HomeMy WebLinkAbout FULL PACKET_2012-02-06MINUTES OF THE REGULAR MEETING
OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA, CALIFORNIA
JANUARY 17, 2012
CLOSED SESSION MEETING
CALLED TO ORDER
ATTENDANCE
PUBLIC COMMENTS - None
COUNCIL CHAMBER
22 CIVIC CENTER PLAZA
SANTA ANA, CA
5:08 P.M.
COUNCILMEMBERS Present:
MIGUEL PULIDO, Mayor
CLAUDIA C. ALVAREZ, Mayor Pro Tern (5:15
P.M.)
P. DAVID BENAVIDES
CARLOS BUSTAMANTE
MICHELE MARTINEZ (6:07 p.m.)
VINCENT F. SARMIENTO
SAL TINAJERO
COUNCILMEMBERS Absent:
None
STAFF Present:
PAUL M. WALTERS, Interim City Manager
JOSEPH STRAKA, Interim City Attorney
MARIA D. HUIZAR, Clerk of the Council
COUNCIL RECESSED to Room 147 for Closed Session discussion.
CLOSED SESSION ITEMS
1A CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION
pursuant to Government Code Section 54956.9(a)
Steve Critchfield vs City of Santa Ana, WCAB Case # ADJ7257253
Andres Junior Ramirez, et al. v. City of Santa Ana, Orange County
Superior Court Case No. 30- 2011 - 00446307
CITY COUNCIL MINUTES 1 JANUARY 17, 2012
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1B CONFERENCE WITH LEGAL COUNSEL -- ANTICIPATED LITIGATION
pursuant to Government Code Section 54956.9(b) – One matter
1C CONFERENCE WITH LEGAL COUNSEL — INITIATION OF LITIGATION
pursuant to Government Code Section 54956.9(c) – One Matter
1 D CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government
Code Section 54957.6
Agency Negotiators: Personnel Services Executive Director, Ed
Raya
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 E PUBLIC EMPLOYEE EMPLOYMENT AND APPOINTMENT pursuant to
Government Code Section 54957(b)(1)
Title: City Attorney
CLOSED SESSION REPORT – See Item 19A. for Report.
ADJOURNED THE CLOSED SESSION MEETING AT 6:24 P.M. AND CONVENED TO
THE REGULAR OPEN MEETING
CITY COUNCIL MINUTES 2
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JANUARY 17, 2012
REGULAR OPEN SESSION
CALLED TO ORDER COUNCIL CHAMBER
22 CIVIC CENTER PLAZA
SANTA ANA, CA
6:29 P.M.
ATTENDANCE COUNCILMEMBERS Present:
MIGUEL PULIDO, Mayor
CLAUDIA C. ALVAREZ, Mayor Pro Tern
P. DAVID BENAVIDES
CARLOS BUSTAMANTE
MICHELE MARTINEZ
VINCENT F. SARMIENTO
SAL TINAJERO
PLEDGE OF ALLEGIANCE
INVOCATION
COUNCILMEMBERS Absent:
None
STAFF Present:
PAUL M. WALTERS, Interim City Manager
JOSEPH STRAKA, Interim City Attorney
MARIA D. HUIZAR, Clerk of the Council
MAYOR PULIDO
Roger Aragon, Police Chaplain
CLOSED SESSION REPORT — See Item 19A for report.
AGENDA ITEM NOS. 11A AND 50A TAKEN OUT OF ORDER
ORDINANCES /SECOND READING
In the event a Councilmember recorded an "abstention" before consideration of the
following ordinance(s) on first reading, such abstention will also be reflected in the
minutes for second reading.
11A SECOND READING ORDINANCE - CONSIDER CHANGING NEW CITY
COUNCIL WARD BOUNDARY LINES - Clerk of the Council Office
Placed on first reading at the December 19, 2011 City Council meeting
and approved by a vote of 6 -0 (Bustamante absent).
Published in the Orange County Register on January 6, 2012.
CITY COUNCIL MINUTES 3
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JANUARY 17, 2012
Speakers:
Connie Hamilton, asked that the City Council consider the alternative
map submitted by Thomas Gordon; would like to see less
neighborhood associations with dual City Council representatives.
Thomas Gordon, submitted alternative map for Council consideration;
attached to the agenda report; seek compromise and asked the City
Council to continue to work on boundary lines - maintain population
equity and keep neighborhood associations boundaries together.
Councilmember Tinajero noted that City Charter requires equal population
distribution and Ad Hoc Committee accomplished goal; also neighborhood
associations in more than one ward have more representatives they can
reach out to; urged City Council to approve proposed ward map. Mayor
Pro Tern Alvarez thanked staff and committee members for efforts, and
support proposed boundaries.
MOTION: Place ordinance on second reading and adopt.
ORDINANCE NO. NS -2826 - AN ORDINANCE OF THE CITY OF SANTA
ANA CHANGING AND ESTABLISHING THE BOUNDARY LINES OF
THE WARDS OF THE CITY OF SANTA ANA, CALIFORNIA
MOTION: Tinajero
VOTE: AYES
SECOND: Alvarez
Alvarez, Benavides, Bustamante, Martinez,
Pulido, Sarmiento, Tinajero (7)
NOES:
None (0)
ABSTAIN:
None (0)
ABSENT:
None (0)
ORDINANCES /FIRST READING
50A ORDINANCE AMENDING CHAPTERS 18 AND 31 OF THE SANTA ANA
MUNICIPAL CODE PROHIBITING SMOKING IN CITY PARKS - Parks,
Recreation & Community Services Agency
Speakers:
• Claire Braeburn, America On Track, supports a "No Smoking"
ordinance in public parks; concerned with 2nd hand smoking; noted that
Orange County has less than 10% of population that smoke;
introduced group of teenagers that surveyed community and collected
cigarette butts and cigarette related litter.
• Jim Walker, supports ordinance; proposed ordinance builds a healthy
community and protects our children -
CITY COUNCIL MINUTES 4
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JANUARY 17, 2012
• Nayeli Diaz, supports ordinance; alarmed with statistics of second
hand smoking.
• Alejandro Mendoza, supports ordinance; concerned with second hand
smoking and influence on young children
Councilmember Tinajero thanked speakers; supports ban on smoking in
public parks; change not easy. Councilmember Martinez thanked
"America On Track" and volunteer students for efforts on this project; air
quality important to all. Councilmember Benavides thanked all and Mike
Walker for leadership on this issue. Councilmember Sarmiento would like
to send message to the community that smoking not allowed in public
parks.
MOTION:
1. Place ordinance on first reading and authorize publication of title.
ORDINANCE NO. NS -2827 - AN ORDINANCE OF THE CITY
COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 18
AND CHAPTER 31 OF THE SANTA ANA MUNICIPAL CODE
RELATING TO PROHIBITING SMOKING IN CITY PARKS
2. Approve and adopt the Categorical Exemption for Environmental
Review No. 2011 -25.
MOTION: Benavides
VOTE:
AYES:
NOES:
ABSTAIN:
ABSENT:
SECOND: Sarmiento
Alvarez, Benavides, Bustamante, Martinez,
Pulido, Sarmiento, Tinajero (7)
None (0)
None (0)
None (0)
THE CITY COUNCIL MEETING RECESSED AT 7:07 P.M. TO THE COMMUNITY
REDEVELOPMENT AGENCY. MAYOR PULIDO READ THE FOLLOWING
STATEMENT FOR THE RECORD, "AS REQUIRED BY GOVERNMENT CODE
SECTION 54952.3, WE HEREBY NOTIFY THE PUBLIC THAT THE COMMUNITY
REDEVELOPMENT AGENCY MEMBERS OF THE CITY OF SANTA ANA WILL
RECEIVE $150.00 FOR SAID MEETING."
THE COMMUNITY REDEVELOPMENT AGENCY MEETING FOLLOWED BY THE
SANTA ANA HOUSING AUTHORITY MEETING; THE CITY COUNCIL MEETING
RECONVENED AT 7:08 P.M. WITH SAME MEMBERS PRESENT.
CITY COUNCIL MINUTES 5 JANUARY 17, 2012
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*Mayor Pulido left the meeting at 7:10 p.m. and did not return. Mayor Pro Tern
Alvarez assumed the Chair and presided over the meeting.
PUBLIC COMMENT
• Dulce Saavedra, concerned with fast food establishments; would like to have more
farmer's markets and healthy alternatives.
• Robin Cook, commented on Agenda Item 20A; supports action.
• Jason Nguyen, resident of Fisher Park Neighborhood Association and member of
Save Santiago Creek Alliance; supports bike trail, but at alternative site and not
through a natural creek.
• Ronald Salem, community liaison of Save Santiago Creek Alliance, has over 160
members; concerned with threat of eminent domain and misinformation on the
proposed bike trail project.
• Bryan Kaye, resident of the City of Orange; concerned with destruction of natural
setting of creek if bike trail approved; opined that homeless problem would be
exacerbated
• Chris Lancaster, resident of Casa de Santiago neighborhood, concerned with legal
and maintenance problem if bike trail built along creek.
• Margaret Ospina, concerned with graffiti, maintenance and safety of residents along
creek if bike trail built.
• Jennifer Faiz, volunteer member of the Santa Ana Historical Society and Save
Santiago Creek Alliance, noted that flood path would be changed if bike trail built
along natural creek.
• Dennis Carbajal, commented on outsourcing of the Santa Ana Fire Department;
concerned that business insurance rates would be increased with County standards
rather that City; also, noted that other budget saving alternatives were outlined in the
Management Partners report.
• John Raya, TKO Boxing, commented that Alexis Rocha was recently highlighted in
article in the OC Register; will be competing in Kansas City as well as Ronnie Rios
in Golden City on same day.
• George Collins, inquired on obligation to repay the City's Redevelopment Agency's
loan to the general fund in the amount of $400 million.
• Brad Torgan, representing the Silverstein Law Firm, commented on Agenda Item
55A, asked to meet with the City Council on the matter.
• Thomas Gordon, invited all to attend upcoming Graffiti Paint -Out event that will be
held on January 28, 2012 at Memorial Park; and opined that expenses incurred for
recent event should be refunded to the City.
CONSENT CALENDAR ITEMS
MOTION: Approve Consent Calendar Items 10A through 31A with the
following modifications:
• Mayor Pro Tern Alvarez recorded a "No" on Item 19C; and
• Councilmember Benavides voted "No" on Item 31A.
CITY COUNCIL MINUTES 6 JANUARY 17, 2012
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MOTION: Tinajero SECOND: Sarmiento
VOTE: AYES: Alvarez, Benavides, Bustamante, Martinez, Sarmiento,
Tinajero (6)
NOES: None (0)
ABSTAIN: None (0)
ABSENT: Pulido (1)
ADMINISTRATIVE MATTERS
MINUTES
10A MINUTES OF THE REGULAR MEETING OF DECEMBER 19, 2011 -
Clerk of the Council Office
MOTION: Approve Minutes.
10B MINUTES OF THE SPECIAL MEETING OF JANUARY 9, 2012 - Clerk of
the Council Office
MOTION: Approve Minutes.
ORDINANCES /SECOND READING
11A TAKEN OUT OF ORDER
MISCELLANEOUS ADMINISTRATION
19A CLOSED SESSION REPORT — City Attorney's Office
MOTION: Approve.
1. Authority to commence Unlawful Detainer Action against
holdover tenants located at 510 N. Bristol Street, Santa Ana
(Bristol Street Widening Project).
CITY COUNCIL MINUTES 7 JANUARY 17, 2012
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2. Approve a Compromise and Release Agreement in the matter of
Steve Critchfield vs City of Santa Ana, WCAB Case # ADJ7257253
in the amount of $49,165.79, less permanent disability advances
of $30,397.86 for a balance of $18,767.93; plus future medical care
expenses.
19B EXCUSED ABSENCES — None
19C DESTRUCTION OF OBSOLETE CITY RECORDS - Community
Development Agency
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 Tern Alvarez voted "No" on item 19C.
BUDGETARY MATTERS
APPROPRIATION ADJUSTMENTS
20A ASPHALT WALKWAY IMPROVEMENTS AT THE SANTA ANA ZOO
(GRANT FUNDED) - Parks, Recreation & Community Services Agency
MOTION:
Authorize the City Manager and Clerk of the Council to execute a
funding agreement, subject to non - substantive changes approved
by the City Manager and City Attorney.
AGMT NO. 2012 -001 - With the Friends of Santa Ana Zoo for the
renovation of asphalt walkways at the Santa Ana Zoo at Prentice Park
in amount not to exceed $75,000
2. Approve an appropriation adjustment. (Requires five affirmative
votes)
APPROPRIATION ADJUSTMENT NO. 2012 -110 - Approve an
appropriation adjustment to recognize $75,000 in the Recreation
Special Fee and Donations - FOSAZ Revenues account and
appropriate same to the Contract Services account.
CITY COUNCIL MINUTES 8 JANUARY 17, 2012
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20B COUNTY OF ORANGE SOCIAL SERVICES AGENCY VOCATIONAL
TRAINING AND WORK EXPERIENCE PROGRAM - Community
Development Agency
MOTION:
1. Approve an appropriation adjustment. (Requires five affirmative
votes)
APPROPRIATION ADJUSTMENT NO. 2012 -112 - Approve an
appropriation adjustment recognizing $800,000 awarded to the City of
Santa Ana, Santa Ana WORK Center by the County of Orange Social
Services Agency for vocational training and work experience activities.
2. Authorize the City Manager and Clerk of the Council to execute an
agreement, subject to non - substantive changes approved by the
City Manager and City Attorney.
AGMT NO. 2012 -002 - With the County of Orange Social Services
Agency effective March 7, 2012 through June 30, 2013.
SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES
MOTION: Award in accordance with Request for Council Action.
(Items 22A through 22F)
22A SPEC. NO. 11 -069 - RE- ROOFING PARK CENTER —Award a contract to
Cook Coatings, Inc. in an amount not to exceed $41,790 (Parks,
Recreation & Community Services Agency) - Finance & Management
Services
22B SPEC. NO. 12 -002 - REPLACEMENT POLICE PATROL SEDANS —
Award a contract to Wondries Fleet Group, under the Cooperative
Purchase Provision of the County of Los Angeles, in an amount of
$333,221 (Police Department) - Finance & Management Services
22C SPEC. NO. 11 -072 — COMMVAULT DATA BACKUP AND RECOVERY
SOFTWARE PREMIER SUPPORT AND MAINTENANCE RENEWAL -
Award a contract to NTH Generation Computing, Inc. an amount not to
exceed $60,000 - Finance & Management Services
22D SPEC. NO. 11 -074 - POLICE MOTORCYCLE REPAIR - Award a contract
to Seavco d /b /a Iry Seaver Motorcycles for a two -year period, with
CITY COUNCIL MINUTES 9 JANUARY 17, 2012
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provision for two, one -year renewals in an annual aggregate amount not to
exceed $150,000 - Finance & Management Services
22E SPEC. NO. 12 -003 - FIT TEST MACHINES - Award a contract to Mallory
Safety & Supply Company in an amount not to exceed $423,000, Urban
Areas Security Initiative (UASI) funded (Police Department) - Finance &
Management Services
22F SPEC. NO. 12 -004 - PORTABLE RADIATION DETECTORS - Award a
contract to Mallory Safety & Supply Company in an amount not to exceed
$103,000, Urban Areas Security Initiative (UASI) funded (Police
Department) - Finance & Management Services
PROJECTS /CHANGE ORDERS
23A CONTINGENCY INCREASE FOR FIRST STREET BRIDGE
REPLACEMENT OVER THE SANTA ANA RIVER (PROJECT NO.
061723) - Public Works Agency
MOTION: Increase the contingency for the contract with Powell
Constructors, Inc., for the construction of the First Street bridge
replacement over the Santa Ana River by $602,605 to a total
estimated contract amount of $7,815,000, and authorize the City
Manager to execute change orders in an amount not to exceed the
authorized contingency.
AGREEMENTS
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. (Item 25A
through 25H)
25A AGMT NO. 2012 -003 - CABLE EQUIPMENT MAINTENANCE AND
VIDEO PRODUCTION SERVICES - Execute an amendment with Video
Engineering Services for one year in an annual amount not to exceed
$57,915 - Parks, Recreation & Community Services Agency
25B AGMT NO. 2012 -004 - CALIFORNIA GREEN BUILDING CODE AND
LEADERSHIP IN ENERGY AND ENVIRONMENTAL DESIGN (LEED)
TRAINING (GRANT FUNDED) - With GreenStep Education in an amount
not to exceed $55,180 and authorize the City Manager to execute an
CITY COUNCIL MINUTES 10 JANUARY 17, 2012
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amendment to extend said agreement should the grant period be
extended. - Public Works Agency
25C PURCHASE AGREEMENTS FOR BRISTOL STREET CORRIDOR
(PROJECT NO. 081700) - Public Works Agency
1. AGMT NO. 2012 -005 — With Cynthia Castillo, Maximino Castillo and
Raquel Madrigal Castillo for the purchase of a portion of the property
located at 1309 West Seventh Street in the amount of $1,105;
2. AGMT NO. 2012 -006 — With Maria L. Reyes for the purchase of a
portion of the property located at 1312 West Seventh Street in the
amount of $2,500.
