 33% of the value of the rating for the project. Portland included a detailed economic development projection with their submittal to the FTA in support of the application. E.D. Hovee and Co. prepared that document which was invaluable in understanding the potential effects of the fixed guideway in attracting private investment and the potential benefits to the local community and economy. Santa Ana and Garden Grove are well positioned to demonstrate the potential for a streetcar to Increase the projected private investment and mixed use development along the corridor. Work will include survey of properties for potential development, documentation of planned developments, and projections of the amount of development likely to be attracted to the corridor, with and without a fixed guideway transit investment. Specific parcel Inventory will be conducted and will be based upon adopted regional forecasting of economics and demographics resulting in base -case (Wthout ") and streetcar -base ("with ") models outlining estimated incremental value capture within each scenario. 1A: C. Higley One electronic version and 12 hard copies of draft and final 1 B: D. Levinsohn, B, Post, R. Gustafson Project Description, SCC Annualized Cost Worksheets, Land Use 1C: C. Higley, E. Yesayan, E. Hovee Supporting Information, Project Financial Plan & Supporting 1D: R. Gustafson, D. Davies, C. Higley Information and "Making the Case" Document 1E: C. Higley, L. Skiles, D. Davies OPTIONAL TASK: E. Hovee Tasks 2 through 6: Plan Development Along with the rating based upon land use, economic development and cost effectiveness, FTA rates the project on local financial commitment and technical capability and capacity. These elements are judged substantially by the plans that are submitted in support of the project including the Project Management Plan (PMP), Fleet Management Plan (FMP), Quality Management Plan or Quality Assurance Quality Control (QMP or QA/QC), Safety and Security Management Plan (SSMP), and Real Estate Acquisition Management Plan (RAMP). At this point in the project, with a 5 to 10% level of engineering, these plans will begin to frame the specific physical and operational characteristics of the project and the Sponsor's approach to owning and managing the system. While fairly detailed information can (and should) be provided in the Project Management Plan (once OCTA and the City of come to an agreement) and the Quality Management Plan, the others (Fleet Management, Real Estate Acquisition Management and, Safety and Security Management) will lay out an approach and framework, to be completed in greater detail during Preliminary and Final Engineering, Task 2 -- Project Management Plan (PMP) The FTA statutory requirement of Technical Capacity and Capability is very important. FTA does review the ability of the sponsoring organization to accomplish a project of this magnitude. The primary basis for making this judgment is past experience of the sponsoring agency and the Project Management Plan (PMP). The PMP is an Important document that lays out how the applicant intends to manage and oversee the project through implementation. The preparation of the PMP will require involvement and commitment from the leadership of each of the participating agencies including OCTA, Santa Ana, and Garden Grove. The policy and management structures are to be outlined Section Three — Work Plan 31 2501-35 a I n r 9 0 0 0 G d✓ Coys,fW T 1 w am s 410 '00 )0 i {1 in the PMP, SOJ will assume the lead in preparing the PMP with strong support from Cordoba and URS In terms of coordinating with and confirming the sponsoring agencies' participation and roles in the management leadership structure. The PMP will be consistent.with 49 CFR USC 5327 and 49 CFR 633. SOJ has successfully managed the implementation of the first two modern streetcar systems in the U.S, using efficient project management plans resulting from a development practice rather than a transportation engineering practice, completing these projects within ambitious timelines and budgets. Under SOJ leadership, the Portland Streetcar Loop federal project submitted its PMP to FTA under its Small Starts application and successfully received its award. Buy -in and commitment from the sponsoring agencies regarding their integration with the project team and their roles in leadership and accountability was key to their success. The development of the PMP will be heavily influenced by decisions and agreements between the cities of Santa Ana and Garden and OCTA with respect to the ownership and operational management of the system. Cordoba and SOJ will consult with the cities and OCTA as they work toward agreements on these fundamental aspects of the project, and be fully prepared to develop a strong and compelling PMP based on the outcome. B. Tong, C. Higley, D. Levinsohn 11 One electronic and 12 hard copies of the draft and the final PMP Task 3 - Safety & Security Management Plan (SSMP) Another element required to accompany the federal application, the SSMP will be prepared by SOJ with support from URS. The System Safety and Security Plan is actually two plans (Safety and Security). The SOXURS team prepared both plans for the entire Portland Streetcar system including the federally funded project (Loop), and SOJ continues to maintain the SSMP through Portland Streetcar Inc. operations. These documents include approaches to construction as well as the operation of the system. The format will include all of the elements listed in the RFP to comply Nth 49 CFR 633 and FTA Circular C 5800.1 B. Tong, B. Post 11 One electronic and 12 hard copies of the draft and the final SSMP Task 4 - Fleet Management Plan (FMP) The FMP will be prepared by SOJ with support from URS, using the successful FMP format that was developed for the Portland Streetcar Loop application. Portland's FMP is used to guide the current vehicle fleet operations for Portland Streetcar Loop under SOJ's direct management. The vehicle to be used for the Santa Ana - Garden Grove Fixed Guideway has yet to be selected. Unlike Portland, Santa Ana and Garden Grove will need to comply with the requirements of the California Public Utilities Commission. The vehicle used in Portland does not currently meet CPUC standards. To date, only the Seimens S70 light rail transit vehicle complies with CPUC standards, while providing physical and operating characteristics similar to modern streetcars. The CPUC is aware of the broad interest in modern streetcar throughout California and has indicated a willingness to revisit their standards and vehicle requirements in light of modern streetcar operating characteristics differing from traditional LRT. Continued attention to this issue will be required as the project continues to advance so that a viable vehicle can be identified. However, for the purposes of this effort, a Draft Fleet Management Plan will be prepared until such time a a vehicle is selected. Real -time, current operating and financial data from the Portland streetcar operations, coupled with Input from OCTA, will be used to inform accurate assumptions for the Santa Ana — Garden Grove project. The FMP will be formatted consistently to conform to FTA Circular 90301 D. Section Three — Work Plan 32 w1i T� B. Tong, B. Post, 0. Jaff d� G QYefrxQd %�i1 �S18�!�cviect ' 1. (�' W 4TH ST _ One electronic and 12 hard copies of the draft FMP Task 5 — Quality Management Plan (QMP) 9 0' Cordoba will produce the QMP for the implementation of the Project with assistance from URS, Appropriate levels of reporting, documentation and accountability will be outlined that ensure compliance with FTA's 2002 guidelines, S. Cuevas, B. Post I One electronic and 12 hard copies of the draft and the final Task 6 -- Real Estate Acquisition Management Plan (RAMP) The land use and zoning for Santa Ana - Garden Grove supports the development of higher density mixed use development that can be served with a fixed guideway transit. Cordoba will lead the preparation of this document with support from SOJ and URS Engineering. This locally -led team understands very well the local real estate along the alternative routes and their use 1 characteristics, and the rights -of -way, facilities ! Improvements, ownership, leases and politics related to major land tracts affected. The full documentation of local plans and commitments will be included, all in full compliance with 49 CFR Part 24. The transit route does serve important attractions in Santa Ana, supports transit oriented development for the future and connects to the multi -modal transit center. B. Tong, D. Davies, D. Levinsohn 11 One electronic and 12 hard copies of the draft and the final RAMP Tasks -7 and 8: Ridership Forecasting /Reporting As noted in the Approach, the Cost Effectiveness criterion represents 33% of the federal rating for the project. Cost effectiveness is determined by comparing the total cost of the project to the total benefits generated from the project. The result of the comparison is an estimated cost per benefit. A cost per benefit below $24,99 results in a medium rating. Costs higher than that result in a low rating. Portland ($29,42) and Tucson ($36 approximately) both received low ratings. Project benefits are substantially determined from information provided by travel demand forecasting models, The required information Is developed by applying the FTA SUMMIT software to the travel forecast results, Fixed guideway projects are judged against a baseline case of improved bus transit. Current FTA methodology does not account for the benefits of streetcar. The methodology is based substantially on travel time savings. Streetcar does not generate travel time savings over a bus operating on the same street system. The ridership forecasting effort and subsequent FTA SUMMIT analysis require careful management and policy direction to obtain the desired outcomes while maintaining cost control given the budget allocation for this phase,. The cost for conducting these elements of work iteratively can easily dominate the budget and could require more funding than is allocated. In recognition that the prospect for obtaining a medium rating is very low, it needs to be determined, in consultation with FTA, how extensive these efforts should be if the Cost Effectiveness category rating for the project will not change substantially. Section Three - Work Plan 33 25D -37 Task 7 - Ridership Forecasts In the Small Starts or New Starts application processes, the FTA carefully reviews the methods used to develop transit ridership forecasts. While the FTA does not proscribe the parameters or procedures that should be used or approve the actual forecasting procedures, they have guidelines that should be followed. Two key focus areas are (1) how reasonably the models explain transit user decisions as demonstrated by their reproduction of recently collected on -board survey data and transit ridership counts, and (2) the reasonability of mode choice model coefficients and constants. The Cordoba team developed a transit ridership forecasting procedure for the Conceptual Engineering task that was consistent with FTA guidelines. "Data driven" techniques were used based on data from OCTA`s recent transit on- board survey coupled with incremental logit model procedures. The data driven techniques are similar to innovative techniques that the FTA presented in a 2009 New and Small Starts workshop in Phoenix. This approach has received conditional approval from FTA. The proposed approach for the Pre - Preliminary Engineering Analysis is to confirm and, if necessary, adjust the transit ridership forecasting procedure through formal coordination with FTA staff, update transit networks and socioeconomic forecasts for the project opening year, and produce refined transit ridership forecasts. A key statistic for FTA New Starts / Small Starts is User Benefits, expressed as travel time savings that accrue from a project. While the travel models are the basis for estimating travel time savings, FTA recognizes that most conventional travel models do not capture three categories of attributes providing additional User Benefits for fixed guideway alternatives: 1) Guideway -like characteristics, 2) Span of service, and 3) Passenger amenities. FTA allows projects to include credits for fixed guideway alternatives if the sponsor can demonstrate the project possesses the attributes identified above. A maximum benefit of 15 minutes of travel time savings is possible per new rider. The Cordoba Team will work closely with FTA to ensure that the maximum benefits can be applied to the project. Cambridge Systematics has considerable experience working with FTA to develop ridership forecasts for rail transit projects and for Section 5309 grant applications; they have prepared the 2035 ridership forecasts for the Santa Ana and Garden Grove Fixed Guideway Corridor Study. They will lead the development of the ridership forecasts for Pre - Preliminary Engineering Analysis, with support and input from JPC. Jennifer John of John Parker Consulting (JPC) in Portland prepared the Ridership Forecasts and associated submittal materials for the successful Portland Streetcar loop Small Starts application. She will oversee the work on this task and will assist SOJ with coordination of the analysis and submittal to FTA. She will be fully supported by CSI, who will work with her and the rest of the project team to insure the most favorable outcome possible for the project in terms of the Cost Effectiveness rating. This may require modifications to the model procedures as well as additional data collection. D. Kurth, S. Myung, J. John I' One Task 8 - FTA Summit Analysis tronic and 12 hard copies of the draft and the final forecasts Cambridge Systematics (CSI) has developed forecasting procedures that are compatible with OCTAM and that will allow for the output of appropriate model components to be used with the FTA Summit software tool for the Santa Ana - Garden Grove Fixed Guideway project. This software tool will be used to assist with analysis of the alternatives under consideration for this project. JPC will analyze the model and Summit outputs for the alternatives and will work with the project team and stakeholders as needed to determine what, if any, changes should be made In order to better position the alternatives from both a project standpoint in terms of providing the best possible Section Three - Work Plan 34 W 05100 _ M f � ct�a�oe�an ,*X, 0gR,,,FixedlG, Pio /�4 �i w aTH STe_* gy r3_ r Ita Pre1 -0� � 71,919M& service to impacted markets as well as from a Cost Effectiveness standpoint to arrive at the best possible rating for a Small Starts submittal. All required templates and outputs including trip length frequency reports, thematic maps and summaries of the model results will be provided. The project will benefit from the depth of technical expertise and experience, and the strong relations with FTA Travel Forecast staff that the Cordoba/SOJ team provides. I. Thematic Maps for Each of the Build Alternative versus Baseline R. Parker, J. John, D. Kurth Production and Attraction Maps for Each Trip Purpose and i Period, and Daily Totals �I i! it �I r I� I! i X8=39 Section Three — Work Plan 35 w �� EXHIBIT C FEE PROPOSAL 13 25D -41 O 4 O EL U< CO C U) Q W CL N r21 w OOOOLC) OtfjOOMO O O M 0000000 M t OM 0OC)0o00 v7 j 0000 ti0C�O~ 00070LOCO 0 C�D� �`-t� OOCnOCC)►nCCj OLn OOMN0 ap m CO N N O 'IT I- co V r- h N CO N N v- M �- EA CO fD N - Lo ~ �- O r 69 69 E/} 69 609 6�9 � 6R 69 69 6F! N O _M � 6g � d 0 00000�0nCD 0 0 0 0 0 0 M 0 ON p 0 0 0 O O p M - O 0000000 O O lt7 O CV a+ c N M .00 CO o0 M 0 CO � Cfi In M 0 O U� O) O M N O Cp M 0 N CV N C7 0� CO CO N O N 00 CD m t• h 0 r r r- 00 LO Cl) t� CD c} �Y �# O N O Z w w 69 69 61} 6H 69 6H 6% 69 69 69 69 69 69 Eg E9 Ef3 O N w � C � m d � N cq Cam. N U) O m IL LS Q 69 0 0 0 0 0 0 0 0 0 0 0 0 000000 CO C) 0 � 0 0 0000000 4 r� 0 Co 0 o i o ri u L6 o 00 C6 M a) P- Cn A O O MCL CO - M A - CU LO O O N 00 CO A O) � LO _N O N N M M CD CD Cpl c-- CO N 00 r t- r 00 to M c- N co �. LO Cn O U 69 E9 69 E!j 69 Eg E9 ER 69 69 fa 69 693 69 EA co;� ua al � Im 06 m ro: c U, CL Co Boa = *' cu 5- V) m la E o cam F ca m Q C Q o m � c m E c: y m O UJ (n Cn ' O o D Z0 -U)U- 0 wwu.l— a) N M et L� CD t` o = a O. Y Y Y Y Y Y Y Y Q N N , O A C N E CO N 25D -42 EXHIBIT D REQUIRED FEDERAL CLAUSES DEFINITIONS The Orange County Transportation Authority, (hereinafter referred to as "AUTHORITY"), The Federal Transit Administration, (hereinafter referred to as "FTA "), the City of Santa Ana ,(hereinafter referred to as "CITY "), and Cordoba Corporation, a California corporation, (hereinafter referred to as "CONTRACTOR ") The following provisions apply to all purchases regardless of their value ARTICLE I. FEDERAL CHANGES CONTRACTOR shall at all times comply with all applicable FTA regulations, policies, procedures and directives, including without limitation those listed directly or by reference in the agreement between the AUTHORITY and FTA , as they may be amended or promulgated from time to time during this Agreement. CONTRACTOR's failure to comply shall constitute a material breach of contract. ARTICLE 2. NO FEDERAL GOVERNMENT OBLIGATION TO THIRD PARTIES AUTHORITY, CITY and CONTRACTOR acknowledge and agree that, notwithstanding any concurrence by the Federal Government in or approval of the solicitation or award of the underlying Agreement, absent the express written consent by the Federal Government, the Federal Government is not a party to this Agreement and shall not be subject to any obligations or liabilities to the AUTHORITY, CITY, CONTRACTOR, or any other party (whether or not a party to this Agreement) pertaining to any matter resulting from the underlying Agreement. CONTRACTOR agrees to include these requirements in all of its subcontracts. ARTICLE 3. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS AND RELATED ACTS CONTRACTOR acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § §3801 et seq. and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 C.F.R. Part 31, apply to its actions pertaining to this project. Accordingly, by signing this Agreement, CONTRACTOR certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying Agreement or the FTA assisted project for which this Agreement's work is being performed. CONTRACTOR also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the right to impose penalties of the Program Fraud Civil Remedies Act of 1986 on the CONTRACTOR to the extent the Federal Government deems appropriate. CONTRACTOR also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification to the Federal Government under an agreement connected with a project that is financed in whole or part with Federal assistance awarded by FTA under the authority of 49 U.S.C. §5307 et seq., the Government reserves the right to impose the penalties of 18 U.S.C. §1001 and 49 U.S.C. §5307(n) (1) et seq. on the CONTRACTOR, to the extent the Federal Government deems appropriate. CONTRACTOR agrees to include this requirement in all of its subcontracts. ARTICLE 4. CIVIL RIGHTS ASSURANCE During the performance of this Agreement, CONTRACTOR, for itself, its assignees and successors in interest agree as follows: (A). Compliance with Regulations: CONTRACTOR shall comply with the Regulations relative to 14 25D -43 nondiscrimination in federally assisted programs of the Department of Transportation (hereinafter, "DOT ") Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter referred to as the Regulations), which are herein incorporated by reference and made a part of this Agreement. (B). Nondiscrimination: CONTRACTOR, with regard to the work performed by it during the Agreement, shall not discriminate on the grounds of race, color, or national origin in the selection and retention of SUBCONTRACTORS, including procurements of materials and leases of equipment. The CONTRACTOR shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment practices when the Agreement covers a program set forth in Appendix B of the Regulations. (C). Solicitations for Subcontracts Including Procurement of Materials and Equipment: In all solicitations either by competitive bidding or negotiation made by the CONTRACTOR for work to be performed under a subcontract, including procurements of materials or leases of equipment, each potential SUBCONTRACTOR or supplier shall be notified by the CONTRACTOR of the CONTRACTOR's obligations under this Agreement and the Regulations relative to nondiscrimination on the grounds of race, color, or national origin. (D). Information and Reports: CONTRACTOR shall provide all information and reports required by the Regulations or directives issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of information and its facilities as may be determined by the AUTHORITY or CITY to be pertinent to ascertain compliance with such Regulations, orders and instructions. Where any information required of a CONTRACTOR is in the exclusive possession of another who fails or refuses to furnish this information the CONTRACTOR shall so certify to the AUTHORITY or CITY as appropriate, and shall set forth what efforts it has made to obtain the information. (E). Sanctions for Noncompliance: In the event of the CONTRACTOR's noncompliance with nondiscrimination provisions of this Agreement, the AUTHORITY or CITYshall impose Agreement sanctions as it may determine to be appropriate, including, but not limited to: Withholding of payments to the CONTRACTOR under the Agreement until the CONTRACTOR complies; and /or Cancellation, termination, or suspension of the Agreement, in whole or in part. (F). Title VI of the Civil Rights Act. In determining the types of property or services to acquire, no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program or activity receiving Federal financial assistance in violation of Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. Sections 2000d et seq. and DOT regulations, "Nondiscrimination in Federally Assisted Programs of the Department of Transportation— Effectuation of Title VI of the Civil Rights Act of 1964," 49 CFR Part 21. In addition, FTA Circular 4702. 1, "Title VI and Title VI- Dependent Guidelines for FTA Recipients," 05- 13 -07, provides FTA guidance and instructions for implementing DOT's Title VI regulations. (G). The Americans with Disabilities Act of 1990 as amended (ADA), 42 U.S.C. Sections 12101 et seq., prohibits discrimination against qualified individuals with disabilities in all programs, activities, and services of public entities, as well as imposes specific requirements on public and private providers of transportation. (H). Incorporation of Provisions: CONTRACTOR shall include the provisions of paragraphs (A) through (H) in every subcontract, including procurements of materials and leases of equipment, unless exempt by the Regulations, or directives issued pursuant thereto. The CONTRACTOR shall take such action with respect to any subcontract or procurement as the AUTHORITY or CITY may direct as a means of enforcing such provisions including sanctions for noncompliance. Provided, however, that in the event a CONTRACTOR becomes involved in, or is threatened with, litigation with a SUBCONTRACTOR or supplier as a result of such direction, the CONTRACTOR may request the AUTHORITY or CITY to enter into such litigation to protect the interests of the AUTHORITY or CITY, and, in addition, the CONTRACTOR may request the United States to enter into such litigation to protect the interests of the United States. ARTICLE 5. DISADVANTAGED BUSINESS ENTERPRISES A. In accordance with federal financial assistance agreements with the U.S. Department of Transportation (U.S. DOT), the Orange County Transportation Authority (AUTHORITY) has adopted a Disadvantaged Business Enterprise (DBE) Policy and Program, in conformance with Title 49 CFR Part 26, 15 25D -44 "Participation by Disadvantaged Business Enterprises in Department of Transportation Programs ". The project is subject to these stipulated regulations. In order to ensure that the Authority achieves its overall DBE Program goals and objectives, the Authority encourages the participation of DBEs as defined in 49 CFR 26 in the performance of contracts financed in whole or in part with U.S. DOT funds. Pursuant to the intent of these Regulations, it is also the policy of the Authority to: 1. Fulfill the spirit and intent of the Federal DBE Program regulations published under U.S. DOT Title 49 CFR, Part 26, by ensuring that DBEs have equitable access to participate in all of Authority's DOT - assisted contracting opportunities. subcontracts. 2. Ensure that DBEs can fairly compete for and perform on all DOT - assisted contracts and contracts. 3. Ensure non - discrimination in the award and administration of AUTHORITY's DOT - assisted 4. Create a level playing field on which DBEs can compete fairly for DOT - assisted contracts. 5. Ensure that only firms that fully meet 49 CFR, Part 26 eligibility standards are permitted to participate as DBEs. 6. Help remove barriers to the participation of DBEs in DOT - assisted contracts. 7. Assist in the development of firms that can compete successfully in the marketplace outside the DBE Program. B. CONTRACTOR shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. Any terms used in this section which are defined in 49 CFR Part 26, or elsewhere in the Regulations, shall have the meaning set forth in the Regulations. In the event of any conflicts or inconsistencies between the Regulations and the Authority's DBE Program with respect to DOT - assisted contracts, the Regulations shall prevail. C. AUTHORITY's New Race - Neutral DBE Policy Implementation Directives: Pursuant to recently released Race - Neutral DBE policy directives issued by the U.S. DOT in response to the Ninth Circuit U.S. Court of Appeals decision in Western States Paving Co. v. Washington State Department of Transportation, the Authority has implemented a wholly Race - Neutral DBE Program. A Race - Neutral DBE Program is one that, while benefiting DBEs, is not solely focused on DBE firms. Therefore, under a Race - Neutral DBE Program, AUTHORITY does not establish numeric race - conscious DBE participation goals on its DOT - assisted contracts. CONTRACTOR shall not be required to achieve a specific level of DBE participation as a condition of contract compliance in the performance of this DOT - assisted contract. However, CONTRACTOR shall adhere to race - neutral DBE participation commitment(s) made at the time of contract award. D. Definitions: The following definitions apply to the terms as used in these provisions: 1. "Disadvantaged Business Enterprise (DBE)" means a small business concern: (a) which is at least 51 percent owned by one or more socially and economically disadvantaged individuals or, in the case of any publicly -owned business, at least 51 percent of the stock of which is owned by one or more socially and economically disadvantaged individuals; and (b) whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it. 2. "Small Business Concern" means a small business as defined pursuant to Section 3 of the Small Business Act and relevant regulations promulgated pursuant thereto, except that a small business concern shall not include any concern or group of concerns controlled by the same socially and economically disadvantaged individual or individuals which has annual average gross receipts in excess of $19.57 million over the previous three fiscal years. 