25D AGMT NO. 2012 -007 - ENERGY CONSULTING SERVICES - With
Edward K. Aghjayan in an amount not to exceed $35,000 - Public Works
Agency
25E AGMT NO. 2012 -008 - DETENTION FACILITY FOOD AND
COMMISSARY SERVICE - With Aramark Correctional Services in an
annual amount not to exceed $1,271,900 - Police Department
25F AGMT NO. 2012 -009 - JANITORIAL MAINTENANCE SERVICES -
Execute an amendment with Able Building Maintenance Company in an
annual not to exceed amount of $370,000 - Police Department
25G AGMT NO. 2012 -010 - IMMEDIATE ACTION TEAM COURSE TRAINING
TO FIRST RESPONDERS (UASI FUNDED) - With Government Training
Institute, Inc., in an amount not to exceed $600,000 - Police Department
25H PARK LANDSCAPE MAINTENANCE SERVICES - Parks, Recreation &
Community Services Agency
1. Accept termination notice from Pinnacle Landscape effective January
13, 2013.
2. Authorize the City Manager and Clerk of the Council to execute the
attached agreement, subject to non - substantive changes approved by
the City Manager and City Attorney.
AGMT NO. 2012 -011 - Execute an amendment with Master Landscape
& Maintenance, Inc. to provide park landscape maintenance services
CITY COUNCIL MINUTES 11 JANUARY 17, 2012
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in District 3 for a six -month period in an amount of $225,144, for a total
agreement amount not to exceed $494,200.
3. Authorize the Parks, Recreation and Community Services Agency to
issue a Request for Proposals (RFP) to qualified companies to provide
landscape maintenance services.
LAND USE MATTERS
CONDITIONAL USE PERMIT/VARIANCES
31A CONDITIONAL USE PERMIT NO. 2011 -24 TO ALLOW A NEW
MCDONALDS RESTAURANT WITH DRIVE THROUGH WINDOW
SERVICE AT 1100 SOUTH GRAND AVENUE — BICKEL UNDERWOOD,
APPLICANT - Planning and Building Agency
Recommended action approved by the Planning Commission on
December 12, 2011, by a vote of 6 -0 (Nalle absent).
MOTION: Receive and file the staff report approving Conditional Use
Permit No. 2011 -24 as conditioned.
*Councilmember Benavides voted "No" on item 31A.
* *END OF CONSENT CALENDAR **
BUSINESS CALENDAR ITEMS
ORDINANCES /FIRST READING
50A TAKEN OUT OF ORDER
RESOLUTIONS
55A RESOLUTION CERTIFYING EIR FOR SAN LORENZO SEWER LIFT
STATION AND APPROVAL OF SAN LORENZO SEWER LIFT STATION
PROJECT - Public Works Agency
MOTION: Continue consideration of matter to the February 6, 2012
City Council Meeting at the request of staff.
MOTION: Alvarez SECOND: Bustamante
CITY COUNCIL MINUTES 12 JANUARY 17, 2012
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M.
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VOTE: AYES: Alvarez, Benavides, Bustamante, Martinez,
Sarmiento, Tinajero (6)
NOES: None (0)
ABSTAIN: None (0)
ABSENT: Pulido (1)
COMMENTS
CITY MANAGER'S COMMENTS - None
CITY COUNCILMEMBER COMMENTS
Councilmember Tinajero:
• Thanked all speakers that help create a better community; and
• Little Leagues holding try-outs through February; encouraged
donations to help offset costs and offer scholarships.
Councilmember Benavides:
• Thanked all speakers for participating in democratic process; City
making strides to have a healthy community; City's goal is to balance
health and business opportunities.
• Commented on neighborhood associations and dual City Council
representatives, encouraged all to continue to be involved; City's
neighborhood improvement program at risk due to state and federal
funding shortages.
Councilmember Bustamante:
• Thanked all speakers on Santiago Creek matter; will be holding a
meeting for all stakeholders to attend.
Councilmember Martinez:
• Commented on Agenda Item 31A — noted that City has to strike
balance when it comes to business opportunities and offering healthy
alternatives for residents;
• Encouraged all to support TKO Boxing and commit to fundraising;
• Invited all to participate in upcoming Graffiti Paint -Out and requested
support from local businesses;
• Met with various members on the proposed Santiago Creek Bike Trail;
City will be reviewing the Circulation Element and invited all to
participate in the process;
• Redevelopment Agency defunct effective February 1, 2012;
• Wished all a Happy New Year; and
CITY COUNCIL MINUTES 13 JANUARY 17, 2012
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• Martin Luther King Jr. Day celebrated on January 16, 2012, will be
recognizing Black History Month at next City Council meeting.
Councilmember Sarmiento:
• Thanked the OC Register for recent article on reduced crime rate;
thanked staff and residents for efforts; noted that State's decision to
release inmates may affect crime rates; and
• Recognized Rene Guzman who is a recipient of the Bronze Service
Award for volunteerism given to him by the President of the United
States.
Mayor Pro Tern Alvarez:
• Thanked Thomas Gordon for organizing the Graffiti Paint -Out event;
• Will be attending the Vietnamese Parade on January 28, 2012;
• Encouraged all to read article in "Forbes Magazine" on the City of
Santa Ana's low crime rate report and article by OC Register on same
subject;
• Various health issues were considered at tonight's City Council
meeting and will continue to be an important subject matter;
• Asked the City Manager to schedule a meeting with the neighborhood
associations involved in the Santiago Creek matter;
• Adjourned in memory of Santa Ana Police Corporal Jim Geist.
Adjourn In Memory of
Police Corporal James "Jim" F. Geist
ADJOURNED 7:59 p.m. - The next meeting of the City Council is scheduled for
Monday, February 06, 2012 at 5:00 p.m. for the Closed Session
Meeting immediately followed by the Regular Open Business
Meeting at 6:00 p.m. in the Council Chamber, 22 Civic Center
Plaza, Santa Ana, California..
Maria D. Huizar,
Clerk of the Council
CITY COUNCIL MINUTES 14 JANUARY 17, 2012
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MINUTES OF THE SPECIAL MEETING
OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA, CALIFORNIA
JANUARY 24, 2012
CALLED TO ORDER COUNCIL CHAMBER
22 CIVIC CENTER PLAZA
SANTA ANA, CA
12:20 P.M.
ATTENDANCE COUNCILMEMBERS Present:
CLAUDIA C. ALVAREZ, Mayor Pro Tern
P. DAVID BENAVIDES
CARLOS BUSTAMANTE
VINCENT F. SARMIENTO
SAL TINAJERO *
COUNCILMEMBERS Absent:
MIGUEL PULIDO, Mayor
MICHELE MARTINEZ
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 MEETING
*Councilmember Tinajero teleconferenced from Fullerton Union High School, 201 E. Chapman Ave.,
Fullerton, CA 92832. Agenda for meeting was posted at facility, as required by the Govt. Code
CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters
without members of the public present. The City Council finds, based on advice from the City Attorney,
that discussion in open session of the following matters will prejudice the position of the City in existing
and anticipated litigation:
1A CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government
Code Section 54957.6
Agency Negotiators: Personnel Services Executive Director, Ed
Raya
CITY COUNCIL MINUTES
1 0B -1
JANUARY 24, 2012
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)
1B PUBLIC EMPLOYEE EMPLOYMENT AND APPOINTMENT pursuant to
Government Code Section 54957(b)(1)
Title: City Attorney
CLOSED SESSION REPORT — Nothing to report.
ADJOURNED - 12:40 p.m.
Maria D. Huizar,
Clerk of the Council
CITY COUNCIL MINUTES 2 JANUARY 24, 2012
MINUTES OF THE SPECIAL MEETING
OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA, CALIFORNIA
JANUARY 30, 2012
CALLED TO ORDER COUNCIL CHAMBER
22 CIVIC CENTER PLAZA
SANTA ANA, CA
5:44 P.M.
ATTENDANCE COUNCILMEMBERS Present:
MIGUEL PULIDO, Mayor
CLAUDIA C. ALVAREZ, Mayor Pro Tern
P. DAVID BENAVIDES
CARLOS BUSTAMANTE
MICHELE MARTINEZ
VINCENT F. SARMIENTO
SAL TINAJERO
COUNCILMEMBERS Absent:
None
STAFF Present:
PAUL M. WALTERS, Interim City Manager
JOSEPH STRAKA, Interim City Attorney
MARIA D. HUIZAR, Clerk of the Council
PUBLIC COMMENTS - None
CONSENT CALENDAR ITEMS
MOTION: Approve Consent Calendar Items 19A through 29A.
MOTION: Bustamante
VOTE: AYES:
NOES:
ABSTAIN:
ABSENT:
SECOND: Sarmiento
Alvarez, Bustamante,
Tinajero (6)
None (0)
None (0)
Benavides (1)
Martinez, Pulido, Sarmiento,
CITY COUNCIL MINUTES 1 JANUARY 30, 2012
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ADMINISTRATIVE MATTERS
MISCELLANEOUS ADMINISTRATION
19A CLOSED SESSION REPORT - None
19B EXCUSED ABSENCES - None
BUDGETARY MATTERS
MISCELLANEOUS - BUDGET
29A DEMAND PAYMENT FROM THE REDEVELOPMENT AGENCY IN THE
AMOUNT OF $956,173.73 FOR NEXUS PERMIT FEE DEFERRAL -
Planning and Building Agency
MOTION: Demand payment from the Community Redevelopment
Agency to the City of Santa Ana for deferred fees in the amount of
$956,173.73 for the Nexus project, pursuant to Section 2 -618 of City
of Santa Ana Municipal Code.
* *END OF CONSENT CALENDAR **
REGULAR BUSINESS ITEM
RESOLUTION
55A RESOLUTION AUTHORIZING THE CITY OF SANTA ANA AS
SUCCESSOR AGENCY FOR THE FORMER COMMUNITY
REDEVELOPMENT AGENCY TO INVEST IN THE LOCAL AGENCY
INVESTMENT FUND - Finance and Management Services
MOTION: Adopt a resolution.
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA
AS THE SUCCESSOR AGENCY FOR THE FORMER COMMUNITY
REDEVELOPMENT AGENCY OF THE CITY OF SANTA ANA
AUTHORIZING THE CITY TREASURER TO REMIT AND MANAGE
FUNDS WITH THE STATE TREASURERS LOCAL AGENCY
INVESTMENT FUND FOR THE PURPOSE OF INVESTMENT OF THE
FORMER AGENCY FUNDS
CITY COUNCIL MINUTES 2 JANUARY 30, 2012
1 0C -2
MOTION: Sarmiento
VOTE: AYES:
NOES:
ABSTAIN:
ABSENT:
SECOND: Bustamante
Alvarez, Bustamante,
Sarmiento, Tinajero (6)
None (0)
None (0)
Benavides (1)
*Councilmember Benavides joined the meeting at 5:45 p.m.
Martinez, Pulido,
THE CITY COUNCIL MEETING RECESSED AT 5:45 P.M. TO THE COMMUNITY
REDEVELOPMENT AGENCY. MAYOR PULIDO READ THE FOLLOWING
STATEMENT FOR THE RECORD, "AS REQUIRED BY GOVERNMENT CODE
SECTION 54952.3, WE HEREBY NOTIFY THE PUBLIC THAT THE COMMUNITY
REDEVELOPMENT AGENCY MEMBERS OF THE CITY OF SANTA ANA WILL
RECEIVE $150.00 FOR SAID MEETING."
THE COMMUNITY REDEVELOPMENT AGENCY MEETING AND RECONVENED AT
5:46 P.M. WITH SAME MEMBERS PRESENT.
COMMENTS
90A CITY MANAGER'S COMMENTS - None
90B COUNCILMEMBER COMMENTS - None
COUNCIL RECESSED to Room 147 for Closed Session discussion.
CLOSED SESSION MEETING
The Brown Act permits legislative bodies to discuss certain matters without members of
the public present. The City Council finds, based on advice from the City Attorney, that
discussion in open session of the following matters will prejudice the position of the City
in existing and anticipated litigation:
CITY COUNCIL MINUTES 3
1 0C -3
JANUARY 30, 2012
Community Redevelopment Agency Item:
1 CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to
Government Code Section 54956.8.
Property: ±2.7 acres of Agency -owned land on the south side of Garden
Grove Blvd immediately west of the Santa Ana River -1600 Memory Lane,
Santa Ana.
Agency negotiator: Nancy Edwards, Interim Agency Executive Director
Party with whom negotiating: VISTA DEL RIO HOUSING PARTNERS,
L.P., a California limited partnership
Under negotiation: Terms of Transfer of Property
CLOSED SESSION REPORT — Nothing to report.
ADJOURNED- 5:57 p.m. The next meeting will be a Regular meeting scheduled for
Monday, February 6, 2012 at 5:00 p.m. for the Closed Session
Meeting immediately followed by the Regular Open Business
Meeting at 6:00 p.m. in the Council Chamber, 22 Civic Center
Plaza, Santa Ana, California.
Maria D. Huizar,
Clerk of the Council
CITY COUNCIL MINUTES 4 JANUARY 30, 2012
1 0C -4
Iss:1/31/12
ORDINANCE NO. NS -XXX
AN ORDINANCE OF THE CITY COUNCIL OF THE
CITY OF SANTA ANA AMENDING CHAPTER 18
AND CHAPTER 31 OF THE SANTA ANA
MUNICIPAL CODE RELATING TO PROHIBITING
SMOKING IN CITY PARKS
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. This Ordinance is necessary to protect the public health and
welfare from the harmful health effects associated with secondhand
smoke by regulating smoking in public parks.
B. Studies have shown that breathing secondhand tobacco smoke is a
significant health hazard for several populations, including children,
elderly people, individuals with cardiovascular disease, individuals
with impaired respiratory function, asthmatics, and those with
obstructive airway disease.
C. The Surgeon General of the United States found in a 1986 report
that secondhand tobacco smoke is a cause of lung disease,
including lung cancer, in healthy nonsmokers. The Surgeon
General further found that the simple separation of smokers and
nonsmokers within the same air space may reduce, but does not
eliminate, the exposure of nonsmokers to secondhand tobacco
smoke.
D. Nonsmokers with allergies, respiratory disease, and those who
suffer other ill effects of breathing secondhand smoke may
experience a loss of job productivity or may be forced to take
periodic sick leave because of reactions to secondhand tobacco
smoke.
E. The Environmental Protection Agency (EPA) has designated
secondhand smoke as a Class A carcinogen and a significant
cause of respiratory problems in children.
11 A -1
Section 2: Santa Ana Municipal Code Chapter 18, Article Il, Division 1 is
hereby amended to read in full as follows (new language in bold, deleted language
in strikeout, for tracking purposes only):
ARTICLE II.
PUBLIC SMOKING REGULATIONS
DIVISION 1.
CITY BUILDINGS AND PARKS
Sec. 18 -39. Definitions.
(1) City building means a building, or portion of a building, owned,
leased or otherwise occupied by the city.
(2) Park means any public park or recreation or playground area,
including Class I Bike Trails and paseos, or building or facility thereon within the
City of Santa Ana, owned and maintained by the city as a public park or
recreation or playground area, whether or not such areas have been formally
dedicated to such purpose.
(3) Smoke or smoking as used in this Article II shall include the
carrying, holding, possession or smoking of a lighted pipe or cigar or cigarette of
any kind, or the lighting of a pipe, cigar or cigarette of any kind.
(4) Stadium means the Eddie West Field -Santa Ana Stadium.
(5) Zoo means the Santa Ana Zoo at Prentice Park.
Sec. 18 -40. Prohibition in city buildings, parks, stadium and zoo.
(a) Except as otherwise provided in subsection (b) below, no person
shall smoke in any city building, park, stadium or zoo. Violation of this section
shall be an infraction as specified in Section 19.6 of the Penal Code of the State
of California.
(b) Subsection (a) above shall not apply to the following areas:
(1) Open -air entryways, courtyards or balconies.
(2) Parking structures.
(3) Any area of a building occupied by a tenant pursuant to a lease
11 A -2
agreement with the city.