3. "Socially and Economically Disadvantaged Individuals" means those individuals who are citizens of the United States (or lawfully admitted permanent residents) and who are Black Americans, Hispanic Americans, Native Americans, Asian - Pacific Americans, or Asian - Indian Americans, women and any other minorities or individuals found to be disadvantaged by the Small Business Administration pursuant to Section 8(a) of the Small Business Act, or by the Authority pursuant to 49 CFR part 26.65. Members of the following groups are presumed to be socially and economically disadvantaged: groups of Africa; a. "Black Americans," which includes persons having origins in any of the Black racial b. "Hispanic Americans," which includes persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish or Portuguese culture or origin, regardless of race; 16 25D -45 C. "Native Americans," which includes persons who are American Indians, Eskimos, Aleuts, or Native Hawaiians; d. "Asian- Pacific Americans," which includes persons whose origins are from Japan, China, Taiwan, Korea, Vietnam, Laos, Cambodia, the Philippines, Samoa, Guam, the U.S. Trust Territories of the Pacific, and the Northern Marianas; e. "Asian- Indian Americans," which includes persons whose origins are from India, Pakistan, and Bangladesh; and f. Women, regardless of ethnicity or race. 4. "Owned and Controlled" means a business: (a) which is at least 51 percent owned by one or more "Socially and Economically Disadvantaged Individuals" or, in the case of a publicly -owned business, at least 51 percent of the stock of which is owned by one or more "Socially and Economically Disadvantaged Individuals "; and (b) whose management and daily business operations are controlled by one or more such individuals. 5. "Manufacturer" means a firm that operates or maintains a factory or establishment that produces on the premises the materials or supplies obtained by the CONTRACTOR. 6. "Regular Dealer" means a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials or supplies required for the performance of the contract are bought, kept in stock, and regularly sold to the public in the usual course of business. The firm must engage in, as its principal business, and in its own name, the purchase and sale of the product in question. A regular dealer in such bulk items as steel, cement, gravel, stone and petroleum products need not keep such products in stock if it owns or operates distribution equipment. 7. "Other Socially and Economically Disadvantaged Individuals" means those individuals who are citizens of the United States (or lawfully admitted permanent residents) and who, on a case -by -case basis, are determined by Small Business Administration or AUTHORITY to meet the social and economic disadvantage criteria described below. a. Social Disadvantage: The individual's social disadvantage must stem from his /her color, national origin, gender, physical handicap, long -term residence in an environment isolated from the mainstream of American society, or other similar cause beyond the individual's control. disadvantage. i. The individual must demonstrate that he /she has personally suffered social ii. The individual's social disadvantage must be rooted in treatment, which he /she has experienced in American society, not in other countries. iii The individual's social disadvantage must be chronic, longstanding and substantial, not fleeting or insignificant. iv. The individual's social disadvantage must have negatively affected his /her entry into and /or advancement in the business world. v. A determination of social disadvantage must be made before proceeding to make a determination of economic disadvantage. b. Economic Disadvantage i. The individual's ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities, as compared to others in the same line of business and competitive market area that are not socially disadvantaged. ii. The following criteria will be considered when determining the degree of diminished credit and capital opportunities of a person claiming social and economic disadvantage: With respect to the individual: • availability of financing • bonding capability • availability of outside equity capital • available markets With respect to the individual and the business concern: • personal and business assets • personal and business net worth • personal and business income and profits 17 We E. Race - Neutral DBE Submission and Ongoing Reporting Requirements (Post- Award). CONTRACTOR shall complete and submit the following DBE exhibits (forms) at the times specified: "Monthly Race - Neutral DBE SUBCONTRACTORS Paid Report Summary and Payment Verification" (Form 103). If CONTRACTOR is a DBE firm and /or has proposed to utilize DBE firms, CONTRACTOR will be required to complete and submit a Form 103 to AUTHORITY by the 10th of each month until completion of the contract to facilitate reporting of race - neutral DBE participation, following the first month of contract activity. CONTRACTOR shall report the total dollar value paid to DBEs for the applicable reporting period. CONTRACTOR shall also report the DBE's scope of work and the total subcontract value of commitment for each DBE reported. CONTRACTOR is advised not to report the participation of DBEs toward CONTRACTOR's race - neutral DBE attainment until the amount being counted has been paid to the DBE. Upon completion of the contract, CONTRACTOR will be required to prepare and submit to the Authority a "Race - Neutral DBE SUBCONTRACTORS Paid Report Summary and Payment Verification" (Form 103) clearly marked "Final" to facilitate reporting and capturing actual DBE race - neutral attainments. CONTRACTOR shall complete and submit a Final Form 103 whether or not DBEs were utilized in the performance of the contract. F. DBE Eligibility and Commercially Useful Function Standards: A DBE must be a small business concern as defined pursuant to Section 3 of the U.S. Small Business Act and relevant regulations promulgated pursuant thereto. A DBE may participate as a prime CONTRACTOR, SUBCONTRACTOR, joint venture partner with a prime or SUBCONTRACTOR, CONTRACTOR of material or supplies, or as a trucking company. A DBE joint venture partner must be responsible for specific contract items of work, or clearly defined portions thereof. Responsibility means actually performing, managing and supervising the work with its own forces. The DBE joint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest. A DBE must perform a commercially useful function in accordance with 49 CFR 26.55 (i.e., must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing and supervising the work). A DBE should perform at least thirty percent (30 %) of the total cost of its contract with its own workforce to presume it is performing a commercially useful function. DBEs must be certified by the California Unified Certification Program (CUCP). Listings of DBEs certified by the CUCP are available from the following sources: The CUCP web site, which can be accessed at hftp://www.californiaucp.com; or the Caltrans "Civil Rights" web site at hftp://www.dot.ca.gov/hq/bep. The CUCP DBE Directory, which may be obtained from the Department of Transportation, Material Operations Branch, Publication Distribution Unit, 1900 Royal Oaks Drive, Sacramento, California 95815; Telephone: (916) 445 -3520. G. DBE Crediting Provisions: When a DBE is proposed to participate in the contract, either as a prime CONTRACTOR or SUBCONTRACTOR, only the value of the work proposed to be performed by the DBE with its own forces may be counted towards race - neutral DBE participation. If CONTRACTOR is a DBE joint venture participant, only the DBE proportionate interest in the joint venture shall be counted. If a DBE intends to subcontract part of the work of its subcontract to a lower tier SUBCONTRACTOR, the value of the subcontracted work may be counted toward race - neutral DBE participation only if the DBE SUBCONTRACTOR is a certified DBE and actually performs the work with their own forces. Services subcontracted to a non -DBE firm may not be credited toward the prime CONTRACTOR's race - neutral DBE attainment. CONTRACTOR is to calculate and credit participation by eligible DBE CONTRACTORs of equipment, materials, and suppliers toward race - neutral DBE attainment, as follows: Sixty percent (60 %) of expenditure(s) for equipment, materials and supplies required under the Contract, obtained from a regular dealer; or One hundred percent (100 %) of expenditure(s) for equipment, materials and supplies required under the Contract, obtained from a DBE manufacturer. The following types of fees or commissions paid to DBE SUBCONTRACTORS, Brokers, and Packagers may be credited toward the prime CONTRACTOR's race - neutral DBE attainment, provided that the fee or commission is reasonable, and not excessive, as compared with fees or commissions customarily allowed for similar work, including: Fees and commissions charged for providing bona fide professional or technical services, or procurement of essential personnel, facilities, equipment, materials, or supplies required in the performance of the Contract; Fees charged for delivery of material and supplies (excluding the cost of materials or supplies themselves) when the licensed hauler, trucker, or delivery service is not also the manufacturer of, or a regular dealer in, the material and supplies; Fees and commissions charged for providing any insurance specifically required in the performance of the Contract. CONTRACTOR may count the participation of DBE trucking companies toward race - neutral DBE attainment, as follows: The DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract. The DBE must itself own and operate at 18 2501-47 least one fully licensed, insured, and operational truck used on the Contract. The DBE receives credit for the total value of the transportation services it provides on the contract using trucks it owns, insures, and operates using drivers it employs. The DBE may lease trucks from another DBE firm, including an owner - operator who is certified as a DBE. The DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the contract. The DBE may also lease trucks from a non -DBE firm, including an owner - operator. The DBE who leases trucks from a non -DBE is entitled to credit only for the fee or commission it receives as a result of the lease arrangement. The DBE does not receive credit for the total value of the transportation services provided by the lessee, since these services are not provided by a DBE. For purposes of this paragraph, a lease must indicate that the DBE has exclusive use of and control over the truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE. If CONTRACTOR listed a non - certified DBE 15t tier SUBCONTRACTOR to perform work on this contract, and the non - certified DBE SUBCONTRACTOR subcontracts a part of its work or purchases materials and /or supplies from a lower tier DBE certified SUBCONTRACTOR or CONTRACTOR, the value of work performed by the lower tier DBE firm's own forces can be counted toward race - neutral DBE participation on the contract. H. Performance of DBE SUBCONTRACTORS: DBE SUBCONTRACTORS listed by CONTRACTOR in its "DBE Race - Neutral Participation Listing" (Exhibit D -2) submitted at the time of proposal submittal shall perform the work and supply the materials for which they are listed, unless the CONTRACTOR has received prior written authorization from the Authority to perform the work with other forces or to obtain the materials from other sources. CONTRACTOR shall provide written notification to the AUTHORITY in a timely manner of any changes to its anticipated DBE participation. This notice should be provided prior to the commencement of that portion of the work. I. Additional DBE SUBCONTRACTORS: In the event CONTRACTOR identifies additional DBE SUBCONTRACTORS or suppliers not previously identified by CONTRACTOR for race - neutral DBE participation under the contract, CONTRACTOR shall notify the Authority by submitting "Request for Additional DBE Firm" to enable CONTRACTOR to capture all race - neutral DBE participation. CONTRACTOR shall also submit, for each DBE identified after contract execution, a written confirmation from the DBE acknowledging that it is participating in the contract for a specified value, including the corresponding scope of work (a subcontract agreement can serve in lieu of the written confirmation). J. DBE Certification Status: If a listed DBE SUBCONTRACTOR is decertified during the life of the project, the decertified SUBCONTRACTOR shall notify CONTRACTOR in writing with the date of decertification. If a non -DBE SUBCONTRACTOR becomes a certified DBE during the life of the project, the DBE SUBCONTRACTOR shall notify CONTRACTOR in writing with the date of certification. CONTRACTOR shall furnish the written documentation to AUTHORITY in a timely manner. K. CONTRACTOR's Assurance Clause Regarding Non - Discrimination: In compliance with State and Federal anti - discrimination laws, CONTRACTOR shall affirm that they will not exclude or discriminate on the basis of race, color, national origin, or sex in consideration of contract award opportunities. Further, CONTRACTOR shall affirm that they will consider, and utilize SUBCONTRACTORS and CONTRACTORs, in a manner consistent with non - discrimination objectives. ARTICLE 6. ACCESS TO RECORDS AND REPORTS CONTRACTOR shall provide CITY, AUTHORITY, the U.S. Department of Transportation (DOT), the Comptroller General of the United States, or other agents of CITY, such access to CONTRACTOR's accounting books, records, payroll documents and facilities of the CONTRACTOR which are directly pertinent to this Agreement for the purposes of examining, auditing and inspecting all accounting books, records, work data, documents and activities related hereto. CONTRACTOR shall maintain such books, records; data and documents in accordance with generally accepted accounting principles and shall clearly identify and make such items readily accessible to such parties during CONTRACTOR's performance hereunder and for a period of four (4) years from the date of final payment by AUTHORITY. AUTHORITY's right to audit books and records directly related to this Agreement shall also extend to all first -tier SUBCONTRACTORS identified in this Agreement. CONTRACTOR shall permit any of the foregoing parties to reproduce documents by any means whatsoever or to copy excerpts and transcriptions as reasonably necessary. WE W I ;7 ARTICLE 7. INCORPORATION OF FTA TERMS All contractual provisions required by Department of Transportation (DOT), whether or not expressly set forth in this document, as set forth in Federal Transit Administration (FTA) Circular 4220.1 F, as amended, are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this Agreement. CONTRACTOR shall not perform any act, fail to perform any act, or refuse to comply with any requests, which would cause CITY or AUTHORITY to be in violation of the FTA terms and conditions. ARTICLE 8. ENERGY CONSERVATION REQUIREMENTS CONTRACTOR shall comply with mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy Conservation Act. ARTICLE 9. FLY AMERICA REQUIREMENTS CONTRACTOR agrees to comply with 49 U.S.C. 40118 (the "Fly America" Act) in accordance with the General Services Administration's regulations at 41 CFR Part 301 -10, which provide that recipients and sub - recipient of Federal funds and their CONTRACTORs are required to use U.S. Flag air carriers for U.S. Government - financed international air travel and transportation of their personal effects or property, to the extent such service is available, unless travel by foreign air carrier is a matter of necessity, as defined by the Fly America Act. CONTRACTOR shall submit, if a foreign air carrier was used, an appropriate certification or memorandum adequately explaining why service by a U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier and shall, in any event, provide a certificate of compliance with the Fly America requirements. CONTRACTOR agrees to include the requirements of this section in all subcontracts that may involve international air transportation. ARTICLE 10. TRANSPORTATION OF EQUIPMENT MATERIALS OR COMMODITIES BY OCEAN VESSEL A. CONTRACTOR shall utilize privately owned United States -flag commercial vessels to ship at least 50% of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners and tankers) involved, whenever shipping any equipment, materials or commodities pursuant to this section, to the extent such vessels are available at fair and reasonable rates for United States -flag commercial vessels. CONTRACTOR shall furnish within twenty (20) working days following the date of loading for shipments originating within the United States, or within thirty (30) working days following the date of loading for shipping originating outside the United States, a legible copy of a rated, "on- board" commercial ocean bill - of lading in English for each shipment of cargo described in paragraph A of this Article to CITY (through the prime CONTRACTOR in the case of SUBCONTRACTOR bills -of- lading) and to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590, marked with appropriate identification of the project. ARTICLE 11. PROHIBITED INTERESTS A. CONTRACTOR covenants that, for the term of this Agreement, no director, member, officer or employee of CITY or AUTHORITY during his /her tenure in office or for one (1) year thereafter, shall have any interest, direct or indirect, in this Agreement or the proceeds thereof. No member of or delegate to, the Congress of the United States shall have any interest, direct or indirect, in this Agreement or to the benefits thereof. ARTICLE 12. ALCOHOL AND DRUG POLICY A. CONTRACTOR agrees to establish and implement an alcohol and drug program that complies with 41 U.S.0 sections 701 -707, (the Drug Free Workplace Act of 1988),which is attached to this Agreement as Exhibit B, and produce any documentation necessary to establish its compliance with sections 701 -707. 20 25D -49 B. Failure to comply with this Article may result in nonpayment or termination of this Agreement ARTICLE 13. PRIVACY ACT CONTRACTOR shall comply with, and assures the compliance of its employees with, the information restrictions and other applicable requirements of the Privacy Act of 1974, 5 U.S.C. §552a. Among other things, CONTRACTOR agrees to obtain the express consent of the Federal Government before the CONTRACTOR or its employees operate a system of records on behalf of the Federal Government. CONTRACTOR understands that the requirements of the Privacy Act, including the civil and criminal penalties for violation of that Act, apply to those individuals involved, and that failure to comply with the terms of the Privacy Act may result in termination of the underlying Agreement. ARTICLE 14. CONFLICT OF INTEREST CONTRACTOR agrees to avoid organizational conflicts of interest. An organizational conflict of interest means that due to other activities, relationships or contracts, the CONTRACTOR is unable, or potentially unable to render impartial assistance or advice to the Authority; CONTRACTOR's objectivity in performing the work identified in the Scope of Work is or might be otherwise impaired; or the CONTRACTOR has an unfair competitive advantage. CONTRACTOR is obligated to fully disclose to the CITY in writing Conflict of Interest issues as soon as they are known to the CONTRACTOR. CONTRACTOR is obligated to fully disclose to the CITY in writing Conflict of Interest issues as soon as they are known to the CONTRACTOR. All disclosures must be submitted in writing to CITY pursuant to the Notice provision herein. This disclosure requirement is for the entire term of this Agreement. ARTICLE 15. CODE OF CONDUCT CONTRACTOR agrees to comply with the AUTHORITY's Code of Conduct as it relates to Third Party contracts which is hereby referenced and by this reference is incorporated herein. CONTRACTOR agrees to include these requirements in all of its subcontracts. ARTICLE 16. PROTEST PROCEDURES The Authority has on file a set of written protest procedures applicable to this solicitation that may be obtained by contacting the Contract Administrator /Buyer responsible for this procurement. Any protest filed by the CONTRACTOR in connection with this solicitation must be submitted in accordance with the Authority's written procedures. ARTICLE 17. TERMINATION A. CITY may terminate this Agreement for its convenience at any time, in whole or part, by giving CONTRACTOR written notice thereof. Upon termination, CITY shall pay CONTRACTOR its allowable costs incurred to date of that portion terminated. Said termination shall be construed in accordance with the provisions of CFR Title 48, Chapter 1, Part 49, of the Federal Acquisition Regulation (FAR) and specific subparts and other provisions thereof applicable to termination for convenience. If CITY sees fit to terminate this Agreement for convenience, said notice shall be given to CONTRACTOR in accordance with the provisions of the FAR referenced above. Upon receipt of said notification, CONTRACTOR agrees to comply with all applicable provisions of the FAR pertaining to termination for convenience. CITY may terminate this Agreement for CONTRACTOR's default if a federal or state proceeding for the relief of debtors is undertaken by or against CONTRACTOR, or if CONTRACTOR makes an assignment for the benefit of creditors, or for cause if CONTRACTOR fails to perform in accordance with the scope of work or breaches any term(s) or violates any provision(s) of this Agreement and does not cure such breach or violation within ten (10) calendar days after written notice thereof by CITY. CONTRACTOR shall be liable for any and all reasonable costs incurred by CITY as a result of such default or breach including, but not limited to, reprocurement costs of the same or similar services defaulted by CONTRACTOR under this Agreement. Such termination shall comply with CFR Title 48, Chapter 1, Part 49, of the FAR. 21 25D -50 ARTICLE 18. RECYCLED PRODUCTS CONTRACTOR shall comply with all the requirements of Section 6002 of the Resource Conservation and Recovery Act (RCRA), as amended (42 U.S.C. 6962), including but not limited to the regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they apply to the procurement of the items designated in subpart B of 40 CFR Part 247. CONTRACTOR agrees to include this requirement in all of its subcontracts. ARTICLE 19. DEBARMENT & SUSPENSION: Unless otherwise permitted by law, any person or firm that is debarred, suspended, or voluntarily excluded, as defined in the Federal Transit Administration (FTA) Circular 2015.1, dated April 28, 1989, may not take part in any federally funded transaction, either as a participant or a principal, during the period of debarment, suspension, or voluntary exclusion. Accordingly, the Authority, acting on behalf of the District, may not enter into any transaction with such debarred, suspended, or voluntarily excluded persons or firms during such period. A certification process has been established by 49 CFR Part 29, as a means to ensure that debarred suspended or voluntarily excluded persons or firms do not participate in Federally assisted projects. The inability to provide the required certification will not necessarily result in denial of participation in a covered transaction. A person or firm that is unable to provide a positive certification as required by this solicitation must submit a complete explanation attached to the certification. FTA will consider the certification and any accompanying explanation in determining whether or not to provide assistance for the project. Failure to furnish a certification or an explanation may disqualify that person or firm from participating in the project. ARTICLE 20. DISPUTES A. Except as otherwise provided in this Agreement, any dispute concerning a question of fact arising under this Agreement which is not disposed of by supplemental agreement shall be decided by CITY's Executive Director of Public Works, who shall reduce the decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the Executive Director, shall be final and conclusive. B. The provisions of this Article shall not be pleaded in any suit involving a question of fact arising under this Agreement as limiting judicial review of any such decision to cases where fraud by such official or his representative or board is alleged, provided, however, that any such decision shall be final and conclusive unless the same is fraudulent or capricious or arbitrary or so grossly erroneous as necessarily to imply bad faith or is not supported by substantial evidence. In connection with any appeal proceeding under this Article, CONTRACTOR shall be afforded an opportunity to be heard and to offer evidence in support of its appeal. Pending final decision of a dispute hereunder, CONTRACTOR shall proceed diligently with the performance of this Agreement and in accordance with the decision of CITY's Executive Director. This "Disputes" clause does not preclude consideration of questions of law in connection with decisions provided for above. Nothing in this Agreement, however, shall be construed as making final the decision of any CITY official or representative on a question of law, which questions shall be settled in accordance with the laws of the state of California. ARTICLE 21. CLEAN WATER REQUIREMENTS CONTRACTOR shall comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq. CONTRACTOR shall report each violation to CITY and understands and agrees that the CITY who will in turn, report each violation as required to assure notification to FTA and appropriate EPA Regional Office. CONTRACTOR agrees to include this requirement in all of its subcontracts. ARTICLE 22. CLEAN AIR CONTRACTOR shall comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq. CONTRACTOR shall report each violation to 22 25D -51 CITY, who will in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office. CONTRACTOR agrees to include this requirement in all of its subcontracts. ARTCLE 23. LOBBYING CONTRACTORs who apply or bid for an award of $100,000 or more shall file the certification required by 49 CFR part 20, "New Restrictions on Lobbying ". Each tier certifies to the above that it will not or has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on its behalf with non - Federal funds with respect to that Federal contract, grant or award covered by 31 U.S.C. 1352. Such disclosures are forwarded from tier to tier up to the recipient. ARTICLE 24. DAVIS BACON (1) Minimum wages - (i) All laborers and mechanics employed or working upon the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the CONTRACTOR and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis -Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR Part 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classifications and wage rates conformed under paragraph (1)(ii) of this section) and the Davis -Bacon poster (WH -1321) shall be posted at all times by the CONTRACTOR and its SUBCONTRACTORS at the site of the work in a prominent and accessible place where it can be easily seen by the workers. (ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officershall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (1) Except with respect to helpers as defined as 29 CFR 5.2(n)(4), the work to be performed by the classification requested is not performed by a classification in the wage determination; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and (4) With respect to helpers as defined in 29 CFR 5.2(n)(4), such a classification prevails in the area in 23 2501-52 which the work is performed. (B) If the CONTRACTOR and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30 -day period that additional time is necessary. (C) In the event the CONTRACTOR, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30 -day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the CONTRACTOR shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the CONTRACTOR does not make payments to a trustee or other third person, the CONTRACTOR may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the CONTRACTOR, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the CONTRACTOR to set aside in a separate account assets for the meeting of obligations under the plan or program. M(A) The contracting officer shall require that any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefor only when the following criteria have been met: (1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (B) If the CONTRACTOR and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30 -day period that additional time is necessary. ME 25D -53 (C) In the event the CONTRACTOR, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination with 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30 -day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(v) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (2) Withholding - The [ insert name of grantee ] shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the CONTRACTOR under this contract or any other Federal contract with the same prime CONTRACTOR, or any other federally- assisted contract subject to Davis -Bacon prevailing wage requirements, which is held by the same prime CONTRACTOR, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the CONTRACTOR or any SUBCONTRACTOR the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the contract, the [ insert name of grantee ] may, after written notice to the CONTRACTOR, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (3) Payrolls and basic records - (i) Payrolls and basic records relating thereto shall be maintained by the CONTRACTOR during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or development of the project). Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis -Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis -Bacon Act, the CONTRACTOR shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. CONTRACTORs employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (ii)(A) The CONTRACTOR shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the [ insert name of grantee ] for transmission to the Federal Transit Administration. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under section 5.5(a)(3)(i) of Regulations, 29 CFR part 5. This information may be submitted in any form desired. Optional Form WH -347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal Stock Number 029- 005 - 00014 -1), U.S. Government Printing Office, Washington, DC 20402. The prime CONTRACTOR is responsible for the submission of copies of payrolls by all SUBCONTRACTORS. (B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the CONTRACTOR or SUBCONTRACTOR or his or her agent who pays or supervises the payment of the 25 25D -54 Persons employed under the contract and shall certify the following (1) That the payroll for the payroll period contains the information required to be maintained under section 5.5(a)(3)(i) of Regulations, 29 CFR part 5 and that such information is correct and complete; (2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3; (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH -347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph (a)(3)(ii)(B) of this section. (D) The falsification of any of the above certifications may subject the CONTRACTOR or SUBCONTRACTOR to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code. (iii) The CONTRACTOR or SUBCONTRACTOR shall make the records required under paragraph (a)(3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the Federal Transit Administration or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the CONTRACTOR or SUBCONTRACTOR fails to submit the required records or to make them available, the Federal agency may, after written notice to the CONTRACTOR, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. (4) Apprentices and trainees - (i) Apprentices - Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State Apprenticeship Agency recognized by the Bureau, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the CONTRACTOR as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a CONTRACTOR is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the CONTRACTOR's or SUBCONTRACTOR's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator of the Wage and Hour Division of the U.S. Department of Labor determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in we 2501-55 accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a State Apprenticeship Agency recognized by the Bureau, withdraws approval of an apprenticeship program, the CONTRACTOR will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees - Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the CONTRACTOR will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity - The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30. (5) Compliance with Copeland Act requirements - The CONTRACTOR shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. (6) Subcontracts - The CONTRACTOR or SUBCONTRACTOR shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the Federal Transit Administration may by appropriate instructions require, and also a clause requiring the SUBCONTRACTORS to include these clauses in any lower tier subcontracts. The prime CONTRACTOR shall be responsible for the compliance by any SUBCONTRACTOR or lower tier SUBCONTRACTOR with all the contract clauses in 29 CFR 5.5. (7) Contract termination: debarment - A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a CONTRACTOR and a SUBCONTRACTOR as provided in 29 CFR 5.12. (8) Compliance with Davis -Bacon and Related Act requirements - All rulings and interpretations of the Davis -Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract. (9) Disputes concerning labor standards - Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the CONTRACTOR (or any of its SUBCONTRACTORS) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives. (10) Certification of eligibility - (i) By entering into this contract, the CONTRACTOR certifies that neither it (nor he or she) nor any person or firm who has an interest in the CONTRACTOR's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis -Bacon Act or 29 27 25D -56 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1). (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. ARTICLE 25. PATENT RIGHTS (1) General - If any invention, improvement, or discovery is conceived or first actually reduced to practice in the course of or under the contract to which this Attachment has been added, and that invention, improvement, or discovery is patentable under the laws of the United States of America or any foreign country, the Purchaser and CONTRACTOR agree to take actions necessary to provide immediate notice and a detailed report to the party at a higher tier until FTA is ultimately notified. (2) Unless the Federal Government later makes a contrary determination in writing, irrespective of the CONTRACTOR's status (a large business, small business, state government or state instrumentality, local government, nonprofit organization, institution of higher education, individual), the Purchaser and the CONTRACTOR agree to take the necessary actions to provide, through FTA, those rights in that invention due the Federal Government as described in U.S. Department of Commerce regulations, Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements," 37 C.F.R. Part 401. (3) The CONTRACTOR also agrees to include the requirements of this clause in each subcontract for experimental, developmental, or research work financed in whole or in part with Federal assistance provided by FTA. 28 25D -57 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: ALL - INCLUSIVE SETTLEMENT AGREEMENT FOR 1211 WEST WARNER AVENUE (PROJECT NO. 091752) I CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached all- inclusive settlement agreement with Big O Tires, LLC in the amount of $250,000 subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION On March 6, 2006, the City Council approved the cooperative agreement between the City and the Orange County Transportation Authority to fund Bristol Street improvements from Warner Avenue to Seventeenth Street. As part of the street widening, the City is improving the intersection of Bristol Street and Warner Avenue. Measure M funding has been approved for the intersection widening for the amount of $3.182 million. To accommodate the widening of this intersection, the entire property located at 1211 West Warner Avenue was acquired in May 2010 (Exhibit 1). This acquisition also necessitates the relocation of the tenant in the building. The tenant, Big O Tires, has agreed to a settlement agreement for relocation benefits. The compensation amounts are the appraised values prepared by an appraiser licensed by the State of California. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project has been determined to be adequately evaluated in the previously prepared Environmental Impact Report/Environmental Impact Assessment EIR No. 89 -01 approved by City Council in 1990. 25E -1 All Inclusive Settlement Agreement for 1211 West Warner Avenue (Project No. 091752) August 1, 2011 Page 2 FISCAL IMPACT Funds are appropriated in the Measure M Select Street Construction Fund (accounting unit 03217660- 66220) and Select Street Construction Fund (accounting unit 05917661 - 66100). Raul Godinez II Executive Director Public Works Agency RG /J G Exhibits: 1. Location map 2. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: �� r- �, ) 61A�� Francisco Gutierrez Executive Director Finance & Management Services Agency 25E -2 I KT.9 I I J m LEGEND ® SUBJECT PROPERTIES I I -----------------------r - -- --- -- I I .I I I I WARNER AVE EXHIBIT 1 P�SAN A ANA CITY COUNCIL TITLE: ALL INCLUSIVE SETTLEMENT A i AGENDA DATE AGREEMENT FOR 1211 W. WARNER `J VENUE (PROJECT NO. 091752) AUGUST 01, 2011 PUBLIC VCANS AGENCI r s v -A ANA 25E -4 EXHIBIT 2 ALL INCLUSIVE SETTLEMENT AGREEMENT This Agreement ( "Agreement ") is made by and between the City of Santa Ana, a charter city and municipal corporation duly organized and exiting under the Constitution and laws of the State of California ( "City ") and Big 0 Tires, LLC ( "Tenant "). The City and Tenant are hereinafter sometimes referred to collectively as the "Parties." RECITALS A. Tenant operates a business, commonly known as Big 0 Tire, and is the occupant of real property located at 1211 W. Warner, Santa Ana, CA (the "Property "). B. The Property has been acquired by the City for the Bristol Street /Warner Avenue Intersection Project. Tenant currently occupies the Property tinder a lease dated June 1, 2001, which was assigned to and assumed by Big 0 Tires, LLC, and which expires on May 31, 2016 (the "Lease "). C. The Parties desire to resolve all issues relating to the City's acquisition of the Property in accordance with the terms and conditions set forth below. D. The Parties acknowledge that the payment as set forth in paragraph 1(a) and other consideration given in cormection with this Agreement are the result of a compromise and settlement of disputed claims, and shall never, at any time or for any purpose, be considered an admission of liability or responsibility on the part of any of the parties herein released. NOW, THEREFORE, in consideration of the foregoing and of the mutual promises and covenants hereinafter set forth, it is hereby agreed by and among the Parties that: 1. Consideration (a) The City shall pay to Tenant the sum of $250,000.00 (Two Hundred Fifty Thousand Dollars) (Tenant Settlement Payment) as total compensation for relocation assistance and any and all related expenses and claims as more fully described in paragraph 1(b) below. Upon full execution of this Agreement, the City will begin processing an initial payment to Tenant in the amount of $150,000.00. The City will make the final payment to Tenant in the amount of $100,000.00, less any deductions described in paragraphs 1 (c) & (d) of this Agreement, after Tenant vacates the Property, signs a Certificate of Abandonment, provides all keys to the Property to the City or to the City's relocation consultant, and provides written verification that all hazardous materials have been legally and properly moved. (b) Tenant agrees, that the consideration received pursuant to paragraph 1(a) above constitutes full satisfaction of any and all obligations of the City to Tenant, including, without limitation, any obligations for relocation assistance, relocation benefits, moving expenses, interest of any kind in the real estate and leasehold, loss of business goodwill, compensation for personal property (loss of inventory), I of 7 25E -5 furniture, fixtures and equipment, interest, attorney's fees, appraisal fees, or damages of any nature. (c) Tenant agrees to vacate the premises by no later than January 31, 2011 (Vacate Date). Should Tenant remain in occupancy beyond the Vacate Date, a Two Hundred Fifty Dollars ($250) per day penalty will be deducted from the Tenant Settlement Payment, for each day of occupancy beyond the Vacate Date unless a written request for an extension has been submitted and consequently approved by the City or its Agents. (d) Tenant hereby agrees that City may remove and dispose of any personal property or trash that has not been moved upon the Vacate Date, as it elects and desires, without any notice to Tenant. Any disposal costs associated with Tenants' personal property, or clean up fees paid by the City, will be deducted from the Tenant Settlement Payment. 2. Release (a) Nothing contained herein shall constitute a release or discharge by either party for any of the undertakings of the other party to this Settlement Agreement. This Agreement shall serve as a full release and discharge by the Parties, on behalf of themselves, their agents, representatives, assigns, trustees, administrators, attorneys, heirs, relatives, spouses, ex- spouses, beneficiaries, and successors in interest, in consideration of the mutual covenants and promises contained herein, of the Tenant, the City of Santa Ana, the City of Santa Ana Public Works Agency, and those parties' accountants, other professionals, agents, representatives, assigns, employees, administrators, trustees, insurers, attorneys, heirs, beneficiaries, and successors in interest (collectively the "Released Parties "), from all rights, claims or cross - claims, demands, actions, or causes of action, including those for damages, compensation, relocation assistance, relocation benefits, loss of goodwill, property interest, compensation for personal property (loss of inventory), furniture, fixtures and equipment, punitive damages, interest, costs, attorney's and appraisal fees, injunctive or declaratory relief, or for relief by way of writ of mandate, or for demands, damages, refiunds, debts, liabilities, reckonings, accounts, obligations, costs, expenses, liens, actions, causes, and causes of action of whatever kind, at law or in equity, that the Parties have now or- may have against any of the Released Parties arising from the facts and circumstances described in this Agreement including but not limited to (1) the acquisition of the Property by the City, (2) Tenant's leasehold interest, if anv, in the Property (or any portion thereof) or (3) any other right or interest Tenant may have, assert, or claim by reason of City's actions or failure to act, including, but not limited to, any claim to relocation assistance, relocation benefits or compensation for property or loss of goodwill from the City. (b) In making this release, the Parties intend to and do release, acquit and discharge the Released Parties, and each of them, from any liability of any nature whatsoever for any claim, injury, damages, or equitable or declaratory relief of 2 of 7 25E -6 any kind, whether the claim, or any facts on wlvch such claim might be based, is known or unknown to the party possessing the claim. Each party expressly acknowledges and waives any and all rights under Section 1542 of the California Civil Code, which the Parties understand provides as follows: A general release does not extend to claims which the creditor does not know or suspect to exist in his /her . favor at the time of executing the release, which known by him /her must have materially affected his /her settlement with the debtor. Each party acknowledges the foregoing waiver of the provisions of California Civil Code Section 1542 was separately bargained for and expressly consents that this Agreement shall be given full force and effect in accordance with each and all of its express terms and provisions, including those terms and provisions relating to unknown or unsuspected claims, demands and causes of action, if any, to the same effect as those terms and provisions relating to any other claims, demands and causes of action herein above specified. (c) Each party acknowledges that it may hereafter discover facts or law different from or in addition to those which it now believes to be true with respect to the release of claims. Each party agrees that the foregoing release shall be and remain effective in all respects notwithstanding such different or additional facts or law or any party's discovery thereof. The Parties shall not be entitled to any relief in connection therewith, including, but not limited to, any damages or any right or claim to set aside or rescind this Agreement. (d) None of the Parties or their respective agents nor any related entities have made any statement or presentation to the other regarding any fact relied upon in entering into this Agreement and the Parties, and each of them, expressly do not rely upon any statement, representation or promise of any other party or nay party's agent or related entities in executing this Agreement, except as is expressly set forth herein. Each of the Parties has made such investigation of the facts and law pertaining to the subject matter of this Agreement as it deems necessary, and has consulted with legal counsel of its own choosing concerning these matters. (e) Tenant hereby represents and warrants as of the Effective Date of this Agreement that (1) to its actual knowledge, no other entity or person has any right, title, or interest whatsoever in the released claims, and (2) that there has been no assignment, transfer, conveyance or other disposition by Tenant of any of the released claims, and that Tenant will not make any such assignment, transfer, conveyance or other disposition subsequent to the Effective Date of this Agreement. Tenant acknowledges that the Authority has relied and is relying upon such representations and warranties in entering into this Agreement. (f) Tenant will Hold Harmless and defend City, its employees, agents, contractors or representatives from any claims that may arise from Tenant's nondisclosure of of 7 25E -7 any other interests in the Property or personal property referenced by this agreement. (g) This Agreement represents a settlement of doubtful and disputed claims between the Parties and does not constitute any admission of liability by either party to the other party to this Agreement. Tenant and City now wish to enter into this Agreement in lieu of and under threat of eminent domain proceedings. 3. Third Party Beneficiaries Except as explicitly set forth herein, nothing in this Agreement is intended to create any third party beneficiaries under this Agreement, and no person or entity other than Authority and Tenant shall be authorized to enforce the provisions of this Agreement. 4. Attorney's Fees In the event of litigation relating to or arising out of this Agreement, the prevailing party shall be entitled to be reimbursed by the non - prevailing party for all reasonable costs and expenses incurred thereby, including, but not limited to reasonable attorney's fees and costs for services rendered to such prevailing party. 5. Indemnity Each party shall indemnify, defend and hold the other party and the Released Parties harmless from and against any claims, damages, demands, liabilities, losses, judgments, expenses and attorney's fees and /or costs resulting from the breach by such indemnifying party of any provision of this Agreement, the falsity of any representation or warranty made by the indemnifying party contained in this Agreement. 6. Entire Aareennent This Agreement together contains the entire Agreement of the Parties, and supersedes any prior written or oral agreements between them, concerning the subject matter of this Agreement. 7. Partial Invalidity In the event that any terns, covenant, condition or provision of this Agreement shall be detennined by a court of competent jurisdiction to be invalid or against public policy, the remaining provisions shall continue in full force and effect. 8. Waiver and /or Modification The provisions of this Agreement may not be waived, altered, amended or repealed, in whole or in part, except upon a written agreement signed by each of the Parties. The waiver by one party of the performance of any provisions of this Agreement shall not invalidate this Agreement, nor shall it be deemed a waiver of any other provision hereof. 4of7 25E -8 9. Headings The headings, subheadings and numbering of the different paragraphs of this Agreement are inserted for convenience and for reference only and shall not be considered for any purpose in construing this Agreement. 10. Governing Law The rights and obligations of the Parties under this Agreement shall be construed and enforced in accordance with, and governed by, the laws of the State of California. 11. Successors In Interest Subject to any restrictions against assignment contained herein, this Agreement shall inure to the benefit of, and shall be binding upon, the assigns, successors in interest, personal representatives, executors, estates, heirs, legatees, agents and related entities of each of the Parties. 12. Necessary Acts Each of the Parties agrees to perform such further acts, and execute and deliver such further documents, as may be reasonably necessary to carry out the provisions of this Agreement. 13. Advice of Counsel The Parties, and each of the, acknowledge that in connection with the negotiations and execution of this Agreement, they have each been represented by independent counsel of their own choosing and the Parties executed the Agreement after review by such independent counsel; or, if they were not so represented, said non - representation is and was the voluntary, intelligent and informed decision and election of the party not so represented; and, prior to executing the Agreement, each party has had an adequate opportunity to conduct an independent investigation of all the facts and circumstances with respect to the matters which are the subject of this Agreement including but not limited to the advisability of entering into this Agreement and the meaning of California Civil Code Section 1542. 14. Authoritv to Execute This Agreement Each person executing this Agreement on behalf of an entity represents that he or she is authorized to execute this Agreement on behalf of that entity and to bind that entity to the terms of this Agreement. 5 of 7 25E -9 15. Construction Each party has cooperated in the drafting and preparation of this Agreement. hi any construction to be made of this Agreement, or of any of its terms and provisions, the same shall not be construed against any party. 16. Counterparts This Agreement may be executed in counterparts, each of which shall be deemed an original and, when taken together with other signed counterparts, shall constitute one Agreement, which shall be binding upon and effective as to all Parties. 17. Voluntary Agreement The Parties, and each of them, further represent and declare that they have carefully read this Agreement and know the contents thereof, and that they sign the same freely and voluntarily. 18. Notices All notices, requests, demands and other communications required or permitted to be given under this Agreement shall be in writing and shall either be delivered personally or be sent by telegram or by regular or certified first class snail, postage prepaid, deposited in the United States mail, and properly addressed to the party at its address set forth below, or at any other address that such party may designate by written notice to the other party: To City: Sours Amirani Deputy City Engineer City of Santa Ana Public Works Agency 20 Civic Center Plaza, M -36 Santa Ana, California 92701 To 1'enant: Charles Zacharias Big O Tires, LLC 823 Donald Ross Rd. Juno Beach, FL 33408 6of7 25E -10 19. Jurisdiction and Venue Any action or proceeding concerning this Agreement shall be filed and prosecuted in the appropriate California court in the County of Orange, California. Each party hereto irrevocably consents to the personal jurisdiction of the court. The Parties each hereby expressly waive the benefit of any provision of law providing for a change of venue to any other court, including, without limitation, federal court, due to any diversity of citizenship between the Parties or due to the fact that either the Authority is a party to such action or proceeding. Without limiting the generality of the foregoing, the Parties specifically waive any rights provided to it pursuant to California Code of Civil Procedure Section 394 or other state or federal statutes or judicial decisions of similar effect. IT WITNESS WHEREOF, the parties to this Agreement have executed this Agreement as of the date first written above. LLC T 9�ires, �P4A.�-- (95" 0344.. ZS �7 3�l t as Title Tax Identification No. Date APPROVED AS TO FORM: BY: Dated 7,/ ?- 1 1 B6 c Tenant Legal Counsel CITY OF SANTA ANA BY: Dated Joseph Straka Interim City Attorney ATTEST: Dated Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Joseph Straka Interim City Attorney BY: Dated Jose Sandoval Managing Senior Assistant City Attorney 7 of 7 25E -11 25E -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: AGREEMENT WITH COMMUNICATIONS SUPORT GROUP FOR CABLE AUDIT SERVICES CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1St Reading ❑ Ordinance on 2nd Reading ❑ implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached amendment to agreement with Communications Support Group for cable audit services in an amount not to exceed $60,000, for a total not to exceed amount of $78,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On January 25, 2011, the City entered into an agreement with Communications support group to perform a cursory franchise fee and specialized Public, Education and Government (PEG) fee review of both Time Warner Cable (TWC) and AT &T California (ATT). This Phase 1 review was designed to better understand how both companies have been remitting franchise fees and PEG fees and determine if there was potential to recover additional unpaid fees. Phase 1 was also intended to provide information to the City that would assist in determining the costs and benefits of proceeding with a full audit. The cost for Phase 1 of the project was $18,000. On June 23, 2011 Communications Support Group submitted a preliminary procedures review that addressed the findings in Phase 1 of the project. This report lists potential unpaid franchise fee revenue of $77,000 and potential unpaid PEG revenue of $427,000. These amounts are one time monies that are in addition to the quarterly franchise fees and PEG fees that are remitted to the City. They City receives approximately $1,175,000 in franchise fee annually. In addition, as Part of Phase 1, Communications Support Group helped clarify the amount of PEG fees owed the City. The City projects approximately $232,000 in PEG fees annually. On June 24, 2011, Communications Support Group submitted a proposal for Phase 2 of the project, which includes a full three -year audit of TWC and a one -year audit of ATT. By completing Phase 2 of the project, the City will maximize its ability to recover up to $504,000 in unpaid franchise fees and PEG fees. In addition, the audit will help the City better understand TWC's and ATT's accounting practices to help ensure that the City is collecting all the quarterly franchise fees and PEG fees that it is owed. Franchise fees are fees paid into the General Fund and PEG fees are fees paid into Fund 21 and restricted for PEG capital and equipment purchases. 