Sec. 18 -41. Duty to post signs.
"No smoking" signs shall be conspicuously posted in every room, building,
or other place where smoking is prohibited by this article, by the department
head, operator, manager, or other person having control of such room, building,
or other place.
Section 3: Santa Ana Municipal Code Section 31 -1 is hereby amended to
read in full as follows:
Sec. 31 -1. Definitions.
Unless the particular provisions or the context otherwise requires, the
definitions and provisions contained in this section shall govern the construction,
meaning and application of words and phrases used in this chapter.
(1) The words "amplified sound" mean music or speech projected or
transmitted by artificial means including, but not limited to,
amplifiers, loudspeakers or any similar devices.
(2) The word "department" means the recreation and parks department
of the City of Santa Ana.
(3) The word "director" means the director of the recreation and parks
department.
(4) The word "park" means any public park or recreation or playground
area, including Class I Bike Trails and paseos, or building or facility
thereon within the City of Santa Ana, owned and maintained by the
city as a public park or recreation or playground area, whether or
not such areas have been formally dedicated to such purpose.
(5) The word "pollution" means the contamination or other alteration of
the physical, chemical or biological properties of park waters.
(6) The word "smoke or smoking" shall include the carrying, holding,
possession or smoking of a lighted pipe or cigar or cigarette of any
kind, or the lighting of a pipe, cigar or cigarette of any kind.
(7) The word "stadium" means the Eddie West Field -Santa Ana
Stadium.
(8) The word "vehicle" includes any wheeled device or conveyancy,
11 A -3
whether propelled by motor, animal or human power. The term
shall include any trailer in tow of any kind, size or description.
Exception is made for baby carriages and vehicles in the service of
the city.
(9) The word "zoo" means the Santa Ana Zoo at Prentice Park.
Section 4: Santa Ana Municipal Code Section 31 -2 is hereby amended to
read in full as follows (new language in bold, deleted language in strikeout, for
tracking purposes only):
Sec. 31 -2. Prohibited conduct.
The conduct described in sections 31 -2.2 through 31 -2.19 shall be
prohibited within the exterior boundary lines of any public park unless specifically
allowed through the issuance of a permit pursuant to the requirements of section
31 -3. The conduct described in sections 31 -2.1 through 31 -2.18 shall be
prohibited in the stadium or zoo unless inconsistent with the terms and conditions
of uses permitted by a contract approved by the city council.
Section 5: A new Section 31 -2.19 is hereby added to the Santa Ana
Municipal Code to read in full as follows:
Sec. 31 -2.19. Smoking prohibited in parks, stadium and zoo.
Smoking is prohibited and is unlawful within the boundaries of any park,
stadium or zoo.
Section 6. In accordance with the California Environmental Quality Act,
the recommended action is categorically exempt from further review per section
15321, Class 21, as the project involves an enforcement action by a regulatory
agency for an inspection program. A Categorical Exemption for Environmental
Review No. ER- 2011 -025 will be filed for this project.
Section 7. If any section, subsection, sentence, clause, phrase or portion of
this ordinance is for any reason held to be invalid or unconstitutional by the decision
of any court of competent jurisdiction, such decision shall not affect the validity of the
remaining portions of this ordinance. The City Council of the City of Santa Ana
hereby declares that it would have adopted this ordinance and each section,
subsection, sentence, clause, phrase or portion thereof irrespective of the fact that
any one or more sections, subsections, sentences, clauses, phrases, or portions be
declared invalid or unconstitutional.
11 A -4
ADOPTED this day of
APPROVED AS TO FORM:
Joseph Straka, Interim City Attorney
In
Laura Sheedy
Assistant City Attorney
AYES:
NOES:
ABSTAIN:
NOT PRESENT
Councilmembers
Councilmembers
Councilmembers
Councilmembers
2012
Miguel A. Pulido
Mayor
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the
attached Ordinance No. NS -XXX to be the original ordinance adopted by the City
Council of the City of Santa Ana on , and that said ordinance
was published in accordance with the Charter of the City of Santa Ana.
Date:
Clerk of the Council
City of Santa Ana
11 A -5
11 A -6
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE:
DESTRUCTION OF
OBSOLETE CITY RECORDS
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 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: February 1, 2012
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
2012
RECORD
RECORD
RECORD
EXPIRATION
CATEGORY
SERIES
DESCRIPTION
DATES
Chronological Files
Staff
Memoranda and Correspondence
February 1.
2010 and prior
Correspondence/
February 1.
Chronological Files
Councilmember
Self- explanatory
2010 and prior
Council Requests
Mayor
Inquiries processed for Mayor
February 1.
2010 and prior
Wards 1 through 6
Inquiries processed for Councilmembers
February 1.
2010 and prior
Correspondence
General Correspondence
Self- explanatory
February 1.
2010 and prior
Staff
Inquiries processed for Staff
February 1.
2010 and prior
Monthly Status
City Manager
Self- explanatory
February 1..
Reports
2010 and prior
Payroll Records
Council /Staff
Self- explanatory
February 1.
2010 and prior
February 1,
Travel Folders
Council /Staff
Self- explanatory
2010 and prior
APPROVE:
Paul M. Walters Date
Interim City Manager
RECORDS DESTROYED:
Volume
in Cubic Feet
Weight
in Pounds
19C -4
CONSENT:
os1 e h Straka Date
ate
Interim City Attorney
AUDITED BY:
Mark Lawrence Date
Assistant to the City Manager
MEMORANDUM
To: Joseph Straka, Interim City Attorney
City Attorney's Office
From: Edward Raya, Executive Director
Personnel Services Agency
Date: January 26, 2012
Re: REQUEST FOR DESTRUCTION OF RECORDS
D 07
The Personnel Services Department requests your consent to destroy city
records on the attached list, in accordance with the retention schedule
outlined in City Council Resolution 2006 -045.
Thank you.
r•
i
19C -5
Attachment to February 6, 2012 Obsolete Records Destruction Schedule Listing
To be Purged after December 31, 2011
FT
Employee PT Separation
Name Number Classification PTCS Date
Acosta, Cecilia G.
02422
Intake Specialist
FT
10/05/06
Adams, Kenneth
05129
Assistant Director of Planning and Building (M
FT
11/03/06
Alvarado, Richard Y.
09309
Sr. Tutor
PT
10/25/06
Alway, Maria P.
104526
Police Services Dispatcher
FT
10/12/06
Anderson, Richard C.
01932
Police Property and Evidence Specialist
FT
12/30/06
Anderson, Richard S.
08162
Fleet Equipment Technician 1I
FT
12/28/06
Arredondo, Angel
103319
Fire Prevention Assistant
PT
12/21/06
Basta, Nader
104530
Engineering Intern
PT
10/02/06
Bensley, Ryan
104684
Senior Administrative Intern
PT
12/21/06
Boisseranc, Brandon
104514
Police Officer
FT
11/08/06
Briones, Roberta M.
00167
Lead Accounting Assistant
FT
09/12/06
Brocker, Douglas L.
10894
Fire Captain
FT
12/22/06
Candelario, Regan M.
03092
Community Development District Manager
FT
10/13/06
Carlson, Bruce R.
12874
Police Captain (RM)
FT
09/21/06
Cossios, Esther M.
00318
Senior Office Assistant
FT
12/29/06
Craig, Joshua
104362
Detention Officer
FT
12/11/06
Dang, Elizabeth A.
00932
Senior Deputy Clerk of the Council
PT
09/28/06
Dorsey, Anthony E.
104564
Senior Maintenance Aide I
PT
12/29/06
Fernandez, Nora
03610
Library Assistant
PT
12/19/06
Flores, Jose A.
07348
Detention Officer
FT
12/14/06
Gamboa, Leticia
104499
Senior Program Leader
PT
12/17/06
Gaw, John H.
30541
Water Maintenance Crew Leader
FT
12/29/06
German, Lina C.
08324
Economic Development Specialist 11
PTCS
11/03/06
Gomes, Robert J.
04982
Park Maintenance Leader
FT
11/02/06
Gomez, Gustavo
06023
Program Leader 11
PT
12/24/06
Gonzales, Jessica M.
103166
Housing Programs Aide
PT
09/06/06
Hoyos, Oscar
08339
Detention Officer
FT
12/20/06
Kurtz Sr., Walter A.
03589
Detention Officer
FT
12/30/06
LaQuay, Josephine A.
51444
Redevelopment Project Manager III
FT
12/29/06
Lawrence, Mary E.
104315
Program Leader 1
PT
09/04/06
Lopez, Dulce
104527
Police Services Dispatcher
FT
09/12/06
Luna, Cynthia M.
104381
Senior Program Leader
PT
09/04/06
Machander, Louis Neal
54216
Program Coordinator
PT
12/30/06
Macias, Jose A.
104235
Janitor
PT
09/08/06
Madrigal, Osiel R.
101504
Workforce Specialist II
FT
12/08/06
Marquez, James
104392
Police Cadet
PT
10/12/06
Martinez de Nguyen, Araceli
104424
Senior Clerical Aide
PT
12/29/06
Martinez, Diana 1.
104639
Senior Administrative Intern
PT
09/21/06
Mazariegos, Adam
103190
Program Leader II
PT
09/02/06
Mott, Alison
104390
Zoo Keeper Aide
FT
10/26/06
Moyer, Loren D.
58655
Fire Captain
FT
12/11/06
Navarro, Rosalva
104510
Engineering Intern
PT
09/13/06
Perez, Julio C.
104588 lProgram
Leader I
PT
10/25/06
19C -6
Attachment to February 6, 2012 Obsolete Records Destruction Schedule Listing
To be Purged after December 31, 2011
FT
Employee PT Separation
[Name Number Classification PTCS Date
Perez, Raul
09102
Police Evidence and Supply Specialist
FT
11/24/06
Perez, Thomas E.
09824
Senior Civil Engineer
FT
12/01/06
Rios, Oscar E.
104692
Program Leader I
PT
10/25/06
Roys, Joyce
104333
Clerical Aide
PT
12/14/06
Sandoval Jr., Ray
01220
Senior Program Leader
PT
11/04/06
Thomas, Robert C.
104569
Firefighter (Probationary)
FT
10/17/06
Trujillo, Martin
104693
Program Leader I
PT
11/21/06
Tuason, Jeffrey C.
104229
Engineering Intern
PT
12/08/06
Vasquez, Melissa D.
10806
Correctional Records Specialist
FT
11/01/06
Whitaker, Patricia C.
00286
Executive Director of Community Dev (EM)
FT
12/30/06
Yarbrough, Kenneth R.
96845
Utility Inspector
FT
12/29/06
19C -7
CITY OF SANTA ANA
OBSOLETE RECORDS DESTRUCTION SCHEDULE
PERSONNEL SERVICES DEPARTMENT
2006
PERSONNEL SERVICES DEPARTMENT
RECORD
RECORD
RECORD
RECORD
CATEGORY
SERIES
DESCRIPTION
DATES
ENROLLMENT
Dental Insurance
Employee dental insurance enrollment forms"
EE Separated
FORMS
December 2006 and
(OFFICIAL)
prior
Flexible Spending,
Enrollment forms for flexible spending program"
EE Separated
Section 125
December 2006 and
prior
Life Insurance
Employee life insurance enrollment forms *"
EE Separated
December 2006 and
prior
Long -Term
Employee Long -Term Disability Insurance
EE Separated
Disability
enrollment forms"
December 2006 and
Insurance
prior
Medical Insurance
Employee medical insurance enrollment forms"
EE Separated
December 2006 and
prior
EQUAL
Employment and
Personnel and employment records, including
EE Separated
EMPLOYMENT
personnel records
application forms`, records pertaining to
December 2006 and
OPPORTUNITY
promotions", layoffs" *, terminations", salaries *"
prior
COMMISSION
and training*
(EEOC)
Involuntary
Personnel records of terminated employee "*
EE Separated
termination
December 2006 and
prior
OFFICIAL
Certification/
Request for Certification and /or reassignment
EE Separated
PERSONNEL
Reassignment
forms which document and authorize hiring,
December 2006 and
FILES
Forms
reassignment, or other employee actions. **
prior
Certificates of
Certificates issued to EE which show completion
EE Separated
Training
date of training class(es).*
December 2006 and
prior
Commendation
Letters of commendation and /or other
EE Separated
Letters
congratulatory documents received by and /or
December 2006 and
issued to EE.*
prior
Disciplinary
Memorandums, letters, or other records of
EE Separated
Actions
proposed and /or implemented disciplinary
December 2006 and
action(s). **
prior
Doctor's Notes/
Notes /medical release forms, etc., submitted
EE Separated
Medical Releases
regarding employee's medical condition. **
December 2006 and
prior
Drug Screen Test
Pre - placement and drug screening authorization
EE Separated
and acknowledgement form(s) and results of
December 2006 and
drug screening. *"
prior
19C -8
PERSONNEL SERVICES DEPARTMENT
RECORD
RECORD
RECORD
RECORD
CATEGORY
SERIES
DESCRIPTION
DATES
OFFICIAL
Family and
Basic employee data (name, address, class title,
EE Separated
PERSONNEL
Medical Leave
pay rate, hours worked per pay period; additions
December 2006 and
FILES
(FML)
to or deductions from wages). Dates (or hours)
prior
FML designated/ taken; FML notices given to
employer by employee; documents from
employer describing FML policies; records of
premium payments of employee benefits; records
of any disputed confidential files:
records /documents relating to medical
certifications."
Job Application
Applications for employment and resumes (if any)
EE Separated
for hired employees.*
December 2006 and
prior
Medical Leave of
Leave of Absence forms used in the
EE Separated
Absences"
documentation of medical leave (including
December 2006 and
pregnancy leave and Family and Medical
prior
Leave). **
Miscellaneous
Documents not specifically mentioned but kept in
EE Separated
Documents
official personnel file.`**
December 2006 and
prior
Notice of
Form completed by employee and /or department
EE Separated
Separation
indicating effective date of separation, last day on
December 2006 and
the job, reason for separation, etc. **
prior
Oath of Office
Form completed and signed by employee
EE Separated
affirming allegiance to the Constitution of the
December 2006 and
United States and the Constitution of the State of
prior
California.*
Outside
Form submitted by employee for approval for
EE Separated
Employment
employee to be engaged in outside employment.*
December 2006 and
prior
Performance
Employee performance evaluation forms
EE Separated
Evaluations
completed by supervisory personnel re
December 2006 and
employees' accomplishment of their assigned
prior
duties and responsibilities, etc.*
PERS Enrollment
Forms to enroll employees in the Public
EE Separated
Employees' Retirement System (PERS) **
December 2006 and
prior
Pre - Employment
Forms completed by employee and medical clinic
EE Separated
Medical
to assess physical capability of employee prior to
December 2006 and
hiring. **
prior
Security Check
Form completed by Personnel Svcs to request
EE Separated
Form
Police Dept to conduct security check on
December 2006 and
employee prior to hiring.*
prior
Special Licenses
Special licenses issued to employees from DMV,
EE Separated
accredited schools, etc., verifying employee
December 2006 and
meets certain job - related requirements.*
prior
19C -9
PERSONNEL SERVICES DEPARTMENT
RECORD
RECORD
RECORD
RECORD
CATEGORY
SERIES
DESCRIPTION
DATES
Tuition
Copies of applications for training and
EE Separated
Reimbursement
educational assistance which show EE request,
December 2006 and
Request
department head approval, and final disposition
prior
of request.*
OFFICIAL
Union Bank
Form signed by employee authorizing leave hours
EE Separated
PERSONNEL
Donation Form
be donated to the Union Business Leave Bank to
December 2006 and
FILES
be used by union leaders for Union Business.*
prior
W -4 form
Employee's Withholding Allowance Certificate
EE Separated
completed by EE authorizing employer to withhold
December 2006 and
Federal income tax from employee's pay and /or
prior
for indicating exemption. **
Please see attached spreadsheet, dated December 31, 2011, listing personnel files to be purged /digitally
imaged.
* Will be purged
** Will be digitally imaged
* ** If non - medical records, will be purged; if medical records, will be digitally imaged.
PREPARED BY: CONSENT BY:
Rosa Flores for Date
Edward Raya
Executive Director of Personnel Services
RECORDS DESTROYED:
Number of Boxes
19C -10
E ward Raya Date
Executive Director of Personnel Services
APPROVED BY:
Aoseqf(Straka
Interim City Attorney
Date
/ 4;/)/,,
MEMORANDUM
Laura Sheedy
To: Assistant City Attorney Date: January 17, 2012
Martha Ramirez
From: Commission Secretary
Subject: REQUEST FOR DESTRUCTION OF RECORDS
The Planning and Building Agency requests consent to destroy city records on the attached
listing, in accordance with the retention schedule outlined by City Council Resolution No.
2006 -045.
Thank you,
Martha Ramirez 01/17/2012
Commission Secretary
19C -11
„aJ
7
iv
J y . Trevino, AICP 0 Q 7/2012
E cutive Director,
Planning and Building Agency
CITY OF SANTA ANA
OBSOLETE RECORDS DESTRUCTION SCHEDULE
PLANNING & BUILDING AGENCY — PLANNING DEPARMENT
2012
RECORD
RECORD
RECORD
RECORD
CATEGORY
SERIES
DESCRIPTION
DATES
CORRESPONDENCE
Incoming General
Planning Commission and Historic
2008 and
Correspondence
Resources Commission
Prior
APPLICATIONS:
Development Review
Members of a committee representing all
2007
city agencies coordinate site plan review
comments
Sign Program
Mechanism to insure the coordination of
2008 and
• Temporary Sign
signage within a development site
Prior
Permits
PREPARED BY:
Martha am rz - ----; January 17, 2012
Commission Secretary
RECORDS DESTROYED:
Three
Number of Boxes
19C -12
CONSENT BY:
Jay Trckino January 17, 2012
Executive Director, Planning &
Building Agency
Ci
APPROVED BY:
DACE:
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE:
QUARTERLY REPORT OF INVESTMENTS
AS OF DECEMBER 31, 2011
CITY MANAGER
RECOMMENDED ACTION
Receive and file.
DISCUSSION
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
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 December 31,
2011.
19D -1
Quarterly Report of Investments
February 6, 2012
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
WO]!A
Quarterly Report of Investments
February 6, 2012
Page 2
CITY OF SANTA ANA
TREASURER'S REPORT
as of December 31, 2011
EXHIBIT 1
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19D -14
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE
REQUEST FOR PROPOSALS FOR ON-
CALL DEMOLITION SERVICES
_i rr�
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
Authorize the Public Works Agency to send a Request for Proposals to qualified consulting firms
to provide on -call demolition services for Capital Improvement Projects.
DISCUSSION
The Public Works Agency (PWA) oversees the right -of -way (ROW) acquisition for a variety of
street widening projects included in the Capital Improvement Program (CIP). Several CIP street
widening projects are underway, including two phases of Bristol Street and Grand Avenue.
Acquisition, relocation, and other ROW - related services are provided by professional consultants
specializing in those fields. The PWA has contracted with these firms annually to provide the City
with assistance in obtaining the necessary ROW for various street widening projects. Demolition
services are needed to remove structures and site improvements to make them ready for
construction. The demolition contract will expire shortly and the PWA needs to issue a Request for
Proposals (RFP) to qualified firms in the demolition services specialty area in order to maintain
project schedules and to meet State funding requirements for the Bristol Street Widening Project:
3rd to Civic Center (Phase II).
Staff is requesting City Council approval to issue a Request for Proposals (Exhibit 1) to qualified
consulting firms, soliciting proposals to provide the required services.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
19E -1
Request for Proposals For
Demolition Services For CIP Projects
February 6, 2012
Page 2
FISCAL IMPACT
There is no fiscal impact associated with seeking proposals.
Raul Godinez II
Executive Director
Public Works Agency
RG /J P
Exhibit: 1. Request for Proposal for Demolition Services
19E -2
REQUEST FOR PROPOSALS
FOR
DEMOLITION SERVICES
CITY OF SANTA ANA
PUBLIC WORKS DEPARTMENT
20 CIVIC CENTER PLAZA M -36
SANTA ANA, CALIFORNIA 92701
Due Date and Time: February 22, 2012 Before 5:00 p.m.
Proposal Submittal: Proposals must be submitted to the City of Santa Ana, Public Works
Department, Attn: Jason Gabriel, Principal Civil Engineer, per the Submittal Instructions
Section of this RFP.
ALL PROPOSALS MUST BE RECEIVED BEFORE 5:00 PM February 22, 2012.
NO LATE PROPOSALS WILL BE ACCEPTED.
The City of Santa Ana reserves the right to reject any or all Proposals, to waive any
informality in any Proposal, and to select the Proposals that best meet the City's
needs.
19E -3
TABLE OF CONTENTS
ITEM
GE
Tableof Contents ............................................................................................... ..............................2
Introduction& Background ............................................................................... ..............................3
SubmittalRequirements ..................................................................................... ..............................4
References......................................................................................................... ...............................
6
CertificationForm ............................................................................................. ..............................7
SubmittalInstructions ....................................................................................... ...............................
7
ConsultantSelection .......................................................................................... ..............................7
EvaluationProcedure ......................................................................................... ..............................8
Award................................................................................................................ ..............................8
GeneralInformation .......................................................................................... ...............................
9
The City's Affirmative Action Program ............................................................ ..............................9
InsuranceRequirements ..................................................................................... ..............................9
Professional Consulting Services Agreement .................................................... ..............................9
Coordination...................................................................................................... ..............................9
Rightto Reject Proposals ................................................................................... ..............................9
TentativeSchedule ............................................................................................ .............................10
Prime Consultant Responsibilities .................................................................... .............................10
Delays............................................................................................................... .............................10
ProjectControl
.................................................................................................. .............................10
Rulesfor Proposals ........................................................................................... .............................10
Methodof Payment ........................................................................................... .............................10
Regulations....................................................................................................... .............................10
ATTACHMENTS
Attachment1 Scope of Work ........................................................................... .............................11
Attachment 2 Demolition Services Consultant Comparison Form .................. .............................13
Attachment 3 Demolition Services Designation of Subcontractors Form ........ .............................16
Attachment 4 Demolition Services Consultant Experience Form .................... .............................17
Attachment 5 Sample Agreement for Professional Consulting Services ......... .............................18
Attachment 6 Certification of Non - Discrimination by Consultants ................. .............................25
Attachment 7 Certificate of Liability Insurance and Additional Insured Endorsement ................26
Page 2 of 27
19E -4
REQUEST FOR PROPOSALS (RFP)
FOR
DEMOLITION SERVICES
INTRODUCTION AND BACKGROUND
The City of Santa Ana is soliciting proposals from professional consulting firms to provide
Demolition Services required for various Public Works Road Projects. The City of Santa Ana
is planning various road widening and intersection projects on an as- needed basis. These
projects include, but are not limited to: various phases of the Bristol Street Widening Project
and the Grand Ave Widening Project from First St to Fourth St.
From the proposals received, it is the City's goal to select one or two firms for these services.
The actual number of consultants to be selected will depend on the availability of qualified
firms, evidenced by the proposal process. The City will enter into separate agreements
with each of these firms. Work will be assigned by Contract Task Orders. As tasks are
identified, they will be distributed among these firms based upon their ability to perform the
required work within the project schedule and budget constraints. The fee and a detailed
scope of work will be outlined when a specific task is assigned to a consultant. The City
reserves the right to distribute the work in any manner which will best serve the City's
interests.
Other Requirements
In addition to the requirements set forth in the City's Sample Agreement for Professional
Services, there may be other requirements imposed on a per project basis, especially for
certain federally funded projects. Any such City requirement shall be provided to
Consultant prior to obtaining a proposal for such a project.
The City of Santa Ana's Sample Agreement for Professional Services is included herein as
ATTACHMENT 5. The initial agreement term will be three (3) years, plus two (2) one -year
option terms for a total of up to five (5) years. The City intends to award multiple contracts
from this solicitation. Services will be performed under separate Contract Task Orders (CTO)
issued following contract award. Within the general Scope of Work shown in ATTACHMENT
1, the City will, at its sole discretion, issue CTO's for specific tasks. CTO award will be based
upon factors such as (1) experience in and understanding of the task, (2) capacity of the firm
to perform the CTO work within the required time frame given on -going commitments to other
work, (3) reasonableness and affordability of the price. There is no guarantee that any firm
awarded a contract will receive a minimum amount of work through CTO's.
Prevailing Wages
CTO's issued under the Agreements awarded from this RFP may be funded under a financial
assistance contract by the U.S. Department of Transportation, and as such will be subject to
all conditions of the Davis -Bacon Act (40 U.S.C. 276a) and the Labor Code of the State of
California commencing in Section 1770 et. seq. It is required that all mechanics, laborers and
technicians subject to prevailing wages in their performance of services under the
Agreements be paid not less than the current basic hourly rates of pay and fringe benefits.
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Wage schedules are available at the City's Offices or on the internet at:
• www.dir.ca..qov /DLSR /statistics research.html
• http: / /www.wdol.gov /dba.aspx#0
Consultants shall utilize the relevant prevailing wage determinations in effect on the date the
CTO proposal request was received. In the event there are any differences between the
minimum wage rates as determined by the United States Secretary of Labor and those
determined by the State of California, the highest rate must be paid.
SUBMITTAL REQUIREMENTS
This Request for Proposals is intended to assess each Consultant's general capabilities
as they would apply to the City of Santa Ana and to evaluate specific responses to
each Specialty Area and the expected scope of work. In order to maintain uniformity with all
proposals furnished by Consultants, it is hereby requested the proposals be limited to a
maximum of 30 pages (excluding front and back covers, section dividers, resumes and
required forms). Proposals shall be typed with a standard 12 point font, double spaced and
submitted on 8'/2" X 11" paper using a single method of fastening. Charts and schedules may
be included in 11" X 17" format.
Consultant must address each of the following items in their response to this RFP:
1. Technical Proposal
a. Qualifications, Related Experience and References of Consultant
This section of the proposal should establish the ability of Consultant to satisfactorily
perform the required work by reasons of: experience in performing work of a similar
nature; demonstrated competence in the services to be provided; strength and stability
of the firm; staffing capability; work load; record of meeting schedules on similar
projects; and supportive client references. The Consultant shall:
(1) Provide a brief profile of the firm, including the types of services offered; the
year founded, form of the organization (corporation, partnership, sole
proprietorship); number, size and location of offices; and number of employees.
(2) Provide a general description of the firm's financial condition and identify any
conditions (e.g., bankruptcy, pending litigation, planned office closures,
impending merger) that may impede Consultant's ability to complete the project.
(3) Describe the firm's experience in performing work of a similar nature to that
solicited in this RFP, and highlight the participation in such work by the key
personnel proposed for assignment to this project. Describe experience in
working with the various government agencies identified in this RFP.
(4) Identify subcontractors by company name, address, contact person, telephone
number and project function. Describe Consultant's experience working with
each subcontractor.
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(5) Provide as a minimum three (3) references for the projects cited as related
experience, and furnish the name, title, address and telephone number of the
person(s) at the client organization who is most knowledgeable about the work
performed. Consultant may also supply references from other work not cited in
this section as related experience (See ATTACHMENT 3).
b. Proposed Staffing and Project Organization
This section of the proposal should establish the method, which will be used by the
Consultant to manage the project as well as identify key personnel assigned. The
Consultant shall:
(1) Provide education, experience, and applicable professional credentials of
project staff.
(2) Furnish brief resumes (not more than two [2] pages each) for the proposed
Project Manager and other key personnel.
(3) Indicate adequacy of labor resources utilizing a table projecting the labor -hour
allocation to the project by individual task.
(4) Identify key personnel proposed to perform the work in the specified tasks and
include major areas of subcontract work. Include the person's name, current
location, proposed position for this project, current assignment, level of
commitment to that assignment, availability for this assignment and how long
each person has been with the firm.
(5) Include a project organization chart, which clearly delineates
communication /reporting relationships among the project staff.
(6) Include a statement that key personnel will be available to the extent proposed
for the duration of the project acknowledging that no person designated as "key"
to the project shall be removed or replaced without the prior written concurrence
of the City.
c. Work Plan
Consultant should provide a narrative, which addresses the Scope of Work, and
shows Consultant's understanding of City's needs and requirements. The Consultant
shall:
(1) Describe the approach to completing the tasks specified in the Scope of Work.
The work plan shall be of such detail to demonstrate the Consultants ability to
accomplish the project objectives.
(2) Outline sequentially the activities that would be undertaken in completing the
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tasks and specify who would perform them.
(3) Furnish a project schedule for completing the tasks in terms of elapsed weeks
from the project commencement date.
(4) Identify methods that Consultant will use to ensure quality control as well as
budget and schedule control for the project.
(5) Identify any special issues or problems that are likely to be encountered in this
project and how the Consultant would propose to address them.
(6) Consultant is encouraged to propose enhancements or procedural or technical
innovations to the Scope of Work that do not materialy deviate from the
objectives or required content of the project.
d. Exceptions /Deviations
State any exceptions to or deviations from the requirements of this RFP, segregating
"technical" exceptions from "contractual" exceptions. Where Consultant wishes to
propose alternative approaches to meeting the City's technical or contractual
requirements, these should be thoroughly explained. If no contractual exceptions are
noted, Consultant will be deemed to have accepted the contract requirements as set
forth in ATTACHMENT 5.
e. Cost and Price Proposal
As part of the cost and price proposal, the Consultant shall submit Demolition Services
Consultant Comparison Form (ATTACHMENT 2), to provide the services for the
subject property task described. Consultant shall complete Demolition Services
Designation of Subcontractors Form (ATTACHMENT 3) and shall complete the
Demolition Services Experience Form (ATTACHMENT 4) included with this RFP, and
furnish any narrative required to explain the prices quoted in the schedules. The
Agreement will have a per work order type of payment provision. The consultant shall
submit a total project cost in response to individual project scope of work. Each Total
Project Cost will have an estimated price, and the consultant shall exercise due
diligence to perform its work within the estimated price.
2. Appendices
Information considered by Consultant to be pertinent to this project and which has not
been specifically solicited in any of the aforementioned sections may be placed in a
separate appendix section. Consultants are cautioned, however, that this does not
constitute an invitation to submit large amounts of extraneous materials. Appendices
should be relevant and brief.
REFERENCES
Provide a minimum of three (3) references for similar projects performed only within the past
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i'' =21001
five (5) years. Include the project cost and year of completion, along with the client's
name, address, phone number and email address. Rank them in order according to
their similarity to the City of Santa Ana Public Works Department Projects and your
understanding of the general scope of work. Describe the project or type of work
provided for each reference.
CERTIFICATION FORM
Complete and include the Certification of Non - Discrimination by Consultants form
(ATTACHMENT 6) with your proposal.
SUBMITTAL INSTRUCTIONS
Submit five (5) bound copies of your proposal signed by a company official with the power to
bind the company in its proposal before 5:00 PM on or before February 22, 2012.
Proposals must be clearly and submitted to:
City of Santa Ana, Public Works Department
Attn: Jason Gabriel, Principal Civil Engineer
20 Civic Center Plaza M -36
Santa Ana, CA 92701
CONSULTANT SELECTION
The response to this Request for Proposal shall contain documentation of Consultant's
credentials and expertise pertaining to your specialty in this field. Substantial consideration
will be given to Consultants with demonstrable and documented experience in similar work.
Proposals will be evaluated on the basis of the qualifications, abilities, and responsiveness of
the proposing Consultant.
The City of Santa Ana has established a Consultant Selection Committee to evaluate
Consultant's proposals. The evaluation of each proposal will be based on technical criteria
and qualifications listed within the RFP, reference checks, and other information which will be
gathered independently. The following general selection criteria will be used to evaluate
each consultant firm:
1. Qualifications of the Firm —30%
Technical experience in performing work of a closely similar nature; 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 & Project Organization — 30%
Qualifications of project staff, particularly key personnel and especially the Project
Manager; key personnel's level of involvement in performing related work cited in
"Qualifications of the Firm" section; logic of project organization; adequacy of labor
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commitment; concurrence in the restrictions on changes in key personnel.
3. Work Plan — 20%
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.
4. Cost and Price — 20%
Reasonableness and affordability of the proposed hourly rates and other direct costs
compared with other offers received. Adequacy of data in support of figures quoted;
reasonableness of individual task budgets; basis on which prices are quoted.
EVALUATION PROCEDURE
An evaluation committee will be appointed to review all proposals received for this RFP. The
committee is comprised of City staff and may include outside personnel. The committee
members will evaluate the written proposals using criteria identified in Consultant Selection
above. A list of top ranked proposals, firms within a competitive range, will be developed
based upon averaging of the committee members' scores for each proposal. During the
evaluation period, the City may interview some or all of the proposing firms.
At any time during the evaluation process, and before or after selection for award, the City
may negotiate contract terms with some or all Consultants, and expressly reserves the right
to negotiate with several Consultants simultaneously, and thereafter to award a contract to
the Consultant or Consultants presenting the most favorable terms to the City. Consultants
may also be asked to submit a Best and Final Offer (BAFO). The BAFO will include, but not
necessarily be limited to, additional information, confirmation or clarification of issues, and
submission of a final cost/price proposal.