25F -1 Communications Support Group Agreement August 1, 2011 Page 2 FISCAL IMPACT Funds for this agreement are available in the PRCSA Administrative Services contract services account (no.01113200 62300). zl�j� Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez, Executive Director Finance and Management Services Agency�� 25F -2 FIRST AMENDMENT TO AGREEMENT THIS FIRST AMENDMENT TO AGREEMENT is entered into on August 1, 2011, by and between Communications Support Group, Inc., a California corporation ( "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City "). RECITALS: A. The parties entered into that certain Agreement N- 2011 -012, dated January 25, 2011, (hereinafter "said Agreement ") by which Consultant has provided cable television/video provider franchise audit services. B. In accordance with the terms and conditions of said Agreement, the parties wish to amend the Scope of Services and increase compensation to pay for the additional services provided. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this First Amendment to Agreement, the parties agree as follows: 1. Section 1, SCOPE OF SERVICES, shall be amended to provide that Consultant shall perform a franchise fee and PEG fee audit of both Time Warner and AT &T, as set forth in Exhibit A- 1, attached hereto and incorporated by this reference. 2. Section 2, COMPENSATION, shall be amended to increase compensation by $60,000, to pay for the additional services as follows: a. A complete agreed -upon procedures review of Time Warner franchise fee and PEG fees for a three year period for an amount not to exceed $45,000; and b. A complete agreed -upon procedures review of AT &T franchise fee and PEG fees for a one -year period for an amount not to exceed $15,000. The total amount for audit services provided under said Agreement shall not exceed $78,000.00 during the term of said Agreement. 3. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. /// 25F -3 IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: JOSEPH STRAKA Interim City Attorney By: Laura Sheedy Assistant City Attorney CITY OF SANTA ANA PAUL M. WALTERS Interim City Manager COMMUNICATIONS SUPPORT GROUP, INC. JOHN RISK President 25F -4 EXHIBIT A -1 CONSULTANT'S PROPOSAL DATED JUNE 24, 2011 25F -5 COMMUNICATIONS SUPPORT GROUP INC. 1255 Somerset Lane Newport Beach, CA 92660 VOICE: (714) 788 -8566 EMAIL: jrisk @csgaudits.com WEB: www.csgaudits.com June 24, 2011 Mr. Robert Carroll Senior Management Analyst Parks, Recreation, and Community Services 20 Civic Center Plaza M -75 Santa Ana, CA 92702 SUBJECT: CONSULTING PROPOSAL — PHASE 2 AT &T and TIME WARNER Dear Mr. Carroll, We are pleased to present our proposal to provide specialized, franchise fee, and PEG fee consulting services to the City of Santa Ana for the second phase of auditing associated with Time Warner Cable (TWC) and AT &T California (AT &T)'. Communications Support Group, Inc. (CSG) and its subcontractor, Diehl Evans & Co. proposes to perform a review of subscriber counts, franchise fee payments and PEG fee payments made by AT &T and Time Warner Cable. We have divided the work product as follows: 1) an agreed -upon procedures one -year review of AT &T, and 2) an agreed -upon procedures 3 -year review of revenues as it pertains to franchise fee payments and PEG fee payments. To best meet the needs of the City, we have combined the resources of our firm, Communications Support Group, Inc. ( "CSG "), a California -based consulting firm with extensive experience in performing franchise fee and PEG fee reviews on cable television companies, with the resources of Diehl, Evans & Company, LLP ( "DE &CO "), an Irvine -based CPA firm. Our two firms have worked successfully together over the past seven years, having provided joint cable television consulting services for over thirty California cities and counties, including many AT &T and Time Warner systems. Approximately eighty -five percent of the work on this engagement will be performed by CSG, under the direction of Mr. John Risk, President of CSG. Mr. Risk holds a Bachelors Degree (with high honors) in Social Research from the University of Michigan. Mr. Risk is a former five -year Board member of the National Association of Telecommunications Officers and Advisors (NATOA). Since1979, Mr. Risk has held a variety of private and public sector management positions involving cable television franchise administration, policy, programming, production and technology. Mr. Risk has 1 CSG was retained in the first six months of 2011 to perform preliminary reviews of AT &T and Time Warner. @2011 Communications Support Group, Inc. Page 1 of 9 25F -6 Proposal Letter City of Santa Ana 1 -Yr. AT &T and 3- Yr.Time Warner Review Communications Support Group, Inc. performed compliance audits, franchise fee audits and video user tax audits for numerous California franchising authorities. Additionally, Mr. Risk has worked previously for the City of Santa Ana as a consultant and full -time employee. Approximately fifteen percent of work on this engagement will be supervised and reviewed by Mr. William S. Morgan, CPA, DE &CO's Director of Consulting Services. Mr. Morgan is a graduate of the University of Southern California and is an associate member of the Southern California and Nevada Chapter of the National Association of Telecommunications Officers and Advisors (SCAN /NATOA). Mr. Morgan has also worked previously for the City of Santa Ana as a subcontractor consultant. Over the past seven years, CSG and DE &CO have been retained by numerous cities (or groups of cities) to perform cable television consulting services. Some examples are noted below: Cities Cable Company of Service Cities of San Bernardino & Moreno Valley Adelphia and Time Warner Franchise Fee/UUT Review 12 Inland Empire Cities Adelphia Communication Franchise Fee/UUT Review 5 San Diego Co Cities Adelphia Communication Franchise Fee Review City of Los Angeles Altrio Communication "Due Diligence" Review City of Arcadia AT &T Franchise Fee/PEG Fee Review City of Berkeley AT &T Franchise Fee/UUT Review City of Santa Cruz AT &T Franchise Fee/UUT Review City of Pasadena Charter Franchise Fee/UUT Review City of Porterville Charter Franchise Fee Review City of Walnut Charter Franchise Fee/PEG Fee Review City of Oakland Comcast Franchise Fee /UUT Review Cities of Arcadia, Monrovia & Pasadena Champion Broadband "Due Diligence" Review City of Brea Time Warner Cable Franchise Fee and PEG Review City of Chino Hills Time Warner Cable Franchise Fee Review City of Diamond Bar Time Warner Cable Franchise Fee Review City of Fullerton Time Warner Cable Franchise Fee Review City of Inglewood Time Warner Cable Franchise Fee/UUT Review Cities of Hawthorne & Lawndale Time Warner Cable Franchise Fee/UUT Review City of Huntington Beach Time Warner Cable Franchise Fee and UUT Review City of La Habra Time Warner Cable Franchise Fee/UUT Review City of Redondo Beach Time Warner Cable Franchise Fee and PEG Review City of Santa Ana Time Warner Cable Franchise Fee and PEG Review ©2011 Communications Support Group, Inc. Page 2 of 9 25F -7 Proposal Letter City of Santa Ana 1 -Yr. AT &T and 3- Yr.Time Warner Review Communications Support Group, Inc. SECTION B BACKGROUND AND PROJECT SUMMARY For the first six months of this year, under a separate purchase order, CSG performed a cursory review of reported revenues and survey responses requested from AT &T and a preliminary review of Time Warner related to PEG fees and subscriber revenues which enabled the City to raise several legitimate questions for the accuracy of Time Warner's PEG grant amortization, Franchise fee payments, and PEG fee payments. From our previous report dated June 23, 2011, we determined the likelihood that significant additional PEG fees and franchise fees may be due to the City. This project intends to drill down deeper into the books of AT &T and Time Warner to determine what those fees may amount to, to collect any fees owed to the City for the three year period ending December 31, 2010, and require AT &T and Time Warner to more accurately account for and pay of these fees in the future. We will address each of the issues addressed in the findings section of our cursory report, which are enumerated below: AT &T- California (AT &T) 1. A &TT confirmed categories of revenues included in franchise fee payments but did not provide us with detailed billing support to back -up their allocations. We recommend additional review of billing system reports to confirm AT &T's calculations. 2. AT &T indicated that it currently does not claim any bad debts associated with U- verse TV. However, we recommend that this assertion be further analyzed. 3. AT &T currently only generates national advertising revenue. That revenue is allocated down to a jurisdiction level and the franchise fee liability is calculated on that amount and added to the franchise fee remittance. Further analysis of this accounting is recommended. 4. In a similar manner as above, home shopping commissions are allocated down to a jurisdiction level and tax is calculated and remitted accordingly. Further analysis of this accounting is recommended. 5. When questioned about PEG fees, AT &T indicated that: the company "currently does not collect PEG fees in Santa Ana because the company has been unable to determine whether the incumbent provider, Time Warner, has unsatisfied cash obligations under its franchise agreement with the City that would trigger payments by AT &T under Public Utilities Code § 5870 (k) and (1)." We will recalculate AT &T PEG fee liability based on a determined date of Time Warner's amortization. ©2011 Communications Support Group, Inc. Page 3 of 9 25F -8 Proposal Letter City of Santa Ana 1 -Yr. AT &T and 3- Yr.Time Warner Review Communications Support Group, Inc. Time Warner Cable (TWC): 1. Time Warner uses five accounting agents (an agent is a stand -alone accounting entity having its own billing system report and subscriber accounting). Two of these agents are very large, and three are relatively small. None - the -less, prorations of non - subscriber revenues and computation of PEG fees are performed as a function of subscriber counts. This will require further study in the next phase of the review. 2. Some of the agents were found to contain bulk subscriptions that the company appears to have not collected franchise fees and PEG fees. We recommend that this be analyzed in greater detail during the comprehensive review. 3. Significant PEG fees may be recoverable should the City determine that more subscribers were assessable than the company reported. For example, the billing system reports that we have reviewed for 2008, 2009, and some months of 2010, that more than 200 customers were provided free or complimentary service. This may include apartment house managers, employees of the company (or other cable companies on a reciprocal basis), and gratis accounts for managers of commercial accounts (hotels, restaurants, etc.). Additionally, many of these accounts could be public agencies like the school district, community college, and city offices. The City should determine whether these gratis accounts should be assessed the PEG fee, even though no other charges appear on the bills. This matter will take further study to determine the universe and magnitude of potential PEG fees at stake. 4. Time Warner calculates the fees owed on subscriber revenues using data obtained from third -party billing system reports known as CPSM 318 reports. Time Warner provided us copies of billing system reports to support the franchise fee payments. The amount of time budgeted in this cursory review did not allow sufficient time to perform a line -by -line analysis of subscriber revenues. However, we did take time to perform high -level comparisons between total video revenues and Time Warner's franchise fee worksheets. • Time Warner did not pay franchise fees on FCC regulatory fees during the entire audit period, which we recommend. Since FCC Regulatory fees are cost of doing business, and given that Time Warner, has elected to pass -these costs onto the cable subscriber as a pass- through, we conclude that the revenues associated with these are eligible for franchise fee assessment. We will perform additional review of regulatory fees, quantify these fees for all months of the review and add them as under - reported revenues. 02011 Communications Support Group, Inc. Page 4 of 9 25F -9 Proposal Letter City of Santa Ana 1 -Yr. AT &T and 3- Yr.Time Warner Review Communications Support Group, Inc. CPUC Section 5860(d) allows the company to use an accrual basis for calculating franchise fees on video service revenues. Accordingly, it was necessary to factor out the portion of bad debt associated with the non -video and non - assessable lines of business (on -line services and telephone). We performed a high -level analysis of Time Warner's bad debts for 2008 and 2009. We found that Time Warner prorated bad debt between two lines of business, video and HSD. The billing system tracks total net bad debt to the video line of business. We recommend that these differences be quantified for all three years in the next phase of auditing and franchise fees be recalculated on the more accurate bad debt amounts. Mr. Bill Morgan, of Diehl Evans & Company, LLP has begun collecting financial documents for calendar years 2008 through 2010 associated with Time Warner's advertising media division. We are of the opinion that although company officials have not yet provided any written representations that all national, regional and local ad revenues have been accurately and completely reported to the City by using our questionnaire, we have certain knowledge to make some general conclusions. However, since advertising is prorated based on subscriber counts, should it be determined that Time Warner is using a lower count of Santa Ana subscribers due to the issue of multiple agents, than advertising revenues may have been under - attributed to franchise fees owed to City. We recommend that this matter be further studied and franchise fee calculations be adjusted to account for any under reported revenues found in the analysis. • Mr. Bill Morgan, of Diehl Evans & Company, LLP will also begin collecting financial documents for calendar years 2008 through 2010 associated with Time Warner's home shopping and other non - subscriber revenues (local origination, sale of leased access time, etc.) and determine whether these revenues were properly allocated to Santa Ana. After the end of the 4th quarter 2010, Time Warner notified the City that the company would reduce the City's 4th quarter 2010 franchise fee payment by $2,720.90, due to the company's argument that the state CPUC administration fee would qualify as a franchise fee under federal law. We recommend that the City continue to assert that the Company improperly deducted $2,720.90 and require Time Warner to repay this amount plus a reasonable accrual of interest. ©2011 Communications Support Group, Inc. Page 5 of 9 25F -10 Proposal Letter City of Santa Ana 1 -Yr. AT &T and 3- Yr.Time Warner Review Communications Support Group, Inc. SECTION C METHODOLOGY 1. Nature of Engagement: This will be an agreed -upon procedures engagement conducted in accordance with the provisions of AICPA Statement on Standards for Attestation Engagements No. 10. 2. Agreed -Upon Procedures for Franchise fee and PEG fee payment Review: In connection with this engagement, we propose to review AT &T and Time Warner's books and records to assist the City in determining whether the companies have paid the City the appropriate franchise fees and PEG fees during the three year period ending December 31, 2010. We will also estimate a date of amortization forAdelphia's initial PEG grant. Our review will consist of the following procedures: Phase 1 a. Shortly after we receive a signed engagement letter or contract, we will send a document request to the City. The letter will include a request for the following documents: • Copies payments made by AT &T and Time Warner for any quarters that were not collected during the "cursory review ". • Rate and Channel Information for any months and quarters that were not collected during the "cursory review ". b. We will prepare and forward addenda to the general questionnaires previously sent to AT &T and Time Warner with questions related to utility taxes, franchise fees, and PEG fees paid by AT &T and Time Warner to the City for the period. c. We will further review the CPUC Codes, Cable Television Franchise Agreements, any Renewal or Transfer Agreements between City and AT &T and City and Time Warner to identify definitions of "gross revenues ", late payment provisions, PEG fee terms, etc. d. We will request that copies of certain books and records of AT &T and Time Warner be forwarded to our office in Newport Beach. In connection with the review of these records: e. We will identify AT &T and Time Warner's method for backing out non - specific revenues between franchise areas (such as Home Shopping revenues). f. We will review AT &T and Time Warner's method for identifying subscribers to the proper franchise area. ©2011 Communications Support Group, Inc. Page 6 of 9 25F -11 Proposal Letter City of Santa Ana 1 -Yr. AT &T and 3- Yr.Time Warner Review Communications Support Group, Inc. g. We will test subscriber revenue by comparison with amounts recorded on reports from the Company's outside service bureau. h. We will perform an analysis of the practices of AT &T and Time Warner as to whether it has been paying franchise fees on franchise fee revenues for the period from January 1, 2008 through December 31, 2010 i. We will produce a summary of findings in email format, share and discuss with City staff. Phase 2 a. We will review AT &T and Time Warner's internal controls and systems and procedures for accounting for gross revenue and PEG fee payments. We will identify the various types of revenue recorded by AT &T and Time Warner. b. We will review the accounting records of AT &T and Time Warner for any revenue items not being reported to the City with the periodic remittances. c. We will review home shopping and other non - subscriber revenues d. We will test the mathematical accuracy of the selected remittances to the City for the period January 1, 2008 through December 31, 2010 e. We will recalculate franchise fees owed to the City f. We will recalculate PEG grant amortization based on new subscriber data obtained by the companies. g. We will recalculate PEG payments owed to the City under Exhibit F Section I.B(7)(b) for both AT &T and Time Warner through June 30, 2011. Phase 3 a. We will provide the City an electronic version of a final report in order for the City to comment prior to release of a final hard copy of the report. We will allow seven days for the City to comment. We will submit a hard copy of our final report along with necessary schedules detailing or related findings across the various revenue areas. b. We will also provide the City will electronic copies of the final report along with electronic copies of the schedules contain in, or attached to the report. ©2011 Communications Support Group, Inc. Page 7 of 9 25F -12 Proposal Letter City of Santa Ana 1 -Yr. AT &T and 3- Yr.Time Warner Review Communications Support Group, Inc. SECTION D FEE PROPOSAL CSG proposes to perform a complete agreed -upon procedures review of franchise fee and PEG fees for a three year period of Time Warner for an amount not to exceed $45,000. CSG proposes to perform a complete agreed -upon procedures review of franchise fee and PEG fees for a one -year period of Time Warner for an amount not to exceed $15,000. We propose calendar years 2008 -2010 for Time Warner and calendar year 2010 for AT &T (however, the City may wish to consider making this 2009 to capture an extra year given DIVCA's three year statute of limitations, thereby, reserving a review of 2010 for next year. We agree to perform all services on an hourly basis at the rates set within our 2011 contract with the City. We will invoice the City monthly for our services. Invoices are payable on presentation. A finance charge of 1% per month will be added to fees billed but not received before the end of the month following the month of our invoice. This corresponds to an Annual Percentage Rate (APR) of 12 %. No finance charge will be imposed on unpaid finance charges. Also, our fees will be payable in full regardless of findings that result from this engagement. Provisions for Adjustment in Fixed Fee Arrangement The quotes stated above for each of these phases is estimated based upon the following assumptions: AT &T and Time Warner will complete, sign and return all of our questionnaire addenda, together with all requested documents and AT &T and Time Warner prepared schedules. AT &T and Time Warner will have personnel available who are knowledgeable regarding franchise fees, PEG fees, and video users tax reporting to work with DE &CO and CSG and DE &CO.. • No travel time or expenses to either AT &T corporate offices in Texas or and Time Warner's corporate offices in Stanford, CT. Should AT &T and Time Warner not provide the requested questionnaires, information or documents, or should we need to travel to out of state, we will communicate these circumstances to the City in writing. We may request that the City approve a fee increase to cover any additional services or expenses that may be involved. We agree to not incur additional expenses without express written consent of the City. ©2011 Communications Support Group, Inc. Page 8 of 9 25F -13 Proposal Letter City of Santa Ana 1 -Yr. AT &T and 3- Yr.Time Warner Review Communications Support Group, Inc. SECTION E PROJECT SCHEDULE AND TIMING OF WORK Our "engagement beginning date" will be the date upon which we receive an original signed engagement letter or contract amendment from the City of Santa Ana retaining our services. As for Phase 1, shortly after the engagement beginning date, we will send a document request letter to the City for receipt of additional items that were not provided earlier. Within ten (10) business days after we receive a response from the City to our document request letter, we will draft questionnaire addenda to AT &T and Time Warner requesting additional documents and information needed for our review. Within ten (10) business days after receiving a reply from AT &T and Time Warner to our questionnaires, we will commence our testing and review work. If AT &T and Time Warner employees supply our firm with all requested information, documents and schedules on a timely basis, we will complete our review work within ninety (90) business days. Within ten (10) business days after completing our review work on AT &T and Time Warner, we will deliver a "draft" report to the City via email related to Phase I. As for Phase 2, we will follow similar scheduling with a draft report delivered to the City via email within ten (10) business days after completing our final analysis of additional audit measures. As for Phase 3, following delivery of our final report, we will work at the City's directive assisting as needed up to our allowable hourly allowance (should any unexpended hours remain on the purchase order). This might include participating in phone calls with the City and the company settling amounts owed to the City. Should the funds allocated to the purchase order be fully expended by the conclusion and submittal of our report to the City, CSG remains willing to work on an add -on basis to assist the City as directed on an hourly time and materials basis. Our tax ID number remains unchanged: 33- 0390724. Thank you for considering our firm. If you have any questions, please contact me at (714) 788 -8566. We await your directive to proceed. Very truly yours, Communications Support Group, Inc. LA�i ohn Risk President ©2011 Communications Support Group, Inc. Page 9 of 9 25F -14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: AGREEMENT WITH LIEBERT CASSIDY WHITMORE TO PROVIDE LABOR NEGOTIATIONS ASSISTANCE s CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1st Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Direct the City Attorney to prepare and authorize the City Manager and the Clerk of the Council to execute an agreement with the law firm of Liebert Cassidy Whitmore in an amount not to exceed $75,000 to assist in negotiations with various full -time bargaining groups. DISCUSSION The City has existing labor agreements with seven full -time bargaining groups. These bargaining groups include: the Police Officers Association (POA), the Firemen's Benevolent Association (FBA), the Police Management Association (PMA), the Fire Management Association (FMA), the Santa Ana Management Association (SAMA), the Confidential Association of Santa Ana (CASA), and the Service Employees International Union (SEIU). In order to address the City's ongoing budget challenges, it is necessary to reopen discussions with these seven bargaining units. In order to provide additional capacity and to assist the City's Chief Labor Negotiator, it is recommended that outside assistance be obtained to act as legal advisor and chief negotiator with some of the groups. Staff conducted an abbreviated RFP process and received three responses. The firms were evaluated by staff. Based on expertise and a competitive pricing structure staff is recommending the firm of Liebert Cassidy Whitmore. Liebert Cassidy and Whitmore is a California law firm, specializing in labor and employment law. The City of Santa Ana has contracted with the firm in the past to assist and advise on various personnel and labor law matters. Based on the ongoing working relationship between the City and firm, staff is recommending continued utilization of Liebert Cassidy Whitmore's services. The firm has extensive experience working with public sector clientele throughout the state and has a staff of over 40 partners and associates in the Los Angeles office. LCW rates are $285 per hour for work performed by a partner and $190 per hour for work performed by an assigned associate attorney. Liebert Cassidy Whitmore's rates are extremely competitive. Also, this rate can be reduced if the City enters into a monthly retainer agreement with LCW. 25G -1 Agreement With Liebert Cassidy Whitmore to Provide Labor Negotiations Assistance August 1, 2011 Page 2 FISCAL IMPACT Funds are available in the departmental accounts (no. 01109050 -62300 and 08209054 - 62300). The maximum expenditure for labor negotiator services is not to exceed $75,000. APPROVED AS TO FUNDS AND ACCOUNTS: Kathie S. Gonza ez Francisco Gutierrez Executive Director Executive Director Personnel Services Department Finance & Management Services Agency Attachment: Agreement with Liebert Cassidy Whitmore 25G -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: CONDITIONAL USE PERMIT NOS. 2011-07,2011-15 AND 2011 -16 TO ALLOW A TYPE 47 ALCOHOL BEVERAGE CONTROL LICENSE, A BANQUET USE AND TO OPERATE AFTER HOURS AT THE KARMINA RESTAURANT LOCATED AT 515 NORTH MAIN STREET, UNIT B - ADOLFO LOPEZ, APPLICANT CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s1 Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER RECOMMENDED ACTION Receive and file the staff report approving Conditional Use Permit Nos. 2011 -07, 2011 -15 and 2011 -16 as conditioned. PLANNING COMMISSION ACTION On July 11, 2011, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2011 -07 for a Type 47 ABC license as conditioned, adopted a resolution approving Conditional Use Permit No. 2011 -15 to allow after hours operations as conditioned; and adopted a resolution approving Conditional Use Permit No. 2011 -16 to allow a banquet use as conditioned by a vote of 5:0 (Turner absent; Gartner abstained) for the Karmina Restaurant located at 515 North Main Street, Suite B in the Specific Development No. 84 /Downtown (SD- 84 /Downtown) zoning district. At the hearing, the Commission modified two conditions of approval for the project. First, Police Condition No. 14 was modified to require the Police Department to review the quarterly gross sales of alcohol and food as part of their standard review to ensure the facility operates as a restaurant. Second, Police Condition No. 28 was modified to prohibit the restaurant from requiring a cover charge, from operating as a night club and to prohibit public dancing (Exhibit A). FISCAL IMPACT There is no fiscal impact associated with this action. 