At the conclusion of the evaluation process, the evaluation committee will recommend to the
appropriate Board Committee, the Consultant with the highest final ranking or a short list of
top ranked Consultants within the competitive range The Board Committee will review the
evaluation committee's recommendation and forward its decision to the full Board of Directors
for final action.
AWARD
The City Council will consider the recommendation of staff and may approve contract award
or modify the recommendation.
The City reserves the right to award its total requirements to one Consultant or to apportion
those requirements among several Consultants as the City may deem to be in its besl
interest. In addition, negotiations may or may not be conducted with Consultants; therefore,
the proposal submitted should contain the Consultant's most favorable terms and conditions,
since the selection and award may be made without discussion with any Consultant.
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GENERAL INFORMATION
The City of Santa Ana reserves the right to reject any or all Proposals, to waive any
informality in any Proposal, and to select the Proposals that best meet the City's needs.
THE CITY'S AFFIRMATIVE ACTION PROGRAM
It is the policy of the City of Santa Ana to ensure that minority, women, and other
disadvantaged and small businesses can fairly compete for and perform on all the City of
Santa Ana's contracts and subcontracts. In accordance with the City of Santa Ana's Federal
financial assistance agreements with the U.S. Department of Transportation and Caltrans,
the City of Santa Ana will comply with Title 49 CFR Part 26; Participation by Disadvantaged
Business Enterprises in Department of Transportation Programs. Please complete the
Certification of Non - Discrimination by Consultants Form (included herein as ATTACHMENT
6), and submit as an attachment with each of your proposals. Further DBE requirements may
be provided to consultants on a per project basis for applicable projects.
INSURANCE REQUIREMENTS
A Certificate of Liability Insurance and Additional Insured Endorsement for Commercial
General Liability Policy Forms are enclosed for your reference as ATTACHMENT 7. Please
refer to the Sample Agreement for Professional Services (ATTACHMENT 5) for the
necessary amounts of general liability, automotive, worker's compensation and professional
liability insurance. The certificate shall include the City and its officers and employees as
insured or additional insured.
PROFESSIONAL CONSULTING SERVICES AGREEMENT
A Sample Agreement for Professional Services is enclosed for your review, as
ATTACHMENT 5. The RFP and the Consultant's proposal will be attached and become part
of the agreement as exhibits. Be prepared when submitting a proposal to approve the
Sample Agreement for Professional Services in this Request for Proposals
COORDINATION
The City will decide the manner in which the coordination of individual matters is undertaken.
At the City's option, coordination efforts may be performed by the Consultant's direct contact,
by the Consultant acting through the City or by the City only. When coordination efforts
require agreements, such agreements shall be coordinated through the City.
RIGHT TO REJECT PROPOSALS
City reserves the right to reject any or all proposals submitted and no representation is made
hereby that any contract will be awarded pursuant to this RFP or otherwise.
All costs incurred in the preparation of the proposal, the submission of additional information
and /or any aspect of a proposal prior to award of a written contract will be borne by the
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respondent. The City will provide only the staff assistance and documentation specifically
referred to herein and will not be responsible for any cost or obligation of any kind, which may
be incurred by the respondent. All proposals submitted to City shall become property of the
City.
TENTATIVE SCHEDULE
The City's tentative schedule for this RFP is as follows:
Proposal due February 22, 2012
Estimated Contract Award March 19, 2012
PRIME CONSULTANT RESPONSIBLITIES
The selected Consultant will be required to assume responsibilities for all services 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 Agreement.
DELAYS
The City reserves the right to delay schedule dates if it is to the advantage of the City of
Santa Ana.
PROJECT CONTROL
Control of the project shall remain the total responsibility of the City of Santa Ana
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.
METHOD OF PAYMENT
The Consultant shall submit a monthly invoice to the City for the services rendered in that
month. The invoice shall include a detailed breakdown of the services, the project title, the
tasks, the hours, and hourly rates.
REGULATIONS
The selected Consultant shall be expected to comply with all applicable federal, state, city
regulations, and contract provisions.
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SCOPE OF WORK
DEMOLITION:
ATTACHMENT 1
Contractor is responsible for the payment of all applicable permits required by the City of
Santa Ana.
Contractor is responsible for demolishing all improvements, including but not limited to:
foundations and footings, slabs, basement, detached garage and all landscaping. Contractor
is also responsible for clearing the site, grading the parcel for drainage, importing and
exporting fill dirt as needed, capping all sewer lines, and compacting to 90% density.
All work is to be done in accordance with all applicable federal, state and local regulations,
standards and codes governing demolition and any other trade work done in conjunction with
the demolition. Copies of all demolition permits, sewer cap inspection approval and a letter of
completion should be submitted for City's files prior to the Contractor receiving payment.
The Contractor shall supply all necessary labor, materials, services, insurance, permits, and
equipment to carry out the work in accordance with all applicable federal, state, and local
regulations. The Contractor at all times shall keep the Project site free from accumulation of
waste materials or rubbish caused by the Contractor's operations. At the completion of each
trade of the work, and at final completion prior to contractor submitting the final invoice,
Contractor shall remove all waste materials, and rubbish from and about the project as well
as tools, construction equipment, machinery, and surplus materials.
Asbestos Abatement:
The work described herein consists of removal and disposal of ALL asbestos containing
materials (ACM - friable or nonfriable) and subsequent cleaning of the sites in accordance with
all applicable federal, state and local regulations, standards and codes governing asbestos
and any other trade work done in conjunction with the abatement. Results of any testing that
identify asbestos containing materials will be provided by the City. It is the responsibility of
the Consultant to determine if any additional asbestos removal is required in addition to the
surveys.
Lead:
The provided report indicates that lead was not detected at concentrations in excess of 600
parts per million (ppm) in any of the samples collected. However, the Contractor shall take all
necessary precautions and follow all OSHA's guidelines required in the handling of lead
contained materials if any are detected. Please refer to the Lead Hazard Evaluation Report.
Copies of all notifications must be submitted to City including, abatement contractors license,
map and /or clear documentation specifying asbestos containing materials abated; completed
waste manifests; and a completion letter indicating that all asbestos containing materials from
these properties have been abated and properties are ready to be demolished.
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Rat and/or Vermin Abatement:
Contractor, prior to performing demolition, is responsible for providing rat and /or vermin
abatement. Written certification stating that such work was performed, and that the
structures were free of infestation prior the demolition taking place will need to be provided to
our office as part of the demolition completion package.
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ATTACHMENT 2
DEMOLITION SERVICES CONSULTANT COMPARISON FORM
Consultant shall complete this form and include it along with the Designation of
Subcontractors Form (Attachment 2) and Experience Form (Attachment 3) described below
in a sealed fee envelope. This comparison is based upon demolition services required for the
subject project site described below. This form will be used for fee comparison purposes
only.
SUBJECT PROJECT SITE DESCRIPTION:
828 N. Bristol Street: A two story commercial structure. Contractor is responsible for
demolishing all improvements, including but not limited to: foundations and footings, slabs,
basement, detached garage and all landscaping. Contractor is also responsible for clearing
the site, grading the parcel for drainage, importing and exporting fill dirt as needed, capping
all sewer lines, and compacting to 90% density.
Please refer to the Exhibit 1 attached for site reference. Price provided below shall be an all -
inclusive price and shall include all items listed and cover all items or work identified above to
deliver a clear site with no remaining improvements.
Item Description
Tntni ('nct
Permitting *
$
1,500
Engineering
$
Site Fencing
$
Canopy BMP's /Erosion Control Plan
$
Asbestos /Hazardous Abatement *
$
25,000
Interior Demolition
$
Exterior Wall/Building/Foundation Demolition
$
Sitework Demolition
$
Total Price
$
* Assumed Prices of Asbestos /Hazardous Abatement and Permitting Costs
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Exhibit 1
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Exhibit 1
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ATTACHMENT 3
DEMOLITION SERVICES DESIGNATION OF SUBCONTRACTORS FORM
PART I — LIST OF KEY PERSONNEL
Names Functions
PART II — LIST OF SUBCONSULTANT /SUBCONTRACTORS
Subcontractor Name /Address I Function
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ATTACHMENT 4
DEMOLITION SERVICES CONSULTANT EXPERIENCE FORM
Number of years as a contractor in projects of this type:
List of last three contracts performed which show experiences in work of a nature
similar to that covered in this proposal. If none, so indicate.
Title or Description of Work Date Completed Contract Amount
1.
2.
3
Name, Address, and Telephone No. Of Agencies Who Awarded Contracts and
Contact Person:
`1
2.
9
State of California Contractor's License No.:
Contractor's License Expiration Date:
Bidder's Name:
19E -19
Page 17 of 27
ATTACHMENT 5
SAMPLE AGREEMENT FOR
PROFESSIONAL CONSULTING SERVICES
THIS AGREEMENT, made and entered into this day of , 2012 by and between
(hereinafter "Consultant "), and the City of Santa Ana, a charter city and municipal
corporation organized and existing under the Constitution and laws of the State of California
(hereinafter "City ").
RECITALS
A. The City desires to retain a consultant having special skill and knowledge in the field of real
estate appraisal services.
B. Consultant represents that it is able and willing to provide a such services for Santa Ana.
C. In undertaking the performance of this Agreement, Consultant represents that it is
knowledgeable in its field and that any services performed by Consultant under this
Agreement will be performed in compliance with such standards as may reasonably be
expected from a professional consulting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms
and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
Consultant shall provide services, as set forth in Consultant's Proposal, attached hereto as
Exhibit ( ) and incorporated by reference.
2. DELIVERY OF WORK PRODUCT - OWNERSHIP
Consultant warrants and represents that it has the absolute right to enter into and perform this
Agreement and will perform its obligations hereunder in accordance with standards and practices
prevailing in the industry. Consultant's contribution to the Project, including works to be produced by
Consultant hereunder, will not infringe or misappropriate the proprietary or personal rights of any third
person or party. Consultant shall deliver to City any work product which results from the services
provided. Said work product shall be submitted in hard copy and produced in a form compatible with
City's information systems, as agreed between the Project Manager and Consultant.
In regard to all material produced as a deliverable under this Agreement, including but not
limited to records, papers, drawings, specifications, programs, systems and other materials prepared by
Consultant, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and
volunteer workers, that (a) other such material shall be the property of the City, and may not be
copyrighted without prior review from the City, and (b) the authors of all such material, whether
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copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope
of their official duties, as a condition of payment to the Consultant, a royalty -free, nonexclusive,
irrevocable license throughout the world for governmental purposes to disclose, publish, translate,
reproduce, and use such materials.
3. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates
and charges identified in Consultant's Fee Schedule. The total sum to be expended under this
Agreement shall not exceed $ 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. Payment need not be made for
work which fails to meet the standards of performance set forth in the Recitals which may reasonably
be expected by City.
This Agreement shall commence on the date first written above and terminate on ,
unless terminated earlier in accordance with Section 13, below. The term of this Agreement may be
extended upon a writing executed by the Executive Director of Public Works and the City Attorney.
5. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an independent
contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to
create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise
discretion or control over the professional manner in which Consultant performs the services which are
the subject matter of this Agreement; however, the services to be provided by Consultant shall be
provided in a manner consistent with all applicable standards and regulations governing such services.
Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and
similar taxes relating to employees and shall be responsible for all applicable withholding taxes.
6. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall maintain and
shall require its subcontractors, if any, to obtain and maintain insurance as described below:
a. Commercial General Liability Insurance. Consultant shall maintain commercial general
liability insurance which shall include, but not be limited to protection against claims arising from
bodily and personal injury, including death resulting therefrom and damage to property, resulting from
any act or occurrence arising out of Consultant's operations in the performance of this Agreement,
including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than
the following: single limit coverage applying to bodily and personal injury, including death resulting
therefrom, and property damage, in the total amount of $1,000,000 per occurrence. Such insurance
shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional
insured(s); (b) be primary with respect to insurance or self - insurance programs maintained by the City;
and (c) contain standard separation of insureds provisions.
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b. Business automobile liability insurance, or equivalent form, with a combined single limit of
not less than $2,000,000 combined single limit. Such insurance shall include coverage for owned,
hired and non -owned automobiles.
c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of
the Labor Code, 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, and $2,000,000 in the aggregate.
e. The following requirements apply to the insurance to be provided by Consultant pursuant to
this section:
(i) Consultant shall maintain all insurance required above in full force and effect for the
entire period covered by this Agreement.
(ii) Certificates of insurance shall be furnished to the City upon execution of this
Agreement and shall be approved 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 effect Consultant's right to be paid for its time and materials expended prior
to notification of termination. Consultant waives the right to receive compensation and agrees to
indemnify the City for any work performed prior to approval of insurance by the City.
7. INDEMNIFICATION
Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents,
employees, consultants, special counsel, and representatives from liability: (1) for personal injury,
damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal
injury, including death, and claims for property damage, which may arise from the direct or indirect
operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons
acting on their behalf which relates to the services described in section 1 of this Agreement; and (2)
from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief
is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold
harmless agreement applies to all claims for damages, just compensation, restitution, judicial or
equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this
Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further
agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and
costs for special counsel to be selected by the City, regarding any action by a third party challenging
the validity of this Agreement, or asserting that personal injury, damages, just compensation,
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restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms
of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its
representation in any legal proceeding.
8. 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.
9. 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.
10. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall
be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or
certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner
provided in this Section, to the following persons:
To City: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M -30)
P.O. Box 1988
Santa Ana, CA 92702 -1988
facsimile (714) 647 -6956
With courtesy copies to:
Public Works — Design Engineering
City of Santa Ana
20 Civic Center Plaza (M -36)
P.O. Box 1988
and
Santa Ana, California 92702
facsimile (714) 647 -5635
19E -23
Page 21 of 27
City Attorney
City of Santa Ana
20 Civic Center Plaza (M -29)
P.O. Box 1988
Santa Ana, California 92702
facsimile (714) 647 -6515
To Consultant:
A party may change its address by giving notice in writing to the other party. Thereafter, any
communication shall be addressed and transmitted to the new address. If sent by mail, communication
shall be effective or deemed to have been given three (3) days after it has been deposited in the United
States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent
by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours
after the time set forth on the transmission report issued by the transmitting facsimile machine,
addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state,
County or City holidays shall be excluded.
11. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the
event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this
Agreement shall prevail. This Agreement may not be modified except by written instrument signed by
the City and by an authorized representative of Consultant. The parties agree that any terms or
conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the
terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this
Agreement acknowledges that no representations, inducements, promises or agreements, orally or
otherwise, have been made by any party, or anyone acting on behalf of any party, which are not
embodied herein.
12. 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.
13. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of
termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant
compensation for all services performed by Consultant prior to receipt of such notice of termination,
subject to the following conditions:
Page 22 of 27
19E -24
a. As a condition of such payment, the Executive Director may require Consultant to deliver to the
City all work product completed as of such date, and in such case such work product shall be the property
of the City 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.
b. Payment need not be made for work which fails to meet the standard of performance specified
in the Recitals of this Agreement.
14. DISCRIMINATION
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.
15. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity,
interpretation, performance, and enforcement of any of the clauses of this Agreement shall be
determined and governed by the laws of the State of California. Both parties further agree that Orange
County, California, shall be the venue for any action or proceeding that may be brought or arise out of,
in connection with or by reason of this Agreement.
16. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses,
permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and
required by the laws and regulations of the United States, the State of California, the City of Santa Ana
and all other governmental agencies. Consultant shall notify the City immediately and in writing of
her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said
inability shall be cause for termination of this Agreement.
17. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the power,
authority and right to bind their respective parties to each of the terms of this Agreement, and shall
indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in
the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. Captions and headings in this Agreement, including the title of this Agreement, are for
convenience only and are not to be considered in construing this Agreement.
c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in
the body of this Agreement.
Page 23 of 27
19E -25
N
%//
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
By:
Laura Sheedy
Assistant City Attorney
CITY OF SANTA ANA
PAUL WALTERS
Interim City Manager
CONSULTANT
(NAME)
(Title)
19E -26
Page 24 of 27
ATTACHMENT 6
CERTIFICATION OF NON - DISCRIMINATION BY CONSULTANTS
As suppliers of goods or services to the City of Santa Ana, the Firm listed below certifies that
it does not discriminate in its employment with regard to race, color, religion, sex, or national
origin; that it is in compliance with all federal, state and local directives and executive orders
regarding non - discrimination in employment; and that it agrees to demonstrate positively and
aggressively the principle of equal opportunity in employment.
WE AGREE SPECIFICALLY:
1. To take affirmative steps to hire minority employees with the company.
2. To establish or observe employment policies within affirmative promotion opportunities
for minority persons at all job levels.