2qAA - J4,14. Trev o Executive Director Planning & Building Agency VF:rb vNreports \CUP \CUP11 -07CUP11- 15&CUP11 -16 Karmina.cc Exhibit: A. Planning Commission Staff Report 31A-1 'ki r =v , REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: JULY 11, 2011 TITLE: PUBLIC HEARING — FILED BY ADOLFO LOPEZ FOR CONDITIONAL USE PERMIT NOS. 2011 -07, 2011 -15 AND 2011 -16 TO ALLOW A TYPE 47 ALCOHOL BEVERAGE CONTROL LICENSE, A BANQUET USE AND TO OPERATE AFTER HOURS AT THE KARMINA RESTAURANT LOCATED AT 515 NORTH MAIN STREET, UNIT B Prepared by Vince Fregoso — C�& Executive Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO AA Planning Manage Adopt a resolution approving Conditional Use Permit No. 2011 -07 for a Type 47 ABC license as conditioned. 2. Adopt a resolution approving Conditional Use Permit No. 2011 -15 to allow after hours operations as conditioned. 3. Adopt a resolution approving Conditional Use Permit No. 2011 -16 to allow a banquet use as conditioned. Request of Applicant Adolfo Lopez, representing the Karmina Restaurant, is requesting approval of three conditional use permits (CUP) for the Karmina Restaurant. The CUP's are to allow a Type 47 Alcoholic Beverage Control (ABC) license for the on- premise sale and consumption of beer, wine and distilled spirits, to allow the restaurant to operate until 2:00 a.m. (after hours), and to allow a banquet use within the existing restaurant. Establishments that sell alcoholic beverages require a conditional use permit pursuant to Section 41 -196 of the Santa Ana Municipal Code (SAMC). Further, the Transit Zoning Code (SD -84) requires a CUP for after hours operations of a restaurant use as well as for a banquet facility. Project Location and Site Description The Karmina Restaurant currently operates on the first floor of an existing two -story, multi- tenant building located on the east side of North Main Street, between Fifth Street and Santa Ana Boulevard. The site is 6,250 square feet in size and contains a 10,000 square foot building that was constructed in approximately 1915. Each floor is 5,000 square feet in size, with the first floor consisting of two other restaurants and ground floor common areas (seating, restrooms) for the 1 lks CUP Nos. 2011 -07, 2011 -15 & 2011 -16 July 11, 2011 Page 2 building. The second floor is currently vacant but was formerly used as office space. The site has no on -site parking but utilizes the public parking garages at the Fiesta Marketplace and at Fifth and Main Streets. The site is surrounded by commercial and office uses to the north, south, east and west (Exhibits 1 and 2). Proiect Description Karmina is requesting approval of three conditional use permits for the restaurant: A Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise sale of beer, wine and distilled spirits at the existing restaurant, approval to allow a banquet facility, and the ability to operate the business between 12:00 a.m. and 7:00 a.m. Specifically, the applicant is seeking the approvals in order to serve alcoholic beverages to patrons of the restaurant and to allow large, private functions within the restaurant. Karmina is a quick serve eating establishment that accommodates approximately eight patrons within its 1,200 square foot ground floor space. The applicant is proposing to expand the restaurant into the vacant second floor by constructing an interior stairway that will provide direct access to the new dining area. After the expansion, approximately 136 patrons will be able to be accommodated on both floors of the restaurant. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use. The current hours of operation for the restaurant are 8:00 a.m. to 3:00 p.m., Monday through Friday. However, if the ABC license is approved, the applicant intends to operate from 8:00 a.m. until 2:00 a.m., seven days a week. The storage area for the alcoholic beverages will be located on the second floor. A 155 square foot liquor storage room will be constructed as well as an additional 63 square feet of storage area behind the bar will be provided. The overall storage of alcoholic beverage consists of approximately 218 square feet, which is approximately four percent of the floor area and is less than five percent of the gross floor area of the restaurant (Exhibits 3 and 4). Proiect Background Karmina Restaurant is an independently owned restaurant specializing in Mexican casual cuisine. This business has been operating at this location since February 2008. Several restaurant tenants have occupied the space over the years; however, none have had an ABC license. The project was presented to the Zoning Administrator for action on three occasions, the most recent in June 2011. At the conclusion of this hearing, the Zoning Administrator remanded the applicant's request for an ABC license to the Planning Commission as the applicant expressed an interest in obtaining approval to operate the restaurant after midnight and to allow a banquet facility. Both of these applications are not reviewed by the Zoning Administrator but require action by the Planning Commission. 31A-4 CUP Nos. 2011 -07, 2011 -15 & 2011 -16 July 11, 2011 Page 3 General Plan and Zoning Consistency The General Plan land use designation for the site is District Center (DC). District Center districts provide highly visible and accessible commercial development within the City's major development areas such as the downtown area and along the Citys arterial transportation corridors. These districts also provide important neighborhood facilities and services, such as this restaurant. The project site is consistent with this General Plan land use designation. The zoning for the site is Specific Development No. 84 (SD- 84/Transit Zoning Code). The SD -84 zoning district allows for retail and service uses such as restaurants, making the proposed use consistent with the zoning code. Project Analysis Conditional Use Permit requests are governed by Section 41 -638 of the SAMC. Conditional Use Permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use adversely will not affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. • That the proposed use will not adversely affect the General Plan of the city or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permits. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the conditional use permit requests, staff believes that the following findings of fact warrant approval of the conditional use permits. • The proposed alcohol beverage license will provide an ancillary service to the restaurant customers by allowing them the ability to purchase beer, wine and distilled spirits with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Further, the after hours operation and banquet use will 31A-5 CUP Nos. 2011 -07, 2011 -15 & 2011 -16 July 11, 2011 Page 4 allow the restaurant the ability to accommodate large groups, which will provide a needed facility in the downtown area. Conditions have been placed on the alcoholic beverage control license, after hours and banquet permits which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. The proposed license for the on -sale consumption of beer, wine and distilled spirits at this location, the CUP for after hours operations and CUP for a banquet use will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the CUP's that will mitigate any potential negative or adverse impacts created by the use. In addition, the uses will occur within the premises and are each incidental and supportive to the restaurant use. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other restaurants in the area that also offer alcoholic beverages for sale to their guests and other visitors. Further, the allowance of a banquet facility and the after hours operation of the restaurant will identify this restaurant, and the area, as a viable location to conduct business As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling alcohol and facilities operating a banquet use pursuant to Chapter 41 of the Santa Ana Municipal Code and the guidelines established by the Planning Commission for restaurants selling alcohol with their meal. The facility has the kitchen equipment necessary to be considered a bona fide restaurant use and is eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurant will utilize less than five percent of the gross floor area for the storage of alcoholic beverages, which is below the maximum threshold established by the Planning Commission. Finally, the facility will be in compliance with all applicable regulations that govern banquet facilities in the City. The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant with an ancillary alcohol license, a banquet facility and which operate after hours will provide a dining service to the residents of Santa Ana. Police Department Analysis The Police Department reviews conditional use permit applications for the sale of alcoholic beverages because there is a strong correlation between the availability of alcohol and crime. Studies have shown that alcohol is a contributing factor in crimes, such as drunk driving, fatal traffic collisions, homicide, assaults, rape, domestic violence, drunk in public and other nuisance type of offenses. Without stringent controls to address the location of alcohol outlets, there is a strong likelihood that an over concentration will create blight and adversely impact the community. The approval of a license in an area deemed over concentrated and high in crime may affect the quality of life and police resources in the area, and aggravate existing conditions. lkl_I�Q� CUP Nos. 2011 -07, 2011 -15 & 2011 -16 July 11, 2011 Page 5 Since the City's over concentration standards do not apply to on -sale establishments, the Police Department considered two factors when reviewing this application, crime rate and sensitive land uses. The Police Department has determined that this establishment is located in an area that is above average in police - related incidents. This site is located within Reporting District No. 186, which ranks 1stout of 102 citywide districts in total number of police - related incidents. In terms of land uses, no residences or sensitive land uses were found that might be impacted by this action. Based on the above average crime rate, the Police Department recommends approval of the CUP's provided that conditions are imposed to ensure that this location operates as a bona fide eating establishment and does not aggravate existing conditions or negatively impact adjacent land uses. In addition, the Police Department has reviewed the applicant's request to allow the restaurant to remain open after midnight and to operate a banquet facility at the restaurant and finds that the proposed conditions will address any potential impacts that may occur. Zoning Administrator's Public Hearing On April 27, 2011, a public hearing was held for the proposed ABC license. During the hearing, the Zoning Administrator noted that the restaurant's ground level floor plan did not include enough information that clearly depicted the use as a bona fide eating establishment. Further, the applicant noted that the second level floor plan was incorrect as a dance floor was no longer proposed for the use. As a result, the Zoning Administrator continued the conditional use permit to allow the applicant time to revise the plans. In response, the applicant submitted revised plans that accurately depict the restaurant as a bona fide eating establishment and that removed the dance floor from the second floor. On May 18, 2011, a second hearing was held on the proposed project. Although the applicant made the modifications to the floor plans requested at the April 27th hearing, the item was again continued as the applicant stated that he wanted approval to operate after midnight and as a banquet facility. Since both of those actions require separate conditional use permits, the Zoning Administrator continued the project to allow the applicant time to file the CUP applications, which would allow all three applications to be scheduled for the same Planning Commission hearing. In early June, the applicant submitted applications for the afterhour's operation and the banquet facility. In response, the Zoning Administrator remanded the ABC license to the Planning Commission for a determination on June 8th Public Notification The project site is located within the boundaries of the Downtown and Lacy Neighborhood Associations. The presidents of these Neighborhood Associations were notified by mail 10 days prior to this public hearing. In addition, the District representative from the City's Neighborhood Improvement Division contacted the presidents to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the Neighborhood Association presidents, nor was there a request that the applicant present the project to a meeting of their members. 31A-7 CUP Nos. 2011 -07, 2011 -15 & 2011 -16 July 11, 2011 Page 6 The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the licensing of existing facilities with no expansion of the existing use. Categorical Exemption Environmental Review No. 2010 -141 will be filed for this project. Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit Nos. 2011 -07, 2011 -15 and 2011 -16 as conditioned. Vincent Freg so, AIC' Principal Plan er VF:jm vrireports \CUPICUP11 -07CUP11- 15&CUP11 -16 Kannina.pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Plan Exhibit 4 — Floor Plan lki SEVENTEENTH MM,ST. i"L121--l"ll R SP -3 sv v CS . ' CS -3 3 C 1 SP -3 SP•3 Rt Rl 3 l SP SY So RJ R3 R3 R3 C2 a s a '° a O ' R1 R- A� 53 -3 53 RJ RJ R3 p /S M1 RI S Ml A •!q R3- ry M2 qN R3- Hoy SP -3 SP-3 sr �� •3 RJ u RJ RI -SP -3 -3 �°' M2 RJn - I R k '4 9y 12 P R2 I SP SP -3 .. :. 1 -- cJ c2 u u J r M2 O P R2 SP -3 SR3 �E'-" M2 R R2 0 jp. 5P_3 S.C��'I KA 1 xJ .R2� M2 Ml O R2 R2 I SP -3 M M M2 0 HP l 0 1 SP-3 n It D r' M1 u ® O SP -3 sR 5�1� �• .m b. P P SP-3 5 SP -3 rH ,. n q. SP-3 ❑ O L so' I M2 O a ` 93 � /P M+° M` O Ml R3 z y Cana N GC GC C3 v v R 93. M2 tv o a C3 R2 aS ° QNs � Tn' ,xs R3 R3 C3 C3 C3 C3 C2 M _Hpy _ -HOx P SD 30 ®� R2— C1-- C2 —^ M2 Ml R3 H O 2 M2 P C C3 C3 C3 C3 C2 C2 C2 cx ° M2 M2 J _Hm �u .wx pox -,ny .Ha C2— z a ��....... . xrH 1 0•A . Cl c3— C2 k . 2 C3A C3- C3 -A - Caro+ 50.37 R2 M2 M2- M2 MI p tfc i C3 -A C3 -A 3 -A -A C2 R2 I M2 M2-� M2 MJ SSD. C C3 39 SD -1 f C3•A C3 -A s R2 f Rra M2 f--1 CS u -s,o -- y��u( ,awls, } ■ it 11 1 1 II t3 -s,o (1i1 i1i1 �1 �� (�� —•� �, � 1 FIRST ST. Al GENEFALAGRCLLTLMLt OR CCYuWB ALFESDRIW RI 9NGLEFAMILYFMOEdTW. -R FAR9NGMODIFiCATION GC GOM3 ME TCEYTF32 R2 TWOFAMLYR ®DENCE C.4Al OCMMHnAL SOUTH MAIN Ml UGNf WDUSTRAL FO MULTIR.EDEN9TYMULTIPLE CI OCMMLMITYOOMMEF AL M2 HE4VYINDUSTRAL FAMILYFE9DEtNCE Cl -MD DOW. 00MM8XtLL /MUSELWDISIRGT Mp MllrAWOFERkTICNS R1 SU9UFOANAPAFU ENTS C2 GMEFALOCMMauk O OPEN SACE RE FR93DENTIALFSIATE C3 CE;`fTRALRISNE33S P R70FESSCNAL SJ gB7RC DEVELOPMENT 0-A CENTRAL BANEMAMSfNLLAGE PCD RANdEJ OCMMLRNITYDEVD.OWENT SP SPH7RC RAN Cl R/WNED94O F7NGCBVTEi PFO RINAN® fESDf3NT1AL DE4EAfidwT C5 AWEiALOO MECIAL CUP 11-7,11-15 & 11 -16 _ KARMINA RESTAURANT �^ 515 NORTH MAIN STREET, UNIT B - — �T500FEET 1• = 1000 FAT P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT 1 VICINITY MAP Lki u iksil_dli� C H U R C H SANTA ANA w w ui COMMERCIAL ¢ F- F vi vt COMMERCIAL C H U R C H STH w O Q V Y ut COMMERCIAL 1 O F F I C E 4TH Z_ Q C H U R C H P O 5 T O F F I C E C O M M ff R C I A L BOULEVARD O F F I C E I PARKING PARKING NG F- F w w w w vi O F F I C E ~ of STREET P A R K I N G Z O w S V of cc OD N C O M M E R C I A L STREET C O M 1 I A L CUP 11 -7, 11-15& 11 -16 KARMINA RESTAURANT 515 NORTH MAIN STREET, UNIT B P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31 A -11 31 A -12 1:01i ,� ► ; , IM s 31 A -13 31A -14 1 � Sm 5i EXHIBIT 4 3 fX21'S t ROH - 07/11/11 RESOLUTION NO. 2011 -13 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING: CONDITIONAL USE PERMIT NO. 2011 -07 AS CONDITIONED FOR A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2011-15 AS CONDITIONED TO OPERATE UNTIL 2:00 A.M., AND CONDITIONAL USE PERMIT NO. 2011 -16 AS CONDITIONED TO OPERATE A BANQUET FACILITY, FOR THE PROPERTY LOCATED AT 515 NORTH MAIN STREET, UNIT B BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of: Conditional Use Permit No. 2011 -07 to allow a Type 47 Alcoholic Beverage Control (ABC) license, Conditional Use Permit No. 2011 -15 to operate a restaurant until 2:00 a.m., and Conditional Use Permit No. 2011 -16 to allow a banquet facility, for the property located at 515 North Main Street, Unit B. B. Santa Ana Municipal Code Section 41 -2007 requires a conditional use permit for: the sale of alcoholic beverages for on -site consumption, businesses operating between the hours of 12:00 a.m. and 7:00 a.m., and the operation of a banquet facility. C. Conditional Use Permit No. 2011 -07 came before the Zoning Administrator of the City of Santa Ana on April 20, 2011, for a duly noticed public hearing. On April 20, 2011, the Zoning Administrator of the City of Santa Ana continued the matter to April 27, 2011. On April 27, 2011, the Zoning Administrator of the City of Santa Ana continued the public hearing to May 4, 2011. On May 4, 2011, the Zoning Administrator of the City of Santa Ana continued the public hearing to May 18, 2011. On May 18, 2011, the Zoning Administrator of the City of Santa Ana continued the public hearing to June 8, 2011. On June 8, 2011, the Zoning Administrator remanded Conditional Use Permit No. 2011 -07 to the Planning Commission to be heard along with Conditional Use Permit Nos. 2011 -15 and 2011 -16. On July 11, 2011, the Planning Commission held a duly noticed public hearing on Conditional Use Permit Nos. 2011 -07, 2011 -15, and 2011 -16. Resolution No. 2011 -13 Page 1 of 20 31 A -17 D. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2011 -07 to allow for a Type 47 ABC license: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed alcohol beverage license will provide an ancillary service to the restaurant customers by allowing them the ability to purchase beer, wine and distilled spirits with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed license for the on -sale consumption of beer, wine and distilled spirits at the restaurant will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and is incidental to the restaurant use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other restaurants in the area that also offer alcoholic beverages for sale to their patrons. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code and the guidelines established by the Planning Commission for restaurants selling alcohol with their meal. The facility has the kitchen equipment necessary Resolution No. 2011 -13 Page 2 of 20 ikii_ LOS _E:� to be considered a bona fide restaurant use and is eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurant will utilize less than five percent of the gross floor area for the storage of alcoholic beverages, which is below the maximum threshold established by the Planning Commission. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana. E. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2011 -15 to allow for after hours operation: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed after hour's operation of the restaurant will provide an ancillary service to the restaurant customers by allowing them the ability to dine within a bona fide eating establishment in the downtown area. This will thereby benefit the community by providing a restaurant with an additional and complementary amenity that will operate in conjunction with established events in the downtown. Conditions have been placed on the conditional use permit which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The after hours operation of the restaurant will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the conditional use permit that will mitigate any potential negative or adverse impacts created by the use. In addition, although the restaurant will remain open past midnight, the use will occur within the interior of the premises and will not impact the surrounding uses. Further, security guards are required to Resolution No. 2011 -13 Page 3 of 20 iki be located outside the premises. These guards will be able to control behavior that impacts surrounding uses. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other downtown restaurants that also provide after hours dining opportunities. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a facility operating between the hours of midnight and 7:00 a. m. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana. F. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2011 -16 to allow for a Banquet Facility: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed banquet use will provide an ancillary service to the restaurant customers by allowing them the ability to have large, private events within the restaurant. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Conditions have been placed on the banquet use which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. Resolution No. 2011 -13 Page 4 of 20 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed banquet use at the restaurant will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the facility that will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and is incidental to the restaurant use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed banquet use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other restaurants in the area that also offer large venues to hold private events. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a banquet facility pursuant to Chapter 41 of the Santa Ana Municipal Code. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant with an ancillary banquet facility provides a dining service to the residents of Santa Ana. G. In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the licensing of existing facilities with no expansion of the existing use. Categorical Exemption Environmental Review No. 2010 -141 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana, after conducting the public hearing, hereby approves Conditional Use Permit No. 2011 -07 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein, Conditional Use Permit No. 2011 -15 as conditioned in Exhibit B attached hereto and incorporated as though fully set forth herein, and Conditional Use Permit No. 2011- 16 as conditioned in Exhibit C attached hereto and incorporated as though fully set forth herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Zoning Administrator Action dated Resolution No. 2011 -13 Page 5 of 20 31A-21 April 27, 2011, and exhibits attached thereto; the Request for Zoning Administrator Action dated May 18, 2011, and exhibits attached thereto; the Request for Planning Commission Action dated July 11, 2011, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 11th day of July 2011 by the following vote: AYES: Commissioners: Acosta, Alderete, Mill, Nalle, Yrarrazaval (5) NOES: Commissioners: None (0) ABSENT: Commissioners: Turner (1) ABSTENTIONS: Commissioners: Gartner (1) Eric Alderete Chairman APPROVED AS TO FORM: Joseph A. Straka, Interim City Attorney By: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2011 -13 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on July 11, 2011. Date: Secretary of the Planning Commission City of Santa Ana 31A-22 Resolution No. 2011 -13 Page 6 of 20 Conditions for Approval of Conditional Use Permit No 2011 -07 Conditional Use Permit No. 2011 -07 is approved subject to compliance, to the reasonable satisfaction of the Planning Commission, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. A. Planning Division 1. All proposed site improvements must conform to the Site Plan Review approval of DP No. 2007 -61. 2. Any amendment to this conditional use permit must be submitted to the Planning Division and Police Department for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. 3. The restaurant must be maintained as a bona fide eating establishment. An eating establishment as defined by the Alcoholic Beverage Control Board and the Planning Commission must include the following items: a. One conventional range /oven b. An automatic dishwasher C. A double sink d. A 25 cubic foot refrigerator e. A four -foot by six -foot food preparation area 4. The alcoholic beverage storage and display area may not exceed five percent of the restaurant's gross floor area. B. Police Department 1. The quarterly gross sales of alcoholic beverages shall not exceed the gross sales of food during the same period. These records are to be kept no less frequently than on a quarterly basis and shall be made available to the City, if requested. 2. The sale of alcoholic beverages for consumption off the premises is strictly prohibited. Exhibit A Page 1 of 4 Resolution No. 2011 -13 Page 7 of 20 31A-23 3. There shall be no exterior advertising of any kind or type, including advertising directed to the exterior from within, promoting or indicating the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. 4. It shall be the applicant(s) responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant(s). 5. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 6. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 7. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 8. There shall be no pool tables, amusement machines or video games maintained on the premises at any time. 9. Ambient noise /music shall not be audible beyond 20 feet from the exterior of the premises in any direction. 10. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 11:00 a.m. and 2:00 a.m. 11. This land use authorization is only for a Type 47 on -sale general, public eating - place, any other license use at this location will require a new land use clearance. 12. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC section 12 -1 and 12 -2. 13. The premises shall not be operated as an adult entertainment business as such term is defined in Santa Ana Municipal Code section 41- 1701.6. 14. This Conditional Use Permit shall be reviewed at six months, at one year and then annually thereafter by the Police Department for any modification to the conditions of approval. This review shall include, at a minimum an analysis to ensure the quarterly gross sales of alcoholic beverages does Exhibit A Page 2 of 4 Resolution No. 2011 -13 Page 8 of 20 31A-24 not exceed the gross sales of food during the same period Adopted by the Planning Commission on July 11, 2011 15. Existing restaurant and required parking within 60 feet must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project's lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. 16. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, Police Department Condition No. 15 must be complied with. 17. Cash register must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage. 18. Window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. 19. Window displays and racks must be kept to a maximum height of three feet including merchandise. 20. A timed - access cash controller or drop safe must be installed. 21. Install a silent armed robbery alarm 22. At all times, that dancing and /or entertainment is being conducted, the applicant shall employ a minimum of one uniformed, licensed security guard for every 100 persons in attendance per event, for keeping the peace. Mandated security officers will be required to use a radio frequency and communication equipment that is specified by the Police Department. Guards will be required to provide escort service to patrons of the establishment if requested. Mandated security guards will be required to participate in mutual aid activities with the Police Department and other guard companies in the downtown area, participate in mutual aid communications and information sharing meetings. 23. An incident log shall be maintained at the licensed premises on a continual basis with at least one year of entries and be readily available for inspection by a police officer. The log is for recording any physical altercations, injuries, and objectionable conditions that constitute a nuisance occurring in, on, or at the licensed premises, including the immediately adjacent area that is owned, leased, or rented by the licensee. The log will indicate date, time, description of incident, and action taken. "Objectionable conditions that constitute a nuisance" means disturbance of the peace, public drunkenness, drinking in public, Exhibit A Page 3 of 4 Resolution No. 2011 -13 Page 9 of 20 31A-25 harassment of passersby, gambling, prostitution, loitering, public urination, lewd conduct, drug trafficking, or excessive loud noise. 24. The Police Department will require State licensed security guards to perform crowd control inside and outside of the establishment, based upon the type of activities anticipated at the location or based upon prior history of activity at this establishment or other similar businesses. 25. Security personnel required by the conditional use permit issued for the licensed premises shall be in a uniform or clothing which is readily identifiable as a security person. They shall maintain order and enforce the establishment's no loitering policy, and shall take "reasonable steps" (as that term is defined in subparagraph (3) of Section 24200 of the California Business and Professions Code) to correct objectionable conditions that constitute a nuisance. 26. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual addressing at a minimum the following items: Handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting or arguing; handling loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s); verifying age /checking identification of patrons; warning patrons of reaching their drinking limit/potential intoxication and refusing to serve; calling the police regarding observed or reported criminal activity. 27. Applicant must at all times comply with the provisions of SAMC 41- 199.1, including subsection (c) which requires that State licensed security guards be present at all times that the premises is being used as a banquet facility. 28. The facility must at all times operate in compliance with the provisions of the Santa Ana Municipal code (SAMC) This will include the prohibition of a cover charge to enter the facility, a night club use and public dancing except as allowed pursuant to Chapter 11 of SAMC. Adopted by the Planning Commission on July 11, 2011 Exhibit A Page 4 of 4 Resolution No. 2011 -13 Page 10 of 20 Mi 1 Conditions for Approval of Conditional Use Permit No 2011 -15 Conditional Use Permit No. 2011 -15 is approved subject to compliance, to the reasonable satisfaction of the Planning Commission, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. A. Planning Division All proposed site improvements must conform to the Site Plan Review approval of DP No. 2007 -61. 2. Any amendment to this conditional use permit must be submitted to the Planning Division and Police Department for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. 3. The restaurant must be maintained as a bona fide eating establishment. An eating establishment as defined by the Alcoholic Beverage Control Board and the Planning Commission must include the following items: a. One conventional range /oven b. An automatic dishwasher C. A double sink d. A 25 cubic foot refrigerator e. A four -foot by six -foot food preparation area 4. The alcoholic beverage storage and display area may not exceed five percent of the restaurant's gross floor area. B. Police Department The quarterly gross sales of alcoholic beverages shall not exceed the gross sales of food during the same period. These records are to be kept no less frequently than on a quarterly basis and shall be made available to the City, if requested. 2. The sale of alcoholic beverages for consumption off the premises is strictly prohibited. Exhibit B Page 1 of 5 Resolution No. 2011 -13 Page 11 of 20 31A-27 3. There shall be no exterior advertising of any kind or type, including advertising directed to the exterior from within, promoting or indicating the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. 4. It shall be the applicant(s) responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant(s). 5. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 6. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 7. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 8. There shall be no pool tables, amusement machines or video games maintained on the premises at any time. 9. Ambient noise /music shall not be audible beyond 20 feet from the exterior of the premises in any direction. 10. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 11:00 a.m. and 2:00 a.m. 11. This land use authorization is only for a Type 47 on -sale general, public eating - place, any other license use at this location will require a new land use clearance. 12. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC section 12 -1 and 12 -2. 13. The premises shall not be operated as an adult entertainment business as such term is defined in Santa Ana Municipal Code section 41- 1701.6. Exhibit B Page 2 of 5 lki Resolution No. 2011 -13 Page 12 of 20 14. This Conditional Use Permit shall be reviewed at six months, at one year and then annually thereafter by the Police Department for any modification to the conditions of approval. The review shall include, at a minimum an analysis to ensure the quarterly gross sales of alcoholic beverages does not exceed the gross sales of food during the same period Adopted by the Planning Commission on July 11, 2011. 15. Existing restaurant and required parking within 60 feet must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project's lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. 16. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, Police Department Condition No. 15 must be complied with. 17. Cash register must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage. 18. Window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. 19. Window displays and racks must be kept to a maximum height of three feet including merchandise. 20. A timed - access cash controller or drop safe must be installed. 21. Install a silent armed robbery alarm 22. At all times, that dancing and /or entertainment is being conducted, the applicant shall employ a minimum of one uniformed, licensed security guard for every 100 persons in attendance per event, for keeping the peace. Mandated security officers will be required to use a radio frequency and communication equipment that is specified by the Police Department. Guards will be required to provide escort service to patrons of the establishment if requested. Mandated security guards will be required to participate in mutual aid activities with the Police Department and other guard companies in the downtown area, participate in mutual aid communications and information sharing meetings. Exhibit B Page 3 of 5 Resolution No. 2011 -13 Page 13 of 20 23. An incident log shall be maintained at the licensed premises on a continual basis with at least one year of entries and be readily available for inspection by a police officer. The log is for recording any physical altercations, injuries, and objectionable conditions that constitute a nuisance occurring in, on, or at the licensed premises, including the immediately adjacent area that is owned, leased, or rented by the licensee. The log will indicate date, time, description of incident, and action taken. "Objectionable conditions that constitute a nuisance" means disturbance of the peace, public drunkenness, drinking in public, harassment of passersby, gambling, prostitution, loitering, public urination, lewd conduct, drug trafficking, or excessive loud noise. 24. The Police Department will require State licensed security guards to perform crowd control inside and outside of the establishment, based upon the type of activities anticipated at the location or based upon prior history of activity at this establishment or other similar businesses. 25. Security personnel required by the conditional use permit issued for the licensed premises shall be in a uniform or clothing which is readily identifiable as a security person. They shall maintain order and enforce the establishment's no loitering policy, and shall take "reasonable steps" (as that term is defined in subparagraph (3) of Section 24200 of the California Business and Professions Code) to correct objectionable conditions that constitute a nuisance. 26. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual addressing at a minimum the following items: Handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting or arguing; handling loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s); verifying age /checking identification of patrons; warning patrons of reaching their drinking limit/potential intoxication and refusing to serve; calling the police regarding observed or reported criminal activity. 27. Applicant must at all times comply with the provisions of SAMC 41- 199.1, including subsection (c) which requires that State licensed security guards be present at all times that the premises is being used as a banquet facility. Exhibit B Page 4 of 5 Resolution No. 2011 -13 Page 14 of 20 IkSi_MIC . The facility must at all times operate in compliance with the provisions of the Santa Ana Municipal Code (SAMC) This will include the prohibition of a cover charge to enter the facility, a night club use and public dancing, except as allowed pursuant to Chapter 11 of the SAMC Adopted by the Planning Commission on July 11, 2091 Exhibit B Page 5 of 5 31A-31 Resolution No. 2011 -13 Page 15 of 20 iks L , Conditions for Approval of Conditional Use Permit No 2011 -16 Conditional Use Permit No. 2011 -16 is approved subject to compliance, to the reasonable satisfaction of the Planning Commission, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below rip or to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. A. Planning Division 1. All proposed site improvements must conform to the Site Plan Review approval of DP No. 2007 -61. 2. Any amendment to this conditional use permit must be submitted to the Planning Division and Police Department for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. 3. The restaurant must be maintained as a bona fide eating establishment. An eating establishment as defined by the Alcoholic Beverage Control Board and the Planning Commission must include the following items: a. One conventional range /oven b. An automatic dishwasher C. A double sink d. A 25 cubic foot refrigerator e. A four -foot by six -foot food preparation area 4. The alcoholic beverage storage and display area may not exceed five percent of the restaurant's gross floor area. B. Police Department The quarterly gross sales of alcoholic beverages shall not exceed the gross sales of food during the same period. These records are to be kept no less frequently than on a quarterly basis and shall be made available to the City, if requested. 2. The sale of alcoholic beverages for consumption off the premises is strictly prohibited. Exhibit C Pagel of 5 Resolution No. 2011 -13 Page 16 of 20 3. There shall be no exterior advertising of any kind or type, including advertising directed to the exterior from within, promoting or indicating the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. 4. It shall be the applicant(s) responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant(s). 5. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 6. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 7. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 8. There shall be no pool tables, amusement machines or video games maintained on the premises at any time. 9. Ambient noise /music shall not be audible beyond 20 feet from the exterior of the premises in any direction. 10. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 11:00 a.m. and 2:00 a.m. 11. This land use authorization is only for a Type 47 on -sale general, public eating - place, any other license use at this location will require a new land use clearance. 12. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC section 12 -1 and 12 -2. 13. The premises shall not be operated as an adult entertainment business as such term is defined in Santa Ana Municipal Code section 41- 1701.6. Exhibit C Page 2 of 5 Resolution No. 2011 -13 Page 17 of 20 31A-34 14. This Conditional Use Permit shall be reviewed at six months, at one year and then annually thereafter by the Police Department for any modification to the conditions of approval. This review shall include, at a minimum an analysis to ensure the quarterly gross sales of alcoholic beverages does not exceed the gross sales of food during the same period. Adopted by the Planning Commission on July 11, 2011 15. Existing restaurant and required parking within 60 feet must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project's lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. 16. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, Police Department Condition No. 15 must be complied with. 17. Cash register must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage. 18. Window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. 19. Window displays and racks must be kept to a maximum height of three feet including merchandise. 20. A timed - access cash controller or drop safe must be installed. 21. Install a silent armed robbery alarm 22. At all times, that dancing and /or entertainment is being conducted, the applicant shall employ a minimum of one uniformed, licensed security guard for every 100 persons in attendance per event, for keeping the peace. Mandated security officers will be required to use a radio frequency and communication equipment that is specified by the Police Department. Guards will be required to provide escort service to patrons of the establishment if requested. Mandated security guards will be required to participate in mutual aid activities with the Police Department and other guard companies in the downtown area, participate in mutual aid communications and information sharing meetings. Exhibit C Page 3 of 5 Resolution No. 2011 -13 Page 18 of 20 31A-35 23. An incident log shall be maintained at the licensed premises on a continual basis with at least one year of entries and be readily available for inspection by a police officer. The log is for recording any physical altercations, injuries, and objectionable conditions that constitute a nuisance occurring in, on, or at the licensed premises, including the immediately adjacent area that is owned, leased, or rented by the licensee. The log will indicate date, time, description of incident, and action taken. "Objectionable conditions that constitute a nuisance" means disturbance of the peace, public drunkenness, drinking in public, harassment of passersby, gambling, prostitution, loitering, public urination, lewd conduct, drug trafficking, or excessive loud noise. 24. The Police Department will require State licensed security guards to perform crowd control inside and outside of the establishment, based upon the type of activities anticipated at the location or based upon prior history of activity at this establishment or other similar businesses. 25. Security personnel required by the conditional use permit issued for the licensed premises shall be in a uniform or clothing which is readily identifiable as a security person. They shall maintain order and enforce the establishment's no loitering policy, and shall take "reasonable steps" (as that term is defined in subparagraph (3) of Section 24200 of the California Business and Professions Code) to correct objectionable conditions that constitute a nuisance. 26. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual addressing at a minimum the following items: Handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting or arguing; handling loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s); verifying age /checking identification of patrons; warning patrons of reaching their drinking limit/potential intoxication and refusing to serve; calling the police regarding observed or reported criminal activity. 27. Applicant must at all times comply with the provisions of SAMC 41- 199.1, including subsection (c) which requires that State licensed security guards be present at all times that the premises is being used as a banquet facility. Exhibit C Page 4 of 5 Resolution No. 2011 -13 Page 19 of 20 Mi F.A 1 91116 28. The facility must at all times operate in compliance with the provisions of the Santa Ana Municipal Code (SAMC) This will include the prohibition of a cover charge to enter the facility, a night club use and public dancing except as allowed pursuant to Chapter 11 of the SAMC. Adopted by the Planning Commission on July 11, 2011 Exhibit C Page 5 of 5 Resolution No. 2011 -13 Page 20 of 20 31A-37 iks F.Alsfoe,� REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: MODIFICATIONS TO CONDITIONAL USE PERMIT NO. 1996 -30 FOR THE VELVET LOUNGE LOCATED AT 416 WEST FOURTH STREET - JASON KORDAS, APPLICANT CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Receive and file the staff report approving modifications to Conditional Use Permit No. 1996 -30 as conditioned. CITY COUNCIL ACTION On June 20, 2011 the City Council referred the item to the Public Safety Council Committee for review. PUBLIC SAFETY COMMITTEE REVIEW The Public Safety Committee discussed the project at its meeting on July 26, 2011. A few residents and others have questioned whether this review was appropriate. It is important to note that the entire City Council voted to ask the Public Safety Committee to review the matter. It is apparent that a number of council members had questions and /or concerns. Staff notes that the City first learned about this project after a public safety incident where the police were called to address a fight and public drinking. The City has followed the municipal code in handling this project. The Public Safety Committee, a sub - committee of the City Council itself, was able to devote sufficient time for review. The committee now returns the matter to the City Council for action, as is provided in the municipal code. The Public Safety Committee review was thorough, and can be summarized as follows: • Concern expressed with number of people allowed in the basement area and whether this was safe. 31 B -1 Modification to CUP No. 1996 -30 August 1, 2011 Page 2 • Asked the Fire Marshal to inspect the basement prior to the City Council meeting and to report her findings: o Staff Follow -up Response: The Fire Marshal conducted an inspection as requested by the Public Safety Committee. The maximum occupancy for the basement area will be limited to 49 if people stand, or to 45 if people are seated. She further notes that the fire protection systems are up to date and meet all code requirements. The kitchen fire protection system is also up to date and meets code requirements. A "I-hour" fire protection door will be necessary to separate the basement from the exit way. This fire protection door does not require any City Council action as it is an explicit requirement under the State's fire and building codes; it only requires a ministerial building permit. The Fire Department will not allow occupancy of the basement space until a compliant door is installed. • Asked for clarification about the type of entertainment proposed. The applicant responded that the entertainment would include live performance, a DJ, musicians, impersonations, and potentially a cabaret act involving people dressed in drag. • Recognized that the Planning Commission had already added a condition to limit access after 10 pm to those 18 and over. • Discussed handouts distributed by staff that compare the operation of other similar downtown establishments, including their conditions, processing timeframes, and an outline of their Conditional Use Permits. o Staff Follow -up Response: These handouts are attached to this report as Exhibit A, Exhibit 8 and Exhibit C. • Discussed the definition of adult entertainment under the Santa Ana Municipal Code as contained in another handout distributed by staff. Staff further explained that its follow up review had confirmed that the business does not constitute adult entertainment. However, the Police Department explained why this was even questioned: photos of the business and its patrons and /or employees that were found on social media sites in March 2010 showed people in various stages of undress. These photos led staff to examine the business carefully. As previously noted, staff ultimately concluded that the business does not constitute adult entertainment. Modification to CUP No. 1996 -30 August 1, 2011 Page 3 o Staff Follow -up Response: Exhibit D, which outlines the regulations pertaining to adult entertainment, is attached to this report. • Applicant acknowledged its understanding of what would constitute adult entertainment. They also committed to abide by the law and not cross the line into adult entertainment. • Discussed the public notice that had been provided. Asked that staff make best efforts, prior to the City Council meeting, to reach out to the actual tenants in the senior towers and other nearby residential complexes. o Staff Follow -up Response: Staff organized a community meeting that was held on Friday, July 29, at the Santa Ana Senior Center. Flyers were distributed as broadly as possible to all the nearby residential complexes. The Downtown Neighborhood Association helped to coordinate the meeting and get the word out. Staff and the neighborhood association were joined at the meeting by the applicant, who provided an overview of the proposed Velvet Lounge. Questions and answers followed, and attendees were advised about the August 1St City Council meeting. • Asked whether entertainment would be offered within the outdoor patio. Staff and the applicant clarified that entertainment would not be allowed outside of the enclosed building. • Discussed potential noise problems related to the outdoor patio. Conditions of approval in the existing Conditional Use Permit require the patio to be closed at 1:00 a.m. Asked staff to look at this issue further and advise the City Council with any recommendations. o Staff Follow -up Response. Outdoor dining areas are a great amenity and they should be encouraged. However, staff generally believes that outdoor patios operating past a reasonable hour (e.g., 11:00 p.m., 12 :00 a.m.) can present noise impacts to nearby residents, and therefore the operating hours of these patios should be restricted. Ideally, these patios would close at an appropriate hour even while the heart of the business continues to operate indoors. But ideal circumstances are rare. The existing CUP for this property allows the patio to remain open until 1 a.m. Further, the other comparison businesses (see Exhibit A) with outdoor dining areas are also allowed to remain open until 1:00 a.m. Changing the outdoor dining hours for this property, though perhaps ideal, would be Modification to CUP No. 1996 -30 August 1, 2011 Page 4 inconsistent with what the City has approved for other businesses in a similar situation. For these reasons, staff recommends that the 1:00 a.m. operating hours for this outdoor patio be left as is. If noise impacts from these businesses become problematic in the future, staff believes the City should then initiate efforts to change the hours consistently for all businesses. Staff notes that changing provisions of CUPs retroactively can be challenging in that these provisions (i.e., the current patio hours) constitute a property right that runs with each CUP. But staff is confident that the City still has adequate tools to affect this change if and when warranted. Finally, a public hearing would be required should the City Council instead prefer to change the outdoor patio hours for this individual business. • Discussed the use of the basement and possible restriction allowing only dining and /or drinks, but with no entertainment. Applicant and PD noted that some servers would be dressed in drag and are, therefore, part of the entertainment. Such a condition would be difficult to abide by, they explained. The Public Safety Committee indicated that this issue may be addressed by the City Council. o Staff Follow -up Response: A public hearing would be required should the City Council wish to add or change this or any other condition of approval. • Discussed electronic identification scanner systems, such as those used at Proof. Also discussed ensuring that patrons younger than 18 needing to exit the establishment by 10 :00 P.M. PLANNING COMMISSION ACTION On May 23, 2011, the Planning Commission adopted a resolution approving Conditional Use Permit No. 1996 -30 as conditioned by a vote of 7 :0 to allow expansion into the basement level and allowing entertainment seven days a week between the hours of 7:00 a.m. to 2 :00 a.m. for the Velvet Lounge located at 416 West Fourth Street in the Specific Development No. 84/Transit Zoning Code - Downtown (SD84/Transit Zoning Code - Downtown) zoning district. The Planning Commission added a condition limiting entrance into the establishment after 10:00 p.m. to those persons 18 years of age and older, as outlined in the attached staff report (Exhibit E). Modification to CUP No. 1996 -30 August 1, 2011 Page 5 FISCAL IMPACT There is no fiscal impact associated with this action. ay . Trevi Executive Director Planning & Building Agency SK:rb skUeportslcup9630 mod.Velvet Lounge 8.01.11.cc Exhibit: A. Summary of Downtown Restaurants and Bar B. Current or Latest Requests C. Process Summary D. Adult Entertainment Regulations Excerpt E. Planning Commission Staff Report 31 B -5 L m m /_ \V H _ L m H W cc 3 0 3 0 i m E N it •i LL —71 4 � X X � C L N � w 117;,4 „rj�I�G CO X X •= 4•' rn X X . N X 11111111' i+ I i X X X X X X X X X ti. d ” X X X aaa..i 1�y A 1 AT: w X i X X X X X X X X r -; w X X r••' X E X OJ X E X X ds 66 'L m O �r, LL n - M� 3 X X X cn fV X X X X N 3 � an Frr1 u •� u •� c { , . a� r, <,. � c o O •v CL E O E O N 0 ��•.r O VI C V1 C U a c y � 1 N U cu v > \ 6• cu _0 -p = c CL 3 m c ^?F O cv E =3 E (v m o to v vu— ai u o p c . m O Ln O � O a` _ v fl- GA c E u N C Y a-r C O �' _c _c cv t? (O C Q d 7 a 7 '� O L O L O +-+ U ;� } a av u 7 O p E v — a� — 'O an a a m a a a a o o D u a a a JItS -r v A a E c v n a 0 �C - •� - •� EXHIBIT B W .1 Current or Latest Request "Proofl,. ` , Amendment to existing CUP: 1. Allowing cover charge �a 2. Serving draft beer 3. Allowing bottle service -� 4. Expansion into the basement level hF'yi'I'd,( 5. Hours 11 am -2 am , Ili t ��4 yl'[ul �S 'huul�II„��•,� Ct, G' I l � � Amendment to existing CUP: 1. Upgrade ABC license to Type 47 Ift 3 F3i T Original CUP: 1. Type 47 ABC license . 