3. To communicate this policy to all persons concerned, including all company
employees, outside recruiting services, especially those servicing minority
communities, and to the minority communities at large.
FIRM
NAME
PRINTED NAME
TITLE OF PERSON SIGNING
SIGNATURE
DATE
Please include any additional information available regarding equal opportunity employment
programs now in effect within your company.
Page 25 of 27
19E -27
ATTACHMENT 7
ACORD, CERTIFICATE OF LIABILITY INSURANCE o 13i I
PJIDDIJm THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION
ONLY AND CONFERS NO RIGHTS UPON THE CERT*1CATE
HOLDER. THIS CERTWICATE DOES NOT AMEND. EXTEND OR
ALTER L
INSURERS AFFORDING COVERAGE
_ INSURER A:
INSURER 8
INSURER D
THE POLICIES OF NSURANCE LISTED BELOW HAVE SEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERT OD INDICATE 0. NOTWITHSTANDING
ANY REOUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR
MAY PERTAIN, THE INSURANCE AFFORDED BY THE PO4JCIES DESCRIBED HEREIN IS SUSIECT TO ALL THE TERMS . EXCLUSIONS AND CONDITIONS OF SUCH
POLICIES AGGREGATE LIMITS SHOWN MAY HAVE BFFN RrrX R:FA IRV PAn (XA",
-m TYRE OF POUNIAICE ►OL.ICY'
LTD ICY EFFECTIVE POLICY W04MrON
NUMNOT ..
awwItAL LI"iIUTY x111111111 01!01/2001 0110112002 EACH OCCURRENCE s
1.00D,000
X_GO/MERCIAL GENERAL LWB0.ITY FIRE DAMAGE GnY Ina hro� 5
50,000
CLA+rtSMADE X' OCCUR MEUEAp oP6,PNS�n' S 5,000
PERSONAL A AOV I riY, s
1,000.000
- -. _GENERAL AGGREGATE
2,000,OD0
AOOREGATE LIMIT APPLZS PER i PRODUCTS •CONVOPAGG 5
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2,000,000
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_.....
AYTOMOMLE
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ANY AUTO
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BODILY 09JUW
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5c�mnEO,wras
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-
!OD'LYikdunv
NON•OYMED AUTOS
(Po, smdent) S
PRO -eRTY
... _ —
DAMAGE
SEE ATTACHED ADDITIONAL (PQl AOOt1.fN; s
UAIPLm
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INSURED ENDORSEMENT AuF1ERTIFAR
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COVERAGES DEPEND ON TYPE AGGREGATE
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Professorial Uadiiiy
�
0EfCIOPTNIN OF OCRAYIOK WLOCAT1OWWENICL&1&XCLUt0XM ACC= HY iIOOgBL1EM M%CIAL FNOYNgIM
CeMficate Holder is additional Msured per attached.
Project No
SHIM"ANY O DO Aat1W 0"CIMNEOPO MOW CANCELLEDOVOM THE E7PNATKm
City of Santa Ana DATE THO160F, Tm NuLNNO NMM* WILL ENDEAVOR TO Lulu 30 DArS mwrm
70 Civic. (:Antes Plaza - Ross Annex (AM- ) NOnce TO THE CeITWEATE HOLIM NAJIED TO THE LUT. auT FAJLLME TO DO ED SHALL
Santa Ana, CA 92701 NOVA MO ONUOATNIN OR UAaxRr OF MY LTNm UPON THE WOURI A. ITS AD&/TN OR
MJTHOMM R7RIEWMATIVE
2" (7#V I)
19E -28
■
D
Page 26 of 27
ADDITIONAL INSURED ENDORSEMENT
FOR COMMERCIAL GENERAL LIABILITY POLICY
Insurance Company
This endorsement modifies such insurance as is afforded by the provisions of Policy
# relating to the following:
1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its
officers, employees, agents, volunteers and representatives are named as additional
insured's ( "additional insured's") with regard to liability and defense of suits arising from the
operations and uses performed by or on behalf of the named insured.
2. With respect to claims arising out of the operations and uses performed by or
on behalf of the named insured, such insurance as is afforded by this policy is primary and is
not additional to or contributing with any other insurance carried by or for the benefit of the
additional insured's.
3. This insurance applies separately to each insured against whom claim is made
or suit is brought except with respect to the company's limits of liability. The inclusion of any
person or organization as an insured shall not affect any right which such person or
organization -would have as a claimant if not so included.
4. With respect to the additional insured's, this insurance shall not be cancelled, or
materially reduced in coverage or limits except after thirty (30) days written notice has been
given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701.
(Completion of the following, including countersignature, is required to make this
endorsement effective.)
Effective
Policy #
Issued to
Named Insured
Countersigned by
Authorized Representative
19E -29
this endorsement form as a part of
Page 27 of 27
19E -30
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE:
APPROPRIATION ADJUSTMENT FOR
DEPARTMENT OF LABOR TECHNICAL
SKILLS TRAINING GRANT
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 15i Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For_
CONTINUED TO
FILE NUMBER
Approve an appropriation adjustment recognizing $4,997,479 awarded to the City of Santa
Ana, Santa Ana WORK Center by the Department of Labor, Employment and Training
Administration for an H -1 B Technical Skills Training Grant.
2. Authorize the City Manager and Clerk of the Council to execute the attached grant agreement
between the Department of Labor, Employment and Training Administration and the City of
Santa Ana for the H -1 B Technical Skills Training Grant, subject to non - substantive changes
by the City Manager and City Attorney.
3. Authorize the City Manager and Clerk of the Council to execute agreements with the following
program operators for H -1B Technical Skills Training Grant funding for a total of $3,281,747
for the period of December 1, 2011 through November 30, 2015, subject to non - substantive
changes by the City Manager and City Attorney:
a. Santa Ana College to provide recruitment, pre- engineering math courses, curriculum
development, student assessment, counseling, mentoring, and tutoring in the amount of
$784,450;
b. Saddleback College to provide recruitment, pre- engineering math courses, curriculum
development, student assessment, counseling, mentoring, and tutoring in the amount of
$763,854;
c. University of California Irvine to provide recruitment, academic counseling, mentoring,
support, career exploration, and internship development in the amount of $226,500;
d. California State University Fullerton to provide curriculum development, academic
counseling, internship development, and field trips in the amount of $141,380;
20A -1
AA - DOL Technical Skills Training Grant
February 6, 2012
Page 2
e. Canada College to provide curriculum design assistance and technical assistance in the
amount of $67,573;
f. Growth Sector to provide coordination of curriculum development, project management,
student support, and internship development in the amount of $951,390;
g. Rapid Tech to provide software, recruiting of industry partners, internship development,
and a summer engineering institute program in the amount of $316,600;
h. OCTANe to provide On- the -Job Training development in the amount of $30,000.
DISCUSSION
In May of 2011, the Department of Labor announced the availability of approximately $240 million
in funds for an H -1 B Technical Skills Training Grants program authorized by the American
Competitiveness and Workforce Improvement Act of 1998 (ACWIA). Funding for the grant comes
from user fees paid by businesses bringing in foreign workers into the United States with H -1 B
nonimmigrant visas.
The grant program is designed to provide education, training, and job placement assistance for
United States residents in the occupations and industries for which employers are using H-113
visas to hire foreign workers. Grants were made available to partnerships of private and public
sector organizations, which included: business - related non - profit organizations, educational
institutions, community colleges, community -based organizations, and organizations experienced
in administering the Workforce Investment Act of 1998 (WIA).
The Department of Labor awarded the City of Santa Ana, Santa Ana WORK Center (SAWC)
$4,997,479 to fund its Bridge to Engineering Program. The intent of the program is to provide
academic and peer support to pre- engineering students as they work their way toward an
engineering degree.
The program will recruit students from Santa Ana's High School Inc. Engineering Academy, local
high school S.T.E.M. (Science Technology Engineering Math) programs, Santa Ana College, and
long term unemployed individuals. Participants will be guided through a four -year engineering
program with intensive academic support and placed in On- The -Job Training paid internships with
Santa Ana employers and other local companies.
The SAWC is part of a multi- agency consortium composed of three community colleges, including
Santa Ana College; three business - related non - profits; and three universities, including California
State University Fullerton and the University of California at Irvine. The project will establish a
structure at both the community college and university levels that will increase the participation of
AA - DOL Technical Skills Training Grant
February 6, 2012
Page 3
underrepresented minorities and women in engineering and increase the supply of qualified
engineers in Orange County. The program design will include a special focus on math skills and
On the Job Training.
The SAWC will serve as the contractual and administrative lead agency and be responsible for
fiscal management, subcontracting, and grant reporting. It will also recruit, enroll and provide
support for program participants. The project will serve 290 people over a four -year period starting
from November 2011 to November 2015. Subcontracts with Santa Ana College, Saddleback
Community College, Canada College, University of California Irvine, California State University
Fullerton, Rapid Tech, Growth Sector, and OCTANe, will total $3,281,747.
FISCAL IMPACT
Upon approval of the appropriation adjustment, funds will be available in the DOL Bridge to
Engineering account (no. 13218744 - various).
APPROVED AS TO FUNDS AND ACCOUNTS:
�1 �%r ► c I)a_cL1
Nancy T. E ards Francisco Gutierrez
Interim Ex tive Director Executive Director
Community Development Agency Finance & Management Services Agency
NTE /LAO /cd /sv
Exhibits: 1. DOL H -1 B Technical Skills Training Grant Agreement
2. Sub - contractor Agreement Template
al .
IMP OYMENTiANDOTRAINING ADMINISTRATION I A OTlFICCATf0NAOFH 1
Under the authority of the Workforce investment.Act, this grant or agreement is entered into between the above
named Grantor Agency and the following named Awardee, for a project entitled - H -18 Technical Skills Tralning
Grants.
Name & Address of Awardee:
Agreement #:
HG- 22593- 12 -W -A -b
CITY OF SANTA ANA WORK
CFDA #: 17.268
A90310- 410023-
Code:
CENTER
Accounting
TA -DEFAULT TASK-
ETA-
E
1000 E. SANTA ANA
Mod Amount:
$4,997,479.00
BOULEVARD, SUITE 200
EIN:
956000785
SANTA ANA., CALIFORNIA
DUNS #:
083153247
097n4
The Period of Performance shall be from November 14, 2011 thru November 30, 2015.
Total Government's Financial Obligation is $4,997,479.00 (unless other wise amended).
Payments will be made under the Payments Management System, and can be automatically drawn down by the
awardee on an as needed basis covering a forty -eight (48) hour period.
In performing its responsibilities under this grant agreement, the awardee hereby certifies and assures that it will fully
comply with the following regulations and cost principles, including any subsequent amendments:
Uniform Administrative Requirements:
29 CFR Part 97, for State /Local Governments and Indian Tribes; OR
29 bFR Part 95, for Institutions of Higher Education, Hospitals and other Non - Profit Organizations and Commercial
Organizations.
Cost Princlples:
OMB Circular A -87, for State /Local Governments and Indian Tribes;
OMB Circular A -21, for Institutions of Higher Education; OR
OMB Circular A -122, for Non - Profit Organizations.
48 CFR Part 31.
Other Requirements (As Applicable):
29 CFR Part 96 and 99, Single Audit Act
29 CFR Part 93, Lobbying Certification
29 CFR Part 37, Nondiscrimination and Equal Opportunity Requirements
29 CFR Part 98, Debarment and Suspension; Drug Free Workplace
20 CFR Part 652 et al., Workforce Investment Act
Wagner - Peyser Act
Grant Award Document, Parts I through IV, and attachments.
The awardee's signature below certifies full compliance with all terms and conditions as well as the above statea grant
regulations- and certifications, and that this document has not been altered.
Signature of Approving Official - AWARDEE
See :I 24 for Signature
(Type Name and Title)
Signature of Approving Official - DOL /ETA
B JAI JOHNSON--November 09, 2011
Grant Officer
EXHIBIT 1
20A -5
/
OMB Number: 4040 -0004
Expiration Date: 03131/2012
Application for Federal Assistance SF -424
* 1. Type of Submission:
Preapplication
® Application
Changed /Corrected Application
* 2. Type of Application: * If Revision, select appropriate letter(s):
® New
E].Continuation * Other (specify):
Revision
* 3. Date Received: 4. Applicant Identifier:.
06/02/20»
Federal Entity identifier:
5b. Federal Award Identifier:
j(5a.
I
State Use Only:
6• Date Received by State: E==
7. State Application Identifier:
8. APPLICANT INFORMATION:
a. Legal Name: City of Santa Ana
" b. Employerrraxpayer Identification Number (EINrr[N):
` c. Organizational DUNS:
0831532470000
95- 6000785
d. Address:
"Street1: 20 Civic Center Plaza
Street2:
" City: Santa Ana
County /Parish: Ora ng e
* Slate: CA: California
Province:
*Country: USA: UNITED STATES
* Zip / Postal Code: 92701 -4058
e. Organizational Unit:
Department Name:
Division Name:
Workforce Investment Board
f. Name and contact Information of person to be contacted on matters involving this application:
Prefix: �— * First Name: Carlos
Middle Name:
" Last Name: de la Riva
Suffix:
Title: Economic Development Specialist
Organizational Affiliation:
• Telephone Number: 714 -5 65 -2 62 9 Fax Number:
*Email:
CDelariva @santa- ana.org
20A -6
Application for Federal Assistance SF -424
`9. Type of Applicant 1: Select Applicant Type:
C City or Township Government
Type of Applicant 2: Select Applicant Type:
Type of Applicant 3: Select Applicant Type:
j* Other (specify): _
I
* 10. Name of Federal Agency:
and Training Administration
11, catalog of Federal Domestic Assistance Number:
17.268
CFDA Title:
H -1B Job Training Grants
* 12. Funding Opportunity Number:
SGA DFA PY -10 -13
* Title:
18 Technical Skills Training Grants
13. Competition Identification Number:
Title:
14. Areas Affected by Project (Cities, Counties, States, etc.):
Add Aitachrnent Delete Attachment View Allac.hrnent
* 1s. Descriptive Title of Applicant's Project:
Orange County Bridge to Engineering provides accelerated math, supported engineering cohorts,
academic and personal supports, and on the Job Training to unemployed adults and dislocated
workers.
Attach supporting documents as specified in agency instructions.
Add AtEachments; Delete Atlachiiienls I Vie�y Atiachnienls.
20A -7
rr nv in ,z V...1-1 T)qfP-2n11-06-02T14:50:43-04:00
Application for Federal Assistance SF -424 ,
16. Congressional Districts Of:
a. Applicant cA -097 b. Program /Project cA -097
Attach an additional list of Program /Project Congressional Districts if needed.
Additional congressional District., Add Attachrpenf :' Delete AlfaChmant View Attechment J
17, Proposed Project:
* a. Start Date: 09/01/2011 * b. End Date: 08/31/2015
.18. Estimated Funding ($):
`a. Federal 4, 997, 479..00
* b. Applicant 0.00
`a State 0.00
* d. Local
* e. Other 0.00
f. Program Income 0.00
'g. TOTAL 4,997,479.00
• 19. Is Application Subject to Review By State Under Executive Order 12372 Process?
a. This application was made available to the State under the Executive Order 12372 Process for.review on L�
b• Program Is subject to E.O. 12372 but has not been selected by the State for review.
® c. Program Is not covered by E.O. 12372•
* 20, is the Applicant Delinquent On Any Federal Debt? (If "Yes," provide explanation in attachment.)
Yes . ®No
If "Yes ", provide explanation and attach
Add Attachment Delete Attachment ViewAttachm nt
21. `By signing this application, I certify (1) to the statements contained in the list of certifications ** and (2) that the statements
herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances ** and agree to
comply with any resulting terms if I accept an award. 1 am aware that any false, fictitious, or fraudulent statements or claims may
subject me to criminal, civil, or administrative penalties. (U.S.'Code, Title 218, Section 1001)
® ** I AGREE
" The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or agency
specific Instructions.
Authorized Representative:
Prefix: r1 -First Name:' Linda
Middle Name:
* Last Name: Oberman
Suffix:
"Title: Director
• Telephone Number: 1714-565-2600 Fax Number:
*Email: LOberman @santa - ana.org
* Signature of Authorized Representative: Carlos de la Riva * Date Signed: 06/02/2011
qjhlff;7
administrative Cost's
20A-9.
See., 667.220 What Workforce'Investment Act title I functions and activities
constitute the costs of administration subject'to the administrative coat limit?