2. Open until 2 am � I I 1 � 111 I I II � � I p # X ti ChMgB Original CUP: Type 47 ABC A 1 2. Open until 2 am .Amendment to existing CUP: s a week 1. Entertainment 7 days Y rf ^Y. 2. Extend entertainment hours until 2 am 3. Expand restaurant into basement ", �4ffX t�l Amendment to existing CUP: , Ni 1. Extend alcohol sales until 2 am 2. Allow dancing 3. Allow up to six musicians `, NG 4. Allow the use of basement for alcohol storage "Original CUP: 1. Type 47 ABC .,` l Ih 2. Open until 2 am 1111 EXHIBIT B W .1 L 1-i [i� 31 B -11 U H m 2 W c H 'C C N O v N C 41 O v O O .�-I •VI E v V) o� C *' E N �,o-a N tw O a a m � 7 .L C tS CL N 7 .� C O' Q U! N C fTC Z Z C E C E a ca f° O C O O N `i O O O O 7 N t0i NO \ N N C �.., -6 Z a Q } V v r••. C C yr :3 V U` V) p o tw 3 to .2 b rA .I p ,i p _ C O O O N O N O O C N t0 E N V 40 c a > a te _ a a, 75 V) 0 to R to rn } 00 u C C O `i O � O t C O p �O u O N •Q O ON a N F. •C *- j N NO N W Z 0 "O ;.- cu 11D Q Z , c LL. Z O a CU V) O Q a c o o ° ° O C O O O O O o '«i.. 0 N N N N N N a cu CL o LL a a a O CD ON O ON O N I O Q W N - LA- a LL O ON 00 O 01 O O O ON p p O O 0 i > ? T Z N V) p 0 Z_ Q� m m m v N m O V h " �I �rgr AMU bra o tip qxI +'kr.K,� Ca w i,1L , T w�" i;� ?F �$i•`t_.Y �'t,}^t1�tei I "',y r d F� Na nil ilk v� ttrN�. t { III Pig itT'. {u? xM4ti! � °S ii 31 B -11 U H m 2 W LLkSw = I Adult Entertainment Regulations • SAMC Sec. 41- 1701.6. defines adult entertainment businesses. • Adult cabaret. The term "adult cabaret" as used in the SAMC, means a cabaret, restaurant, or similar business establishment which: (1) regularly features live performances which are distinguished or characterized by an emphasis upon the display of specified anatomical areas or specified sexual activities; and /or (2) which regularly features live performances by persons who appear semi -nude. Permitted zones and locations for adult entertainment businesses. • No adult entertainment business may be located within the city, except in one (1) of the following zoning districts: C2, C3, C4, CR, M1 and M2. • No adult entertainment business may be located within the city unless it meets the following distance criteria: • The proposed adult entertainment business is more than one thousand (1,000) [feet from] any other existing adult entertainment business. • The proposed adult entertainment business is more than one thousand (1,000) feet from any existing public premises as defined in the Business and Professions Code selling liquor or beer for consumption on the premises as its primary business. • The proposed adult entertainment business is more than one thousand (1,000) feet from any existing public dance halls as defined in section 11 -1. • The proposed adult entertainment business is more than one thousand (1,000) feet from any existing massage establishment as defined in section 22 -1. • The proposed adult entertainment business is more than one thousand (1,000) feet from any existing peep show establishment as defined in section 12 -22. • The proposed adult entertainment business is more than one thousand (1,000) feet from any existing residential zone, park, day care, child care facility, religious institution or school. • The proposed adult entertainment business is more than one hundred twenty-five (125) feet from the right -of -way line of any freeway or street designated as an arterial in the current circulation element of the general plan. This distance shall be measured along a straight line from the right of way line, as shown on the city's official map, to the parcel line of the proposed adult entertainment business, without regard to intervening structures. EXHIBIT D 31 B -14 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: MAY 23, 2011 TITLE: PUBLIC HEARING - MODIFICATIONS TO CONDITIONAL USE PERMIT NO. 1996 -30 FOR THE VELVET LOUNGE LOCATED AT 416 WEST FOURTH STREET, JASON KORDAS, APPLICANT Prepared by Sergio Klotz Executive Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended • As Amended • Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO Planning Manadgr Adopt a resolution approving modifications to Conditional Use Permit No. 1996 -30 allowing expansion into the basement level and entertainment seven days a week between the hours of 7:00 a.m. to 2:00 a.m. as conditioned. Request of Applicant Jason Kordas, the applicant for the Velvet Lounge, is requesting approval of two modifications to the conditions of approval for Conditional Use Permit No. 1996 -30, which allowed for a Type 47 ABC license. Specifically, the applicant is requesting to allow for entertainment to be offered seven days per week instead of being limited to Friday and Saturday as currently conditioned, and to allow for the entertainment hours to extend until 2:00 a.m. instead of 10:00 p.m. as currently conditioned. The applicant is also requesting to expand the restaurant operations into a basement area of the restaurant that was originally planned as a wine cellar /dining area. Proiect Location and Site Description The Velvet Lounge will occupy the space of the former Jason's restaurant on the first floor of an existing two -story, multi- tenant building located on the south side of West Fourth Street, between Birch and Ross Streets. The site contains an 8,356 square foot building that was constructed in approximately 1922. The first floor consists of an existing restaurant space, second floor with professional offices and storage within the basement level. In addition, the applicant will be utilizing an existing 830 square foot outdoor patio located along the front entrance facing Fourth Street. The site has no on -site parking, but utilizes the public parking garage at Third and Birch Streets. The site is surrounded by commercial and office uses to the east and west; the Ronald Reagan Federal Courthouse to the north; and a parking structure, surface parking lot and Birch Park to the south (Exhibits 1 and 2). EXHIBIT E 31 B -15 Modification to CUP No. 96 -30 May 23, 2011 Page 2 Project Description The Velvet Lounge is an independently operated restaurant and lounge that offers dining and entertainment to its patrons. The operation will offer dining until approximately 9:00 p.m. and then shift to a club /entertainment venue with a more limited menu, as well as entertainment and dancing. Entertainment will include DJ, karaoke, live band, cabaret theatrical performances and vocal impersonator reviews. Dancing anticipated will include public dancing along with employed dancers located throughout the establishment. Any dancing component of the business would be required to comply with Chapter 11 — Dancing of the SAMC. The requested modifications to the existing CUP would allow the applicant to offer entertainment seven days per week, instead of the permitted two (Friday and Saturday), extend the hours of entertainment until 2:00 a.m. to coincide with their hours of operation and expand the restaurant into a basement area of the restaurant. The storage area for the alcoholic beverages will be located on the first floor. A total of 67 square feet will be utilized for alcohol storage as dry, cold and display areas. The overall storage of alcoholic beverage consists of approximately 1.1 percent of the floor area and is less than five percent of the gross floor area of the restaurant as required by the City's policies for gross floor area dedicated to alcohol storage (Exhibit 3). Project Background The building located at 416 East Fourth Street began its life as the home of an Army Supply Store in 1922. Over the years it housed the West Fourth Street Furniture Exchange, the Cotton King & Queen Variety Goods Store, a custom framing store, auction house, and second -hand store before it was almost completely reconstructed in the early 1980's and the lower floor was improved as a restaurant. Since that time it has housed a number of eating establishments, as well as a variety of office tenants on the upper floors. In 1996, the Boardwalk Restaurant was granted a conditional use permit (CUP No. 1996 -30) allowing alcohol service within an existing eating establishment. In 2005, the Boardwalk Restaurant was granted an amendment to the conditional use permit changing some conditions of approval allowing for operations until 2:00 am on Fridays and Saturdays; dancing; up to six musicians with amplified instruments; and a wine cellar within the basement. The limitation in hours was approved at the request of the applicant due to the fact that their business model did not include a large entertainment component. Conditions were imposed to ensure that the eating establishment would operate in concert with the surrounding uses. The conditions that were imposed were intended to mitigate potential impacts created by the use and help to ensure the use would not negatively affect the surrounding community. Modification to CUP No. 96 -30 May 23, 2011 Page 3 These conditions have been applied to all eating establishments requesting alcohol sales. More specifically, all of the establishments within the downtown area have received similar conditions allowing alcohol sales, entertainment, and late night hours of operation. Similar establishments include Bistro 400, Memphis, Gypsy Den, Lola Gaspar, Chapter One, and The Crosby. Some, like Conditional Use Permit No. 1996 -30, have conditions limiting their operation merely due to the request submitted with that particular application (Exhibit 4). In 2006 Jason Kordas assumed the lease of the restaurant space and opened Jason's, a full- service restaurant and catering business. In recent years Mr. Kordas has focused more on the catering side of his business using the existing kitchen and dining space, and the public aspect of the restaurant was closed. Mr. Kordas will continue to oversee and run the dining portion of the Velvet Lounge operation. General Plan and Zonina Consistenc The General Plan land use designation for the site is District Center (DC). District Center districts provide highly visible and accessible commercial development within the City's major development areas such as the downtown area and along the City's arterial transportation corridors. These districts also provide important neighborhood facilities and services, such as this restaurant. The project site is consistent with this General Plan land use designation. The zoning for the site is Specific Development No. 84 (SD- 84/Transit Zoning Code). The project is further located within the Downtown district. The Downtown district allows for retail and service uses such as restaurants, making the proposed use consistent with the zoning code. Project Analysis Conditional Use Permit requests are governed by Section 41 -638 of the SAMC. Conditional Use Permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use adversely will not affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. 31 B -17 Modification to CUP No. 96 -30 May 23, 2011 Page 4 • That the proposed use will not adversely affect the General Plan of the city or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permit amendments. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the conditional use permit amendment request, staff believes that the following findings of fact warrant approval of the conditional use permit. The proposed alcohol beverage license will continue to provide an ancillary service to the restaurant customers by allowing them the ability to purchase beer, wine and distilled spirits with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. • The proposed amendments to the on -sale consumption of beer, wine and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other restaurants in the area that also offer alcoholic beverages for sale to their guests and other visitors. It is anticipated that the addition of a restaurant to the downtown area with evening entertainment will provide an additional dining and entertainment option for patrons. As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code and the guidelines established by the Planning Commission for restaurants selling alcohol with their meal. The facility continues to contain the kitchen equipment necessary to be considered a bona fide restaurant use and maintain a restaurant related alcoholic beverage control license. Additionally, the restaurant will utilize less than five percent of the gross floor area for the storage of alcoholic beverages, which is below the maximum threshold established by the Planning Commission. • The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana. •� Modification to CUP No. 96 -30 May 23, 2011 Page 5 Police Department Analvsis The Police Department reviews conditional use permit applications for the sale of alcoholic beverages because there is a strong correlation between the availability of alcohol and crime. Studies have shown that alcohol is a contributing factor in crimes, such as drunk driving, fatal traffic collisions, homicide, assaults, rape, domestic violence, drunk in public and other nuisance type of offenses. Without stringent controls to address the location of alcohol outlets, there is a strong likelihood that an overconcentration will create blight and adversely impact the community. The approval of a license in an area deemed over concentrated and high in crime may affect the quality of life and police resources in the area, and aggravate existing conditions. Since the City's overconcentration standards do not apply to on -sale establishments, the Police Department considered two factors when reviewing this application, crime rate and sensitive land uses. The Police Department has determined that this establishment is located in an area that is above average in police - related incidents. This site is located within Reporting District No. 165, which ranks 5th out of 102 citywide districts in total number of police - related incidents. In terms of land uses, there is a public park and senior residential tower located within 500 feet of this proposed use. Loud music or noise may impact those residents. Based on the above average crime rate, the Police Department recommends approval of the CUP amendment provided that conditions are imposed to ensure that this location operates as a bona fide eating establishment and does not aggravate existing conditions or negatively impact adjacent land uses. Public Notification The project site is located within the boundaries of the Downtown Association. The president of the Association was notified by mail 10 days prior to this public hearing. In addition, separate meetings with Tish Leon, neighborhood representative for the residential project immediately south of the project site, as well as Latino Health Access, who recently took ownership of the building immediately to the west of the subject property, were held to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the Neighborhood Association representative, nor was there a request that the applicant present the project to a meeting of their members. Latino Health Access was concerned with adequate security due to some of the evenings programs conducted. The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. Modification to CUP No. 96 -30 May 23, 2011 Page 6 CEQA Compliance This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15301. This Class 1 exemption applies to alterations to an existing operation or facility with negligible expansion. Categorical Exemption Environmental Review No. 2011 -44 will be filed for this project. Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve the modifications to Conditional Use Permit No. 1996 -30 as conditioned. Sergio Klotz, AICP Principal Planner SK:jm WreportMcup96 -30 mod.Velvet Lounge.5.23.11.pc Attachments: Exhibit 1 —Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Floor Plan Exhibit 4 — Matrix 41-M I z -s.lo SEVENTEENTH ST. sla slo ILJ L6. }9 t la SP 1 01 9 Cl = %4 Cl i iY Cl CS Cl Ct CS r IISH "a 1- 1 SP -3 �• I - r I SP -3 SP -3 _ RI Rl ,. Rl Rl R3- R3- R3- Rl�� AZ NDII NDN HDI R3- R3- 7 Rl MDI HDI ro; SP L 3 N Rl � :I. CI~if � R3- R2 0 R2 R1 RI R1 R1 R3- R3- R1 R2 HD II NDI O R3_ 1 s� j SP -3 SP -3 r HD 1 IIL `•j P7 I R2 R2 R2 A3 P P R2 SP C ins r. u. .3 .s Rl Rl Rl Rl AI Rz R2 P R2 SP-3 SD- [ �I R2 R2 R2 P 75 SP-3 r j SP R1 RI R7 H R2 R2 L 111-3 Rl RI A2 P R1 R1 R7 �e P P 1 m cz P P 5P_3 nlP3 ] = is _S' SD -20 sozD SD -20 �P P crac cFN,Fn DA 1 P P _ --- • `° g i IHE R1 R1 8 GC sv -1 1 � GC :A 1 XGC . =. LL • / t; sPl Pl ■ GC 1 J OS m R2 P P DT ] «r p 1 p so-ss SD -SS SP „ OS R2 P P p Eas J I 1 SD -13 SD- sv -1 P P so-so I SD -1 e II -s -,o I a n _ 14 }101 fT -1 f'' oCT ST. -- IYSSO STS' G� m- uc DT DT DT [MST 7 DT C DT C DT DT UC I1C Dr �• tr � 135 -10 1'g39 Al GENBMLAGRCIJLT MLt CR 0CMM8U&FE9DDML RI 9NMEFAMILYR ®D90AL -B RkWiGM001F1CATICN OC G0M3MBJTC8JTE2 Fa 7WFAMILYFE9DBJCE C9N OCMMUMLSOMMAIN M7 UGFRINDUSTRAL FU MULMR.EDBJ9TYMULTIFiE CI OOMMUNTTYOCMMEfU& M2 HEAWINDUSTRAL FAMILYFffiDBJCE CI -MD DOW 0:)MMHnAUMUSBIMDISTRC MO MILITARPOPERkTlW R7 9J8J13MAPARTMBJ7S C2 G9*34kLCOMM6nAL 0 OPMSPAM FE FESDeMALWRTE C3 CBJTRALOUSNE S P PFCFE990NAL SD 51$1RCDEV30F#ABJT C&A CBJTF AUSNE3SART1SMAGE POD PLANNED 00MMLAITYWARLFMEW 81 `.PEURCPLAN GI RAN EDSiORJNGC@1T62 PF;0 RANNI)F SDENTAL DeALUMENT CS ARTEIALOOMMHi1AL CUP 1996 -30 MODIFICATION VELVET LOUNGE RESTAURANT 416 WEST FOURTH STREET - ^ =500 FEET 1" =1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y VICINITY MAP EXHIBIT 1 31B -21 5TH STREET H- w w v w CL r Ln N z W d O 4TH STREET r- J W C OMME RCIAL w COIAME RCIAL z O Ln COMMERCIAL `" W LL PUBLIC PARKING a N GARAGE ccl O m CUP 1996 -30 MODIFICATION VELVET LOUNGE RESTAURANT I� 416 WEST FOUR TH STREET �f P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 I `Q io N 4 Ln N WEST 4TH STREET EXHIBIT 3 Page 1 of 4 c}+ R w f- cn v 3 N r •b -`- iii � �: =i "i_ �" ��__t" I �� ._ � t77 i ei co is[ • nus s0 .: m L ■SCI gg a: Page 2 of 4 31 B -24 q� e © 9 J Z O U' Z Z O z g g z� + ¢ z ? J Z LOLZ6 t�O ``dNb' b'1N`dS 1S Hlti 1S3M 9Lb a 4 g T S 3JNA0 -1 jmwimA I Sao n W ii RO A W 'e S! cag e m 0 RUN •b -`- iii � �: =i "i_ �" ��__t" I �� ._ � t77 i ei co is[ • nus s0 .: m L ■SCI gg a: Page 2 of 4 31 B -24 q� e © 9 J Z O U' Z Z O z g g z� S q a •b -`- iii � �: =i "i_ �" ��__t" I �� ._ � t77 i ei co is[ • nus s0 .: m L ■SCI gg a: Page 2 of 4 31 B -24 q� e © 9 J Z O U' Z Z O z g g z� | � � ( � § �| E--- ---- - - - -4| -§ $� Lo z ¥o ¥N¥ d Nd : N - : $ z lu z § §§ � ±S � # 1 BM @ Lt, • §22t■ [ \ /�/ | § R § 2 3oN A0-i �7m = |7 §| $k§ , 2k k f U XAM | � � ( � § �| E--- ---- - - - -4| Page so4 31 B -25 61 §� k} §} �| -• !, ■� : | i> § | | E | § ■ ■ - jl� Page so4 31 B -25 61 §� k} §} W a 6 O Ma � g a �g 11� b hd a� O LOLZ6 VO 'VNV V1NVS ° ° M Fa =W< c 0 1S HIV 1S3M9Lt, Q s y o 3oNno7 J.3n73n -744 u�_�u LL W a 6 O Ma � g a �g 11� b hd Page 4 of 4 w � P8 � w a a d' O W L Q O] gel Fa Z� u�_�u LL u-EJ { uJ iss �u r- ul' lu Dr R I 4- -II ,h VY I I J I I =W I I l_ I I Page 4 of 4 w � P8 � w a a d' O W L Q O] %1 b a� CY b O O A 0 ; � a W h X ✓ti ✓`� e °1Dp� rA b x x ^ cl �0{y O0 0 a 3 3 b p o o !Z C 'r N U 'ui 0 U y O O Fi O p L�, Q CA+ . ,.y ° U + a 3 3 3 3 o 3 O O o > o _o _ _ v EXHIBIT 4 31 B -27 9 Q' 0 •� ROH - 05/23/11 RESOLUTION NO. 2011 -10 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA MODIFYING CONDITIONAL USE PERMIT NO. 1996 -30 AS CONDITIONED FOR THE PROPERTY LOCATED AT 416 WEST FOURTH STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of modification to Conditional Use Permit No. 1996 -30 to allow expansion into the basement level and entertainment seven days a week between the hours of 7:00 a.m. to 2:00 a.m. as conditioned, for the Velvet Lounge located at 416 West Fourth Street. B. In 1996, the Planning Commission of the City of Santa Ana approved Conditional Use Permit No. 1996 -30 as conditioned allowing alcohol service within an existing eating establishment. C. Santa Ana Municipal Code Section 41 -196 and 41 -638 authorizes the Planning Commission to modify a conditional use permit upon making certain findings. 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed conditional use permit modifications will continue to provide an ancillary service to the restaurant customers by allowing them the ability to purchase beer, wine and distilled spirits with their food. This will thereby benefit the community by continuing to provide a restaurant with an additional and complementary food - related amenity. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed amendments to the existing conditional use permit for the on -sale consumption of beer, wine and distilled spirits at the restaurant will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic Resolution No. 2011 -10 Page 1 of 9 beverage control license that will mitigate any potential negative or adverse impacts created by the use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other restaurants in the area that also offer alcoholic beverages for sale to their patrons. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code and the guidelines established by the Planning Commission for restaurants selling alcohol with their meal. The facility has the kitchen equipment necessary to be considered a bona fide restaurant use and continues to be eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurant will utilize less than five percent of the gross floor area for the storage of alcoholic beverages, which is below the maximum threshold established by the Planning Commission. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana. D. This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15301. This Class 1 exemption applies to alterations to an existing operation or facility with negligible expansion. Categorical Exemption Environmental Review No. 2011 -44 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves the modifications to Conditional Use Permit No. 1996 -30 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated May 23, 2011, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2011 -10 Page 2 of 9 41: �� ADOPTED this 23rd day of May, 2011, by the following vote: AYES: Commissioners NOES: Commissioners ABSENT: Commissioners ABSTENTIONS: Commissioners APPROVED AS TO FORM: Joseph A. Straka, City Attorney Bv: Ryan O. Hodge Assistant City Attorney Acosta, Alderete, Gartner, Mill, Nalle, Yrarrazaval (7) None (0) None (0) None (0) Eric Alderete Chairman CERTIFICATE OF ATTESTATION AND ORIGINALITY Turner, I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2011 -10 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on May 23, 2011 . Date: Secretary of the Planning Commission City of Santa Ana 31B -31 Resolution No. 2011 -10 Page 3 of 9 Modified Conditions of Approval for Conditional Use Permit No. 1996 -30 Should modification to Conditional Use Permit No. 1996 -30 be approved, the project shall comply with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. In addition, it shall meet the following conditions: The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this variance. The applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. (Added language underlined, deleted language in strikeout.) A. Planning Division 1. All proposed site improvements shall conform with Site Plan Review approval of DP 96 -22 and DP 10 -30. (Modified by the Planning Commission May 23, 2011) 2. The restaurant shall remain a bona fide eating establishment as defined by the Alcoholic Beverage Control Board and by the standards established by the Planning Commission. These guidelines state that restaurant establishments include the following: a. One conventional range /oven. b. A double sink. C. A 25 cubic foot refrigerator. d. A four -foot by six -foot food preparation area. e. An automatic dishwasher. 3. The interior lighting shall be in accordance with the Alcoholic Beverage Control regulations. 4. There shall be no gaming devices, such as pool tables, pinball machines, motion picture booths, etc. 5. There shall be no conduct or entertainment allowed on the premises as prohibited by Chapter 12 of the Santa Ana Municipal Code (S.A.M.C.). 6. The trash enclosure area must be cleaned and kept in clean conditions at all times. 7. There shall be no parking on the Fire Department fire lanes or any other prohibited areas. Resolution No. 2011 -10 Page 4 of 9 MAY 23, 2011 PAGE 2OF6 8. There shall be no sales or consumption of alcohol on outdoor areas until a street encroachment permit has been issued and the activity conforms to the City's design standard. 9. The outdoor area(s) shall cease to operate or allow customers into such area(s) from 1:00 a.m. until 7:00 a.m. Monday through Sunday. B. Police Department The existing restaurant and exterior lighting must conform with the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project's lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. 2. Prior to the issuance of Letter of Approval to the Alcohol Beverage Control Board, all conditions must be complied with. 3. The applicant shall be responsible for maintaining the premises free of litter and graffiti, including the area adjacent to the premises over which he has control. All graffiti shall be removed within 24 hours of occurrence. 4. The sales, service, and consumption of alcoholic beverages shall be permitted only in conjunction with food service between the hours of 7-9:00 a.m. and 2:00 a.m. (Modified by the Planning Commission May 23, 2011) 5. Live entertainment provided shall be limited to a maximum of six musicians with amplified instruments located in the restaurant interior only. 6. Live entertainment is allowed seven days a week GRly eR Fridays and Saturdays between the hours of 79:00 a.m. to 4.2:00 a.m. and at no other time. (Modified by the Planning Commission May 23, 2011) 7. The subject alcoholic beverage license shall not be exchanged for a public premises type of license nor operated as a public premises. 8. There shall be no exterior advertising of any kind or type, including advertising directed to the exterior from within, promoting or indicating the availability of alcoholic beverages. MAY 23, 2011 PAGE 3 OF 6 9. There shall be no coin - operated games, of pool tables, amusement machines or video games maintained on the premises at any time. (Modified by the Planning Commission May 23, 2011) 10. The quarterly gross sales of alcoholic beverages shall not exceed the gross sales of food during the same period. These records are to be kept no less frequently than on a quarterly basis and shall be made available to the City, if requested. (Added by the Planning Commission May 23, 2011) 11. No alcoholic beverages shall be consumed on any property adjacent to the licensed premises under the control of the licensee with the exception of the outdoor dining area once that area conforms to the proposed design standards for outdoor dining areas. 12. The sale of alcoholic beverages for consumption off the premises is strictly prohibited. (Modified by the Planning Commission May 23, 2011) 13. There shall be no A-14 public telephones shall be located on the exterior der of the licensed premises. Interior pay phones must be designed to allow outgoing calls only. (Modified by the Planning Commission May 23, 2011) 14. At all times when the premises is open for business, the sale and service of alcoholic beverages shall be made only in conjunction with the sale and service of food. 15. The premises shall be maintained as a bona fide eating establishment and shall provide a menu containing an assortment of foods normally offered in such restaurants. 16. The premises shall not be operated as an adult entertainment business as such term defined in Santa Ana Municipal Code Chapter 41- 1701.6. 17. Music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. (Modified by the Planning Commission May 23, 2011) 18. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in Santa Ana Municipal Code Section 12 -1 and 12 -2. MAY 23, 2011 PAGE 4 OF 6 19. The use shall be evaluated after 90 days, six months, one year and annually thereafter in order to determine compliance with the above conditions. 20. The applicant(s) shall not share any profits, or pay any percentage or commission to a promoter or any other person, based upon monies collected as a door charge, donation, cover charge, or any other form of admission charge, including minimum drink orders, or the sale of drinks. 21. There shall be no exterior advertising of any kind or type, including advertising directed to the exterior from within, promoting or indicating the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. 22. It shall be the applicant(s) responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant(s), with the exception of the enclosed patio areas. 23. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 24. Queuing lines shall be managed in an orderly manner and all disruptive and intoxicated patrons shall be denied entry. The business owner shall be responsible for monitoring the queuing lines at all times. (Modified by the Planning Commission May 23, 2011) 25. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. (Modified by the Planning Commission May 23, 2011) 26. Food or alcohol may not be served to patrons waiting to enter the establishment. (Modified by the Planning Commission May 23, 2011) 27. The applicant shall submit a monthly schedule of concerts and events to the police department. (Modified by the Planning Commission May 23, 2011) 31 B -35 MAY 23, 2011 PAGE 5OF6 28. At all times, that dancing and /or entertainment is being conducted, the applicant shall employ a minimum of one (1) uniformed, licensed security guard '^ the roar alloy area for every 100 persons in attendance per event, for keeping the peace. Mandated security officers will be required to use a radio frequency and communication equipment that is specified by the Police Department. This specified radio equipment must be purchased and maintained by the establishment. Each guard in the establishment must be provided a radio. Guards will be required to provide escort service to patrons of the establishment if requested. Mandated security guards will be required to participate in mutual aid activities with the Police Department and other guard companies in the downtown area, participate in mutual aid communications and information sharing meetings. This guard shall ensure the safety of those patrons going to or from their vehicles in the parking structure at Third and Birch Streets. (Modified by the Planning Commission May 23, 2011) 29. An electronic incident loa shall be maintained at the licensed premises on a continual basis with at least one year of entries and be readily available for inspection by a police officer or electronic transmission to the Santa Ana Police Department. The log is for recording any physical altercations, injuries, and objectionable conditions that constitute a nuisance occurring in, on, or at the licensed premises, including the immediately adjacent area that is owned, leased, or rented by the licensee. The log will indicate date, time, description of incident, and action taken. "Objectionable conditions that constitute a nuisance" means disturbance of the peace public drunkenness, drinking in public, harassment of passersby, gambling, prostitution, loitering, public urination, lewd conduct, drug trafficking, or excessive loud noise. (Modified by the Planning Commission May 23, 2011) 30. The police department will require State licensed security guards to perform crowd control inside and outside of the establishment, based upon the type of activities anticipated at the location or based upon prior history of activity at this establishment or other similar businesses. (Modified by the Planning Commission May 23, 2011) MAY 23, 2011 PAGE 6OF6 31. Security personnel required by the conditional use permit issued for the licensed premises shall be in a uniform or clothing which is readily identifiable as a security person. They shall maintain order and enforce the establishment's no loitering policy, and shall take "reasonable steps' (as that term is defined in subparagraph (3) of Section 24200 of the California Business and Professions Code) to correct objectionable conditions that constitute a nuisance. (Modified by the Planning Commission May 23, 2011) 32. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual addressing at a minimum the following items: Handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting or arguing; handling loitering about the building and in the immediate adjacent area that is owned leased rented or used under agreement by the Licensee(s); verifying age /checking identification of patrons; warning patrons of reaching their drinking limit/potential intoxication and refusing to serve; calling the police regarding observed or reported criminal activity. (Modified by the Planning Commission May 23, 2011) 33. If there is a marked or noticeable increase in the number of Dolice- related incidents on or near the premises, as such increase may be determined by the Chief of Police, the permittee shall increase the number of uniformed, licensed security guards to a total number of guards as determined by the Chief of Police Department. (Modified by the Planning Commission May 23, 2011) 34. This land use authorization is only for a Type 47 on -sale beer & wine, public eating - place, any other license use at this location will require a new land use clearance. 35. No persons under the age of 18 shall be permitted entry into the establishment after 10:00 p.m. , seven days a week (Modified by the Planning Commission May 23, 2011) 31 B -37 0 31 B -38 0 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 1, 2011 TITLE: ORDINANCE AMENDING CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE ESTABLISHING SPEED LIMITS FOR CITY STREETS CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on V' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Adopt an ordinance amending Chapter 36 of the Santa Ana Municipal Code establishing speed limits on certain streets and portions of streets in the City. ENVIRONMENTAL AND TRANSPORTATION ADVISORY COMMITTEE RECOMMENDATION Accept the Citywide Speed Limit Study and recommend to City Council that an ordinance amending Chapter 36 of the Santa Ana Municipal Code establishing speed limits on certain streets and portions of streets in the city be adopted. Approved by unanimous vote at the meeting of July 12, 2011. DISCUSSION To enforce speed limits on city streets using radar, the California Vehicle Code requires that the City conduct new speed surveys every five years. The prior study was approved in 2006. Last year, the City hired a consultant, Albert Grover and Associates, who has completed the 2011 study according to regulations set forth by the State. The study has recommended speed limits based upon four major factors: (1) the geometric characteristics of the roadways (including pedestrian and bicycle activity), (2) speed surveys using radar, (3) accident rate comparisons of actual versus the average accident rates that typically occur for each type of roadway in the city, and (4) any roadway characteristics not readily apparent to motorists. The study included an evaluation of 177 segments in the city's arterial and collector (also referred to as commuter) street network, based on the California Roads System (CRS) map. This map determines which streets should be included in the speed survey. An updated study is also necessary to uphold speeding tickets written by the Santa Ana Police Department (SAPD). This study report contains and documents sufficient information in compliance with State law to justify the posted speed limit. 5OA -1 Ordinance Amending Chapter 36 of Santa Ana Municipal Code Establishing Speed Limits for City Streets August 1, 2011 Page 2of2 The California Vehicle Code requires that speed limits be set near the 85 percent speed for arterials and collectors. Based upon the results of the Engineering and Traffic Study, no change in the posted speed limits is recommended at 164 of the 177 locations studied (see Exhibit 2). The speed limit is recommended to be increased at 11 locations. Two residential street segments were removed since residential streets have a posted speed limit set at 25 mph per the California Vehicle Code. The study and recommendations have been reviewed and are supported by the Santa Ana Police Department. Once the ordinance is amended, the corresponding changes to the posted speed limits on the effected streets will be modified. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds for the installation of speed limit signs estimated at $10,000 are available in the Measure M — Street Construction Fund (accounting unit no. 03217660 - 66220, project no. 116738). Raul 6odinez II Executive Director Public Works Agency RG:ZK Exhibit 1: Ordinance Exhibit 2: Engineering & Traffic Study Summary APPROVED AS TO FUNDS AND ACCOUNTS: of Francisco Gutierrez Executive Director Finance & Management Services Agency Iss7/20/11 ORDINANCE NO. NS- AN ORDINANCE OF THE CITY OF SANTA ANA REVISING ARTICLE VII OF CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE, SETTING THE PRIMA FACIE SPEED LIMITS FOR STREETS IN THE CITY THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: SECTION 1: The City Council of the City of Santa Ana hereby, finds, determines and declares as follows: A. California Vehicle Code §22357 authorizes local authorities to declare prima facie speed limits at the rate found reasonable, safe and most appropriate to facilitate the orderly movement of traffic based on the results of an engineering and traffic survey. B. The Santa Ana Traffic and Transportation Engineering division conducted an engineering and traffic study and based on that study recommends the City Council of the City of Santa Ana declare prima facie speed limits as specified herein. SECTION 2: Santa Ana Municipal Code Article VII, consisting of sections 36 -227 through 36 -271, of Chapter 36, as revised by Ordinance No. NS -2724, is hereby repealed and replaced with a new Article VII, consisting of sections 36 -227 through 36 -271, of Chapter 36 of the Santa Ana Municipal Code, which said Article VII shall read as follows: ARTICLE VII. PRIMA FACIE SPEED LIMITS Sec. 36 -227. Prima facie speed limits in general The City Council of the City of Santa Ana determines and declares, upon the basis of engineering and traffic surveys made on or after January 11, 2011, which surveys are public records on file in the offices of the Public Works Agency of the city, that the prima facie speed limits specified in those sections are reasonable, safe and most appropriate to facilitate the orderly movement of traffic upon the streets and portions of streets specified in those sections, which streets and portions of streets would otherwise be subject to the prima facie speed limits established in the California Vehicle Code. These prima facie speed limits shall be effective when appropriate signs giving notice thereof are erected upon the streets and portions of streets to which they pertain. The provisions of this article shall not apply to any twenty -five (25) mile per hour prima facie speed limit which is applicable when passing a school or the grounds thereof. Sec. 36 -228. Alton Avenue. follows: The speed limits (in miles per hour) for the following portions of Alton Avenue is as Between Susan Street and Greenville Street 45 Exhibit 1 Iss7/20/11 Between Greenville Street and Bristol Street 45 Between Main Street and Standard Avenue 40 Sec. 36 -229. Bear Street. follows: The speed limits (in miles per hour) for the following portions of Bear Street are as Between Sunflower Avenue and MacArthur Boulevard 40 Between MacArthur Boulevard and Alton Avenue 40 Between Alton Avenue and Segerstrom Avenue 40 Sec. 36 -230. Bristol Street. followsThe speed limits (in miles per hour) for the following portions of Bristol Street are as : Between Hesperian /SR 22 EB On -Ramp & Santa Clara Ave. 45 Between Santa Clara Avenue and Seventeenth Street 45 Between Seventeenth Street and Civic Center Drive 40 Between Civic Center Drive and Walnut Street 35 Between Walnut Street and McFadden Avenue 40 Between McFadden Avenue and Edinger Avenue 40 Between Edinger Avenue and Warner Avenue 40 Between Warner Avenue and Segerstrom Avenue 40 Between Segerstrom Avenue and MacArthur Boulevard 40 Between MacArthur Boulevard and Sunflower Avenue 40 Sec. 36 -231. Broadway and Broadway Place The speed limits (in miles per hour) for the following portions of Broadway and Broadway Place are as follows: Between MainPlace Drive and Seventeenth Street 40 Between Seventeenth Street and Civic Center Drive 35 Between Civic Center Drive and First Street 35 Between First Street and McFadden Avenue 30 Between McFadden Avenue and Edinger Avenue 30 Between Edinger Avenue and Main Street (250 feet North of Warner Avenue) 30 Sec. 36 -232. Cabrillo Park Drive. follows: The speed limit (in miles per hour) for the following portion of Cabrillo Park Drive is as Between Seventeenth Street and Fourth Street 35 Sec. 36 -233. Cambridge Street. Iss7/20/11 The speed limit (in miles per hour) for the following portions of Cambridge Street is as follows: Between the North City Limit (NCL) /Route 22 and Fairhaven Avenue 40 Sec. 36 -234. Chestnut Avenue. The speed limits (in miles per hour) for the following portions of Chestnut Avenue are as follows: Between Main Street and Standard Avenue 30 Between Standard Avenue and Grand Avenue 35 Between Grand Avenue and the East City Limit (ECL) /Elk Lane /Main Street 35 Sec. 36 -235. Civic Center Drive. The speed limits (in miles per hour) for the following portions of Civic Center Drive are as follows: Between Fairview Street and Bristol Street 35 Between Bristol Street and Flower Street 35 Between Flower Street and Broadway 35 Between Broadway and French Street 35 Sec. 36 -236. Dyer Road. follows: The speed limits (in miles per hour) for the following portions of Dyer Road are as Between Flower Street and Main Street 40 Between Main Street and Halladay Street 45 Between Halladay Street and Route 55 Freeway 45 Between Route 55 Freeway and Barranca Parkway /Red Hill Avenue 40 Sec. 36 -237. Edinger Avenue. follows: The speed limits (in miles per hour) for the following portions of Edinger Avenue are as Between the West City Limit (WCL) east of Euclid Street and Richardson Street 45 Between Santa Ana River (WCL) and Fairview Street 45 Between Fairview Street and Raitt Street 35 Between Raitt Street and Bristol Street 35 Between Bristol Street and Flower Street 40 Between Flower Street and Main Street 40 Between Main Street and Standard Avenue 40 Between Standard Avenue and Ritchey Street 45 5OA -5 Iss7/20/11 Between Ritchey Street and the East City Limit (ECL) 45 Sec. 36 -238. Euclid Street. The speed limits (in miles per hour) for the following portions of Euclid Street are as follows: Between Westminster Avenue and First Street 45 Between First Street and the South City Limit (SCL) /Lenhardt Avenue 45 Sec. 36 -239. Fairhaven Avenue. The speed limits (in miles per hour) for the following portions of Fairhaven Avenue are as follows: Between Grand Avenue and Linwood Avenue 45 Between Linwood Avenue and Greengrove Street East City Limit (ECL) 45 Sec. 36 -240. Fairview Street. follows: The speed limits (in miles per hour) for the following portions of Fairview Street are as Between Route 22 EB Off -Ramp and Fifth Street 45 Between Fifth Street and Edinger Avenue 45 Between Edinger Avenue and Warner Avenue 45 Between Warner Avenue and Alton Avenue 45 Between Alton Avenue and Sunflower Avenue 45 Sec. 36 -241. Fifth Street. follows: The speed limits (in miles per hour) for the following portions of Fifth Street are as Between Euclid Street and Harbor Boulevard 35 Between Harbor Boulevard and Fairview Street 35 Between Fairview Street and Hawley Street 35 Sec. 36 -242. First Street. follows: The speed limits (in miles per hour) for the following portions of First Street are as Between the West City Limit (WCL) west of Euclid and Newhope Street 40 Between Newhope Street and Harbor Boulevard 40 Between Harbor Boulevard and Townsend Street 40 Between Townsend Street and Flower Street 40 Between Flower Street and Birch Street 40 Iss7/20/11 Between Birch Street and Standard Avenue 40 Between Standard Avenue and Tustin Avenue /the East City Limit (ECL) 40 Sec. 36 -243. Flower Street. The speed limits (in miles per hour) for the following portions of Flower Street are as follows: Between Seventeenth Street and Santa Ana Boulevard 35 Between Santa Ana Boulevard and Bishop Street 35 Between Bishop Street and Warner Avenue 35 Between Warner Avenue and Sakioka Drive /Sunflower Avenue 40 Sec. 36 -244. Fourth Street. The speed limits (in miles per hour) for the following portions of Fourth Street are as follows: Between Mortimer Street and McClay Street 35 Between McClay Street and Interstate 5 Freeway 35 Between Interstate 5 Freeway and Route 55 Freeway 40 Sec. 36 -245. Grand Avenue. The speed limits (in miles per hour) for the following portions of Grand Avenue are as follows: Between the North City Limit (NCL)/ SR 22 Ramps and Fairhaven Avenue 40 Between Fairhaven Avenue and Santa Clara Avenue 40 Between Santa Clara Avenue and Seventeenth Street 40 Between Seventeenth Street and First Street 40 Between First Street and McFadden Avenue 45 Between McFadden Avenue and Edinger Avenue 45 Between Edinger Avenue and Warner Avenue 45 Between Warner Avenue and Dyer Road 45 Sec. 36 -246. Greenville Street. follows: The speed limits (in miles per hour) for the following portions of Greenville Street are as Between Edinger Avenue and Warner Avenue 30 Between Warner and Sunflower/Wimbledon 35 Sec. 36 -247. Halladay Street. follows: The speed limits (in miles per hour) for the following portions of Halladay Street are as 5OA -7 Iss7/20/11 Between Warner Avenue and Dyer Road 35 Between Dyer Road and Alton Avenue 35 Sec. 36 -248. Harbor Boulevard. The speed limits (in miles per hour) for the following portions of Harbor Boulevard are as follows: Between Westminster Avenue and Fifth Street 45 Between Fifth Street and First Street 40 Between First Street and a point six hundred (600) feet south of Kent Avenue 40 Between the city limits of Santa Ana at Santa Ana River (N /O Warner) and Segerstrom Avenue 45 Between Segerstrom Avenue and MacArthur Boulevard 45 Sec. 36 -249. Hazard Avenue. The speed limit (in miles per hour) for the following portion of Hazard Avenue is as follows: Between Euclid Street and Harbor Boulevard 35 Sec. 36 -250. Lake Center Drive. follows: The speed limit (in miles per hour) for the following portion of Lake Center Drive is as Between Harbor Boulevard and Susan Street 40 Sec. 36 -251. Lincoln Avenue. follows: The speed limits (in miles per hour) for the following portion of Lincoln Avenue are as Between Fairhaven Avenue and Santa Clara Avenue 35 Between Santa Clara Avenue and Seventeenth Street 35 Between Seventeenth Street and Washington Avenue 35 Sec. 36 -252. Lyon Street. follows: The speed limits (in miles per hour) for the following portion of Lyon Street are as Between First Street and McFadden Avenue 35 Between McFadden Avenue and Edinger Avenue 35 Between Edinger Avenue and Saint Andrew Place 35 Iss7/20/11 Sec. 36 -253. MacArthur Boulevard. The speed limits (in miles per hour) for the following portion of MacArthur Boulevard are as follows: Between the West City Limit (WCL) at Harbor Boulevard and Fairview Street 40 Between Fairview Street and Main Street 40 Between Main Street and the East City Limit (ECL) at SR 55 40 Sec. 36 -254. Main Place Drive. follows: The speed limit (in miles per hour) for the following portions of Main Place Drive is as Between Main Street/Memory Lane and Broadway 35 Between Broadway and Main Street/Town & Country Road 35 Sec. 36 -255. Main Street. follows: The speed limits (in miles per hour) for the following portions of Main Street are as Between the North City Limit (NCL) at SR 22 and Seventeenth Street 35 Between Seventeenth Street and First Street 35 Between First Street and Chestnut Avenue 35 Between Chestnut Avenue and Edinger Avenue 35 Between Edinger Avenue and Warner Avenue 35 Between Warner Avenue and Goetz Avenue 45 Between Goetz Avenue and MacArthur Boulevard 45 Between MacArthur Boulevard and Sunflower Avenue 45 Sec. 36 -256. McFadden Avenue. The speed limits (in miles per hour) for the following portions of McFadden Avenue are as follows: Between the Sail Street/West City Limit (WCL) and Euclid Street 45 Between Euclid Street and Newhope Street 45 Between Newhope Street and Harbor Boulevard 45 Between Harbor Boulevard and Fairview Street 40 Between Fairview Street and Raitt Street 35 Between Raitt Street and Bristol Street 35 Between Bristol Street and Flower Street 30 Between Flower Street and Main Street 35 Between Main Street and Standard Avenue 35 Between Standard Avenue and Grand Avenue 35 Between Grand Avenue and the East City Limit (ECL) 35 Iss7/20/11 Sec. 36 -257. Memory Lane. follows: The speed limits (in miles per hour) for the following portions of Memory Lane are as Between Santa Ana River/West City Limit (WCL) and Bristol Street 40 Between Bristol Street and Flower Street 35 Between Main Street and the North City Limit (NCL)/ Parker Street 35 Sec. 36 -258. Newhope Street. follows: The speed limits (in miles per hour) for the following portion of Newhope Street are as Between Westminster Avenue and First Street 40 Between First Street and Edinger Avenue 35 Sec. 36 -259. Pullman Street. follows: The speed limits (in miles per hour) for the following portion of Pullman Street are as Between Warner Avenue and Dyer Road 40 Between Dyer Road and Garry Avenue 40 Sec. 36 -260. Raitt Street. follows: The speed limits (in miles per hour) for the following portions of Raitt Street are as Between First Street and Willits Street 30 Between Willits Street and McFadden Avenue 35 Between McFadden Avenue and Edinger Avenue 40 Between Edinger Avenue and Saint Gertrude Place 40 Between Saint Gertrude Place and Warner Avenue 40 Between Warner Avenue and Segerstrom Avenue 40 Between Segerstrom Avenue and Alton Avenue 40 Between MacArthur Boulevard and Sunflower Avenue 35 Sec. 36 -261. Ritchey Street. follows: The speed limits (in miles per hour) for the following portions of Ritchey Street are as Between McFadden Avenue and Edinger Avenue 45 Between Edinger Avenue and Wright Street 45 Iss7/20/11 Sec. 36 -262. Santa Ana Boulevard. The speed limits (in miles per hour) for the following portions of Santa Ana Boulevard are as follows: Between Raitt Street and Bristol Street 35 Between Bristol Street and Flower Street 35 Between Flower Street and Ross Street 35 Between Ross Street and French Street 30 Between French Street and Santiago Street 35 Between Santiago Street and Grand Avenue 35 Sec. 36 -263. Santa Clara Avenue. The speed limits (in miles per hour) for the following portions of Santa Clara Avenue are as follows: Between Lincoln Avenue and Grand Avenue 35 Between Grand Avenue and Wright Street 40 Between Wright Street and Tustin Avenue 40 Between Tustin Avenue and East City Limit (ECL) /Route 55 40 Sec. 36 -264. Segerstrom Avenue. The speed limits (in miles per hour) for the following portions of Segerstrom Avenue are as follows: Between Santa Ana River/West City Limit (WCL) and Spruce Street 40 Between Spruce Street and Flower Street/Dyer Road 40 Sec. 36 -265. Seventeenth Street. The speed limits (in miles per hour) for the following portions of Seventeenth Street are as follows: Between Fairview Street and West City Limit 40 Between Fairview Street and Bristol Street 40 Between Bristol Street and Flower Street 40 Between Flower Street and Main Street 40 Between Main Street and Wright /Eastside Street 40 Between Wright/Eastside Street and East City Limit (ECL) 40 5OA -11 Iss7/20/11 Sec. 36 -266. Standard Avenue. follows: The speed limits (in miles per hour) for the following portions of Standard Avenue are as Between First Street and Chestnut Avenue 30 Between Chestnut Avenue and McFadden Avenue 30 Between McFadden Avenue and Edinger Avenue 30 Between Edinger Avenue and Warner Avenue 35 Sec. 36 -267. Susan Street. follows: The speed limits (in miles per hour) for the following portions of Susan Street are as Between Harvard Street and Pendleton Avenue 35 Between Warner Avenue and MacArthur Boulevard 35 Between MacArthur Boulevard and Sunflower Avenue 35 Sec. 36 -268. Third Street. The speed limit (in miles per hour) for the following portions of Third Street is as follows: Between Lacy Street and Spurgeon Street 30 Sec. 36 -269. Tustin Avenue. follows: The speed limits (in miles per hour) for the following portions of Tustin Avenue are as Between North City Limit (NCL) /Fairhaven Avenue and Twentieth Street 40 Between Seventeenth Street and Fruit Street 40 Between Fruit Street and the South City Limit (SCL) north of First Street 40 Sec. 36 -270. Warner Avenue. follows: The speed limits (in miles per hour) for the following portions of Warner Avenue are as Between the West City Limit (WCL) /Santa Ana River west of Harbor Boulevard and Fairview Street 45 Between Fairview Street and Raitt Street 45 Between Raitt Street and Bristol Street 45 Between Bristol Street and Flower Street 40 Between Flower Street and Main Street 40 Between Main Street and Grand Avenue 40 Between Grand Avenue and the Route 55 Freeway 45 Between the Route 55 Freeway and Red Hill Avenue 45 yTITOK_L Iss7/20/11 Sec. 36 -271. Westminster Avenue Between Euclid Street and Newhope Street 45 Between Newhope Street and Clinton Street 45 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 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 affecting any of the provisions of such ordinance relating to the collection of any such license or penalty or the penal provision applicable to any violation thereof, nor to affect the validity of any bond or cash deposit in lieu thereof, required to be posted, filed or deposited pursuant to any ordinance and all rights and obligations thereunder appertaining shall continue in full force and effect. ADOPTED this day of August, 2011. APPROVED AS TO FORM: Joseph Straka, City Attorney By: Laura Sheedy Assistant City Attorney AYES: NOES: Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor "All, E�? Iss7/20/11 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2011 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana 5OA -14 1�1 Vl 1�1 �IJJ rT^�^ Vl N Lai 5OA -15 a _T `0 0 �o o � O � 3 sa y Z E � x i_ i � v 'C L 3 az N v v � 7 O t6 O N1 p v v v c� c c c c a y o a c c aai c c c bb ocu m cu oo m p R R ctl R A R C C C C .b C O O O O O O O QU N y O L L 0D U U .C. 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