(a) The cos'ts'of administration are that allocable portion of necessary and
reasonable allowable costs of state and local workforce investment boards, direct
recipients, including state,grant recipients under subtitle B of title I and
recipients of awards under subtitle D of title I,•as well as local grant recipients,
local grant subr$cipients, local fiscal agents and one -stop operators that are
associated with those specific- functions identified in .paragraph (b) of this section
and which are not related to the direct provision of,workforce investment services,
including services to'participants.and employers. These cost$ can be both personnel
and non - personnel and both direct and indirect.
(b) The costs of administration are the costs associated with performing the
following functions:
(1) Performing the following overall general administrative functions and
coordination of 'those functions under WIA title I:
(i) Accounting, budgeting, financial and cash management functions;
(ii) Procurement and purchasing functions;
(iii) Property management functions;
(iv) Personnel management functions;
(v) Payroll functions;
(vi) Coordinating the resolution of findings arising from audits, reviews,
investigations and incident reports;
(vii) Audit functions;
(viii) General legal services functions; and red
(ix) Developing systems and procedures, including information a
systems, required
for these administrative•'functions;
(2) Performing oversight and — monitoring responsibilities related to WIA
administrative functions;
(3) Costs of goods and services required for administrative functions of the
program, including goods and services such as-rental or purchase of equipment,
utilities, office supplies, postage, and rental and maintenance of office space;
(4) Travel costs incurred for official business in carrying out administrative
activities or,the overall management of the WIA system; and
(5) Costs of information systems related manadecnenttraccountingtandapayrollxample, to
personnel, procur' ent,' urchas•ing,.p p y. g
systems] including the purchase, systems development and operating costs of such
systems.
(c)(1) Awards to subrecip'ients or vendors that are solely for .the performance of
administrative functions •are.classified as administrative'costs,
(2) Personnel and related non = personnel' costs of.staff who perform both
administrative functions specified in paragraph (b) of this section and programmatic
services or activities' must be allocated as administrative or program costs to the
benefiting cost objectives /categories based on documented distributions of actual time
worked or other equitable Cost allocation methods.
(3) Specific Copts-charged to an overhead or indirect cost pool that can be
identified directly-as a program cost are to be charged as a program cost.
Documentation of such charge's must- be maintained.
(4) Except as provided at paragraph (c)(1), all costs incurred for functions and
activities of subrecipients and vendors are program costs.
(5). Costs of the following information systems including the purchase, systems
development and 'operating (e.g,,. data entry) costs are charged to the program
category:
(i) Tracking or monitoring of participant and performance information;
(ii) Employment statistics information, including job listing information, job
skills information, and demand occupation information;
(i'ii) Performance and program cost information on eligible providers of training
vities;
services, youth activities, and appropriate education acti
(iv)Local area performance information; and
(v) Information relating to supportive services and unemployment insurance claims
for program participants;
(6) Continuous improvement activities are charged to administration program
Do
Category based -on the purpose or nature of the activity to be improved. Documentation
of such charges must be maintained.
The Solicitation -for
Grant Appl.."ications for thi.s
20A -11
DEPARTMENT OF LABOR
Employment and Training Administration
Notice of Availability of Funds and Solicitation for Grant Applications for H -1 B Technical
Skills Training Grants
Announcement Type: 'Solicitation for Grant Applications (SGA)
Funding Opportunity Number: SGA/DFA PY -10 -13
Catalog of Federal Domestic Assistance (CFDA) Number: 17:268
Key Dates: Applications for grant awards will be accepted immediately upon publication
.of this notice in the Federal Register with two closing dates of June 2, 2011 and November 17,
2011. Applications must be received no later than 4:00 p.m. Eastern Time on the closing dates:
Applicants may only submit one application for each closing date, but successful applicants will
only receive funding for one grant. Applicants that submit more than one application to a round
of funding will be considered non- responsive, and none of their applications will be considered
for funding. A pre- recorded webfnar will be on -line (http• / /www.workforce3one.om) and
-. - - -- accessible - for - iewing -no- later- than - May -6; 2011-Fand-will -be- available- for - viewinganytime- after- - - - ----
that date. In addition, ETA will be hosting alive webinar at 11:00 a.m. Eastern Time on
Wednesday, May 4, 2011 While a review of either of these webinars Is encouraged it is not
mandatory that applicants view these recordings.
Addresses: Mailed applications must he addressed to the U.S. Department of Labor,
Employment and Training, Administration, Division of Federal Assistance, Attention: Thomas
Martin, Grant Officer, Reference SGA/DFA PY 10 -13, 200 Constitution Avenue, NW, Room
N4716, Washington, DC 20210. For complete application and submission information, including
online application Instructions, please refer to Section IV.
Summary: The Employment and Training Administration (ETA), U.S: Department of
Labor (DOL or the Department), announces the availability of approximately $240 million in
funds for an H -1 B Technical Skills Training Grants program. This grant program is designed to
provide education, training, and job placement assistance in the occupations and industries for
which employers are using ' H-113 visas to hire foreign workers, and the. related activities
necessary to supportt such training. H -1 B technical skills training grants are financed by a user
fee paid by employers to bring foreign workers into the United States under the H -1 B
nonimmigrant visa program. This technical skills training program was authorized under Section
414 (c) of the American Competitiveness and Workforce Improvement Act of 1998 (ACWIA), as
amended (29 USC 2916a). Grant awards will be made only to the extent that funds are
available.
The Department will make awards to two'types of training grants: those that-provide On-
the -Job Training (OJT) to all participants and those that use other training strategies. Of the
awards granted through this Solicitation, at least-$150 million will be awarded to grantees that
provide OJT to all participants., Between the two types of grants awarded (OJT and other
training strategies), DOL intends to fund at least $45 million.to applicants proposing to provide
training for occupations in the health care industry and at least $60 million'to applicants that
serve long -term unemployed individuals. While this Solicitation is open, DOL anticipates that
additional funding will. accrue for this grant program. Such additional funding may be made
available for awards during the second round of funding, depending on the quality of
applications received.
Grants may be awarded to partnerships of private and public sector entities, which may
include: business - related nonprofit organizations, such as trade associations; education and
training providers, including community colleges and community -based organizations; and
41y
entities involved in administering the workforce Investment system established under Title I of
the Workforce Investment Act of 1998 (WIA) and economic development agencies. Additional
partners that reflect the character and resources of the local or regional economy are strongly
encouraged.
SUPPLEMENTARY INFORMATION: This Solicitation consists of nine (9) sections:
Section I provides a description of this funding opportunity.
Section Ii provides award information.
Section III provides elldibility information.
Section IV provides Information on the application and submission process.
Section V describes the-criteria against which applications will be reviewed and
explains the proposal review process.
Section VI describes award administration information.
Section Vil provides agency contacts.
Section Vlll provides additional resources of interest-to applicants.
Section IX provides other information.
Section I Funding Opportunity Description
A. Overview
The United States supports a very large, diverse,. and innovative economy. Current
economic conditions have intensified the country's need to employ practical and effective
solutions to our most pressing socio- economic challenges, While the economy is showing
positive signs, the recession is still playing out in many parts of the country, including an
Increased number of layoffs. Job creation,has been slow in many urban and rural communities
which also has led to prolonged unemployment.. At the same time, there are still skill shortages
In some industries and occupations, and this grant program creates an opportunity to address
both issues.
In response to industry skill shortages in high- growth industries and occupations,
Congress established the H -1 B visa category for non - immigrants seeking work in high -skill or
specialty occupations, imposed a user fee, on employers for H -1 B applications, and set annual
limits on the number of H-113 visas granted. ACWIA, as amended, authorized the Department
to use a portion of those fees to finance an H -1 B Technical Skills Training Grant Program.. This
grant program is designed to provide. education, training, and job placement assistance in the
occupations and industries for which employers are using H -1 B visas to hire foreign workers,
and the related activities necessary to support such training.
The H -1 B Technical Skills Training Grant Program is intended to raise the technical,skill
levels of American workers so they can obtain or upgrade employment in high- growth industries
and occupations. Over time, these education and training programs will help businesses reduce
their use of skilled foreign professionals permitted to work in the U.S, on a temporary basis
under the H -113 visa program. While „ the occupations at H -113 skill levels are generally defined
as a bachelor's degree or comparable experience, education and training conducted through
this program is not limited to skill levels commensurate with 4 -year undergraduate degrees, and
can include the preparation of workers for employment along career pathways fora broad range
of occupations and industries in which employers are using H -1 B visas to hire foreign workers.
H-113 Technical Skills Training Grants are not intended to address entry-level skill shortages nor
may they fund programs aimed at imparting basic educational skills; however, applicants may
propose-courses that support technical skills development at the post - secondary level, e.g.,
math, science, or language courses directly related to technical skills training,
2 20A -13
B. Targeted Industries, Occupations and. Participants
Technical Skills Training Grants under this SGA will focus on high - growth industries and
occupations defined in ACWIA as those that: 1) are projected to add substantial numbers of
new jobs to the economy; 2) are being transformed by technology and innovation requiring new
skill sets for workers; 3) are new.and emerging businesses that are projected to grow; or 4) .
have a significant impact on the economy overall or on the growth of other industries and
occupations. To meet the legislative intent of training American workers to reduce the need for
foreign workers under the H -1 B visa program, applicants must design their education and
training programs to support industries and occupations for which employers are using H -1 B
visas to hire foreign workers. According to recent data, a wide range of industries may meet
these criteria in local and regional areas around the country.
Applicants should review the attached list of industries and occupations that are using
H -1 B visas to hire foreign workers (See Attachment A). This list is not'exhaustive and
applicants are advised to also refer to the Foreign Labor Certification Data Center Web site
( http : / /www.flcdatacenter.com /CaseH1 B.aspx) for the latest database of occupations approved
under H-1 B. petitions, For this Solicitation, ETA is particularly interested in training for
- -- occupations within the- following- industries:- information - technology- communlcation-and- - - -- - - - --
broadband technology, advanced manufacturing and health care.
ETA intends to fund at least $45 million to applicants proposing to provide training in the
health care industry (including Health Information Technology). The health care industry has
grown rapidly and is projected to grow in the future due to advances in medical knowledge and
the increased need for medical services required by an aging population. Of the 20 fastest
growing occupations, half are within the'health care industry. The absence of sufficient
numbers of qualified workers in this diverse sector threatens the quality and availability -of
medical care, and the economic stability and growth potential of local communities in rural,
urban, and suburban areas. Mdreover, the growing complexity of health care de. livery will
require workers to continuously upgrade their. skills.
. While grants will serve participants who maybe currently employed or unemployed, the
Department is. particularly focused on reaching those individuals who have been unemployed
the longest, and will work to ensure that at least $60 million In grant awards goes to those
applicants that focus on this population: According to the Bureau of Labor Statistics' December
2010 Employment Situation Summary, the long -term unemployed make up about 44 percent of
all unemployed workers. These unemployed workers may be near or past the exhaustion of
their unemployment benefits or may be discouraged from looking for work. They may need
additional assistance to enhance their skills to become re- employed.
C. Training Strategies and Allowable Activities
Applicants must propose projects that provide job training and related activities that are
designed to assist workers in gaining the skills and competencies needed to obtain or upgrade
employment in high - growth industries and occupations, or along the career pathways for such
industries and occupations. A career pathway may generally be defined as a system of career
options which allows opportunities for professional growth and upward mobility. Training under
this Solicitation may not be used for entry-level occupations, but should focus on occupations
along the career pathways that require higher skill levels. DOL will fund two types of training
programs: those that provide OJT to all participants, or those that use other promising training
strategies. With each type of training strategy, there are a number of activities that applicants
can include to ensure that the programs meet participants' needs.. All training strategies must:
1) target skills and competencies in demand by industries and occupations for which employers
are using H -1 B visas to hire foreign workers (see Attachment A); 2) provide education and
training for jobs currently available; and 3) whenever possible, result in an,industry recognized
credential. ETA encourages applicants to use program models with demonstrated success In
20A -14
.serving the eligible participants, especially those with strong program evaluations showing
positive impacts on participants.
1. ' On -the -Job Training (OJT)
ETA intends to commit at least $150 million to grants that employ training strategies that
provide On- the -Job. Training (OJT) to every participant, incumbent worker training does not
qualify for OJT and does not count toward the $150 million set aside. This does not preclude
the applicant from proposing and implenjonting other types of training strategies in support of
OJT, however, OJT must be a component of each participant's training strategy. OJT is
distinguished from other types of workplace training, including customized training, by several
factors: (1) participants are hired (or employed) and earn wages from employers during
training; (2) it Is based on an individualized training plan that reflects the results of an individual
skills assessment and an analysis of job requirements; (3) training is conducted in the work
setting under the direction of one or more of the employer's supervisory personnel; and (4) the
employer is paid a reimbursement to cover the extraordinary costs of the training.
OJT can bridge the divide between unemployment and employment by addressing gaps
in an individual's skill level. Individuals who participated in OJT in the past have demonstrated
.. - .-- - - - - - -- improved - labor - mar -ket attachment and- enhanced job tenures -- illustrated -by- higher - rates -of- job - -- -- - ---
placement and retention. OJT also offers participants a "learn and earn" training option,
allowing individuals to learn new skills while earning a regular paycheck.
2. Other Training Strategies'
Under the second type of training strategy (non -OJT) to be funded, applicants must not
offer OJT to participants. Other types of training strategies include b -ut are not limited to:
classroom occupational training; contextualized learning; distance learning; and customized
training, including incumbent worker training, for particular employers or groups of employers.
3. Activities that Support the Training Strategies
In implementing either type of training program, applicants may propose to use grant
funds for a wide range of activities that support.the direct education and training of eligible
participants including but not limited to the following:
o Developing math, science or language courses at the post - secondary level that are
integrated into the technical skills training;
0 Costs related to accrediting employer- and /or industry- recognized credentials;
® Other costs of program development such as using subject matter experts from
industry, education, and other areas to assist in curriculum design;
Developing and'implementing articulation agreements with universities and other
educational partners that allow for recognition of course credits in exchange for the education
and /or training provided;
® Recruitment of eligible participants;
® Initial assessment of skill levels, aptitudes, abilities, and competencies;
® Job search and placement assistance, as well as career counseling;
Supportive services that enable individuals to participate'in grant activities (see
Section IV.E.7); and
® Updating or replicating existing in curricula to support direct
education and training provided through the grant.
Activities that are not directly related to the development and implementation of
education, training, and other related services for high - growth industries for which employers
are using H -1 B visas are not allowable. activities under this grant. Applicants should refer to
Section VI of the SGA for a list'of relevant OMB Circulars related to cost principles,
administrative and other requirements that apply to this Solicitation and to Section ME for a
discussion of costs that are not allowable under this Solicitation.
M
20A -15
Section II. Award Information
A. Award Amount
Through this single Solicitation, ETA is making approximately $240 million in funds
available through two rounds of funding, and expects to fund 75 -100 grants with individual
grant amounts ranging from $1 million to $5 million. Between these two rounds of grants, DOL
intends to award at least $150 million to grantees that provide On- the -Job Training (OJT) to all
participants. The remaining funding will be awarded to applicants that'provide other training
strategies to participants. Across the two types of grants awarded (OJT and other training
strategies), DOL intends to award at least $45 million to applicants proposing to provide training
in the health care industry and $60 million to applicants proposing -to focus on the long -term
unemployed. These set - asides are not-mutually exclusive; In other,words, applicants can -
propose to' provide OJT'in the health care industry and if successful, their funding amount•will
count toward both set- asides. ETA reserves the right to change these amounts depending on
the quantity and quality of applications submitted under this SGA. DOL anticipates that
additional funding will accrue for this .grant training program between the first and second
__rounds oig rits GoAtain�� his S— digit afLon�u ch_- additianalJuadinq_may -b.e _mad- e_avaiiab.l.e__._
for awards during the second round of funding, depending on the quality of applications
received. Grant.awards will be made only to the extent that funds are available.
-a ea e grea a an i ion wi e eeme .non
responsive and will'not be considered.
Applicants may only submit one application for each closing date; successful applicants
will only receive funding,for one grant. Applicants that submit more than one application to a
round of funding will be considered non - responsive, and none of their applications will be
considered for funding. If an applicant is not successful when submitting an application during
round one, it should note that ETA cannot ensure that applicants will receive a summary of the
panel's comments on the original application before the second closing date. Therefore, if an
applicant chooses to submit a second application for the later closing date, absent receipt of the
summary of the panel's comments, any changes to their original proposal will be made at their
own discretion.
Grants proposing the two types of training strategies (OJT and non -OJT) will be paneled
separately.
B. Period of Performance
The period of grant performance will be up to 48 months from the date of execution of
the grant documents. This performance period includes all necessary implementation and start-
up activities. Applicants should plan to fully expend grant funds during the period of
performance while ensuring full transparency and accountability for all expenditures.
Section Ill. Eligibility Information
A. Eligible Applicants
Grants may be awarded to a partnership of private and public Sector entities as defined
in ACWIA. This partnership must include at least two entities from among the following groups:
1) business- related nonprofit organizations, such as trade • associations; 2) education and
training providers, including community colleges and other community -based organizations; and
3) entities Involved in administering the workforce investment system established under Title I of
the WIA, and economic development agencies.
All applicants must clearly identify the lead organization that will serve as the grantee
and have overall fiscal and administrative responsibility for the grant, as well as each member of
the partnership and the required partner(s) in the required Abstract (see Section IV.B. Part ill.)
4125
The grantee organization must be the organization specified In Section 8 of the SF -424
Application Form, and will be: 1) the point of contact with DOL to receive and respond to all
inquiries or communications under this SGA and any subsequent grant award; 2) the entity with
authority to withdraw or draw down funds through the Department of Health and Human
Services - Payment Management System (HHS -PMS); 3) responsible for submitting to DOL all
deliverables under the.grant, including all technical and financial reports related to the project,
regardless of which consortium member petfiormed the work; 4) the entity that may request or
agree to a revision or amendment .of the grant agreement or statement of work; 5) the entity with
overall responsibility for carrying out the programmatic functions of the grant, as well as for the
stewardship of all expenditures under the grant; and 6) the entity responsible for working with
DOL to close out the grant.
For the purposes of this SGA, these partner groups 'are defined as:
1. Business - related Nonprofit Organizations
in
Business - related Nonprofit Organizations clude trade or industry associations such as
local Chambers of Commerce and small business federations, and labor organizations. These
_e.nfiiges -may co.ntrlbute to- on.e -or_more- aspEcts -of- the -gr ant- activities,-such -as- defining - the--- . - - - -- - - --
program goals, identifying necessary skills and competencies, providing resources to support
education and training (e.g. equipment, instructors, funding, internships, or OJT and other work-
ase earning ac ivi ies or si ua ions , an conven ng conso is o emp Dyers, pa cu ar y sma
businesses.
2. Education/Training Providers and Other Community -Based Organizations
For the purposes of this SGA, education and training providers are institutions of higher
education-as defined in Section 101(a) of the Higher Education Act of 1965 (20 U.'S.C. 1001).
These "institutions of higher education" include public or other nonprofit educational institutions.
Applicants must identify their institution type in Section 9 of the SF -424 Application for Federal
Assistance. Eligible institutions must be.accredited by a nationally recognized accrediting
agency or association that has been recognized by the U.S. Department of Education. A
database of institutions that are accredited by bodies recognized by the U.S. Department of
Education can be found at hitp://ope.ed.gov/accreditation . Applicants are strongly encouraged
to check this Web site, 'as the Department will use this database in determining an applicant's
accreditation to ensure eligibility. Generally, institutions of higher education include 2 -year and
4 -year colleges and universities, Historically Black Colleges and Universities, Tribal Colleges
and Universities, and Hispanic - Serving Institutions, among others.
Community -based organizations are key providers of basic skills training, technical skills
training, supportive services, and workforce development services in communities across the
country. Community -based organizations understand the importance of leveraging resources,
engaging employers to better understand their workforce needs and secure. employment for
their participants, and providing comprehensive supportive services in a manner that Is culturally
and linguistically appropriate, to the extent legally allowed, for workers and training participants.
3. The Workforce Investment System and Economic Development Agencies
Public workforce system entities are involved in administering the workforce investment
system established under Title I of WIA; and include state and local Workforce Investment Boards
and their One -Stop Career Center systems. These types of organizations may participate in the
grant-activities, such as: 1) understanding and analyzing the need for education and training in
the local area including identifying targeted industries, occupations, and hiring needs, as well as
populations to be served, and providing relevant sources of data including the workforce
investment board's strategic plan, labor market information, and other tools or reports; 2)
assessing potential participants for the grant program; 3) identifying and referring candidates for
6 20A -17
education and training in the grant program; 4) connecting and placing participants with
collecting, tracking, and reporting participant data to
employers that have job openings; and, 5) g.
P
ETA.
State, regional, and/or local economic development agencies work ciosely,with
employers, understand regional
tang obs and stimulate indust 'industrial and commercial growth. t The role of
generate and retain existing) opportunities and retain their
economic development agencies conorriic development lopment ag ncies do not create jobs, but support
existing employer community. support the
new and ensuring businesses a e there e suffic sufficient economic development agencies
programs and incentives in
protect by en g
place to assist the businesses in achieving their goals.
Applicants are strongly encouraged to consider integrating employment and training
omic development programs with collaborative regional
to ensure that workers ar strategies align
be g prepared fo`r growth
economic development In ve
industries in their regional eco nomy.
onomy. `
- -B.- Required-Part nerships- with-€ mpioyer (- s)- or- Gonsortia- of -Emp must also work with at
In addition to the entities included in the partnership, applicants
least one employer or fi consortium of ea I goals and actI it ese identifying necessary skits and of
• the following ways: defining the p g
competencies, providing resources to support education /training (such as equipment,
instructors, funding, internships, or OJT and other work -based learning ed activities), pr who g
assistance with program design, and, where appropriate, hiring q participants
complete grant- funded education and training programs based on real job projections.
ETA particularly encourages- partnerships that include multiple employers in an industry
cluster, which Is a concentrdaeios of
nd asociated interconnected businesses, institutions n a particular field that ae linked by
development, service prove
common workforce needs. Working with multiple businesses helps ensure that.training
prepares workers for a range of employer needs in the target indust making p ci p ants more
employable and giving businesses a stronger employee pool.
All training approaches work best. when the employment experience particular, lonely tied to er
anticipated employment opportunities. Applicants proposing OJT, in
the hiring plans of interested employers to maximize the number of participants who• are hired
permanently. Employers have the added incentive to participate in all phases of the training
development since OJT
hi eoffers
bui d ng organpzat onal p oductivity initial
as the participant lea ns thelj.ob
• fillirig skilled positions w •
requirements.
C. Cost Sharing or Matching
Match Requirement
The requirement for match is contingent on the activities proposed by the applicant.
t
Applicants that propose incumbent c worker training matching For applicants that do not include
to 50 percent of the gran
incumbent worker training activities, cost sharing or matching funds are not requireed'a percent .
condition for application.. For applicants proposing incumbent worker activities,
matching funds may be provided in cash or in -kind, however half of the total matching funds
must be cash match.
2. Definitions and Administrative Requirements
The general R administrative .3. Under these requirements, ocash match sharing defined as funds made
CFR 97.25 or 29 CFR
7 20A -18
available to the grantee (or subgrantee) to be used specifically for project activities. The
grantee has control over and disburses these funds and they are tracked and accounted for in
their accounting system. Other federal resources may not be counted towards the match.
requirements. Examples of cash match include funds provided for grant activities by the
applicant; funds the applicant receives from employers or salaries paid by employers providing
the incumbent worker training; and cash funds the applicant receives from partners of the
applicant including foundations, private entities or state or local governments, provided that the
government resources are not comprised of any federal funds. In -kind contributions are non
cash contributions provided by the applicant or, non - Federal third parties. In -kind contributions
may be in the form of equipment, supplies, and other expendable property, donated time, and
the value of gpods and services that directly benefit and are specifically identifiable to the, .
project program.
9. Allowable Match
To be allowable as.part of match, a cost must be an allowable charge for Federal grant.
Determinations of allowable costs will be made in accordance with the applicable Federal cost
— - — principles- for- nonprofitsfeducation- and- governmerrt entities -as- indicated -in- Section V[-.B-.I- - --
Additionally, grantees must follow the requirements regarding match, including definition and
valuation of in -kind resources found in 29 CFR 95.23 and 29 CF 97.24.
4. Incumbent Worker Salaries
The portion of an incumbent worker's salary paid while the worker is participating in
incumbent worker training (i.e., employee paid release time) may be counted as match under
these grants.. Fringe benefits and other pefsonal benefits cannot be counted as. match. For
employer partners (or subrecipients), these funds may be counted as cash match. Please note
that salaries paid by employers to OJT participants cannot .count as match.
5. SF -424, SF -424A and the Budget Narrative
The matching funds required of applicants who are proposing incumbent worker
activities must be shown on the SF -424 application and the SF -424A budget form. Please note
that any cash or in -kind resources beyond the 50 percent required match should be counted as
leveraged resources. Applicants must clearly make the distinction between what will be
considered matching funds and what will be considered additional leveraged resources.and
explain leveraged resources in the budget narrative separately from the explanation of match.
Do not include the leveraged funds on the 8F -424 or SF -424A. Applicants who are not
proposing incumbent worker activities should list no match amount on the SF -424 and SF -424A,
even if they are providing leveraged resources. Details on leveraged resources can be included
in the budget narrative.
For applicants proposing incumbent worker activities, the amount and nature of the
match must also be clearly described in the budget narrative as discussed in Section N.B.I.
The budget narrative must include a breakdown of the match that lists the amount of the cash
match; the amount of in -kind match; and the total match provided. If there is a discrepancy in
the amount of funds specified on the SF -424, SF -424A or Budget Narrative, DOL will consider
the amounts specified on the SF -424 as the applicant's match.
Applicants that fail to provide the required match information on the SF-424, SF -424A
and in the budget narrative will be found 'non-responsive to this SGA and their application will
not be considered for funding. There are no evaluation criteria or points associated with this
match requirement or the provision of leveraged resources.
6. Fulfilling the Match Requirement
Applicants are expected to fulfill the match amount specified on the SF -424 during the
grant period of performance. If the match amount specified is not met or If a portion of the
matching funds are found to be unallowable costs, the amount of DOL grant funds may be
decreased on a dollar- for - dollar basis. If this occurs, the grantee may be required to repay
funds to DOL.
7. Reporting Match-and Leveraged Resources
DOL grantees must track and report both match and leveraged resources quarterly on
ETA Form 9130. Instructions and the ETA Form 9130 may be found at
http: / /www.doleta.gov /grants /fin.anclal_reporting.cfm
D. Other eligibility Criteria
1: Grant Recipient Training
Grant recipients are required to participate in all ETA training activities related to
- - -- orientation-,- financial - management -and- reporting; Verfermance- reportirrg—,p-rod-�Tct dfsse imatiori, — - " —"
and other technical assistance training ap appropriate during the life of the grant. These trainings .
may occur via conference calls through virtual events such as wehinars� and in- person meetings
Applicants should budget for at least two staff members to attend two in- person training events
during the life of the grant.
2. Transparency .
The Department is committed to conducting a transparent grant award process and
publicizing information about program outcomes. Applicants are advised that their application and
information related to Its review and evaluation (whether or not the application is successful) may
be made publicly available, either fully or partially. In addition, information about grant progress
and results may also be made publicly available.
E. Eligible Participants
1. Participants Eligible to Receive Training
. .Applicants must propose projects that focus on providing education and training to
unemployed and /or-employed workers, however, incumbent workers are not eligible for OJT
under this SGA. The Department is particularly interested in making sure that grants focus on
serving long -term unemployed workers, especially those who have been unemployed the
longest.
In order to be considered as an applicant focusing on this population, at least 75% of the
applicant's participants should be documented as long -term unemployed. While long -term
unemployed individuals are defined as those who have been unemployed for 27 weeks or more,
the Department is also interested in making sure that applicants have the. flexibility to serve
Individuals from their communities that have been unemployed the longest. Individuals who
have lost theirjobs during the recent recession (commencing from January 1, 2008 forward),
and have exhausted unemployment benefits, or have not yet reconnected with a job that
provides comparable responsibility and pay (underemployment), or who are working part -time
job(p) when they want a full -time job, or who have become discouraged and have stopped
looking for a job should be considered among the long -term unemployed. Applicants should .
consult their state's .unemployment data to target individuals who have been unemployed for
much longer than 27 weeks. (Data on unemployment Is available at
hftp: / /ows.doleta.gov /unemploy /)
0
4111_WIC
Candidates for education and training funded through these grants should not be at the
beginning of a career pathway and should have at least a high school diploma or a GED, as well
as some post- secondary education and /or work experience that would allow them to enter the
defined career pathway at a later point. Candidates may already have an associate's or
bachelor's degree, but they do not necessarily have to possess advanced degrees to be
eligible. Applicants must propose projects that serve only individuals who are at least 18 years
of age and are, pursuing a high -skill occupation.
2. Veterans Priority for Participants
The Jobs for Veterans Act (Public Law 107 -288) requires grantees to provide priority of
service for veterans and spouses of certain veterans for the receipt of employment, training, and'
placement services in any job training program directly funded, in whole or in part, by DOL. The
regulations implementing this priority of service can be found at 20 CFR part 1010. in
circumstances where a grant recipient must choose between two equally qualified candidates
for a service, one of whom is a veteran or- eligible spouse, the veterans priority of service
provisions require that the grant recipient give the veteran or eligible spouse priority of service
--= __ - -by first providing- him -or --her -that service—T-o- obtain- priority =of-service;-a- veteran -or- spouse - must -
first meet the program's eligibility requirements. Grantees must comply with DOL guidance on
veterans' priority. ETA's Training and Employment Guidance Letter (TEGL) No. 10 -09 (issued
November 10, 2009) provides guidance on implementing priority of service for veterans and
eligible spouses in all qualified job training programs funded in whole or in part by DOL. TEGL
No. 10 -09 is available at http://wdr.doleta.gov/directives/corr doc.cfm ?DOCN= 2816.
Section IV. Application and Submission Information
A. How to Obtain an Application Package
This SGA contains all of the information and links to forms needed to apply for grant
fundina.
B. Content and Form of Application Submission
Proposals submitted in response this SGA must consist of three separate and distinct
parts: (1) a cost-proposal; (Ii) "a technical proposal; and (III) attachments to the technical
proposal. Applications that do not contain all of the three parts or that fail to adhere to the
instructions in this section will be considered non - responsive and will not be considered for
funding. it is the applicant's responsibility to ensure that the funding amount requested is
consistent across all parts and sub -parts of the application.
Part I. The Cost proposal. The Cost Proposal must include the following items:
® SF -424, "Application for Federal Assistance" (available at
http://www07.qrants.gov/agencies/forms repository information.isp). The SF -424 must clearly
Identify the applicant and must be signed by an individual with authority to enter into a grant
agreement. Upon confirmation of an award, the individual signing the SF -424 on behalf of the
applicant shall-be considered the authorized representative of the applicant. All applicants for
Federal grant and funding opportunities are required to have a Data Universal Numbering
System (D- U -N -SO) number, and must supply their D- U -N -SO Number on the SF -424. The D-
U-N-SO Number is a nine -digit identification number that uniquely identifies business entities. If
you do not have a D- U -N -SO Number, you can get one for free through the D &B website:
http://fedgov.dnb.com/webform/displayHomePa.ge.do.
c The SF -424A Budget Information Form (available at
http://www07.qrants.gov/agencies/forms repository Information.isp). In preparing the Budget
10
20A -21
Information Form, the applicant must provide a concise narrative explanation to support the
budget request, explained in detail below.
0 Budget Narrative: The budget narrative must provide a description of costs
associated with each line item on the SF -424A. If applicants are proposing Incumbent worker
training, the budget narrative -must include a description of the amount and nature of the match
provided for incumbent worker training'to support grant activities. Please note, any funds
provided 1r excess of 50% should be listed as leveraged resources and not match. Do not
include leveraged resources on the SF -424 or SF -424A. Match and leveraged resources must
be described separately in the budget narrative with the applicant clearly distinguishing between
what will be considered matching funds and what will be considered additional leveraged
resources. The amount of match must be broken down between the amount of cash match and
the amount of in -kind contributions, as well as the total match provided. Additionally, in the
budget narrative the entirety of the match must be calculated as a percentage of the grant
amount as outlined In Section iI I.C. Please. seethe requirements of 29 CFR 97:24 or 29 CFR
95.23 for the definition of match as well as requirements for determining the value. of in -kind
contributions.
----- - - ---0 Note- that -the-- entire- Federal-grant- amount- requested-(not just - one - year) - must- be7-- -- --
Included on the SF -424 and SF -424A and budget narrative. No leveraged resources should be
shown on the SF 424 and SF 424A• they should be discussed in the budget narrative For
applicants including incumbent worker activities, the match amount must be listed on the SF-
424 and -424A or your application will•be deemed non- responsive. However, for all other
applicants, including OJT and other training strategies that do not use incumbent worker -
training, do not include an amount for match or leveraged resources on the SF -424 and SF-
424A. The amount listed on the SF -424, SF -424A and budget narrative must be the same.
Please note, the funding amount included on the SF -424 will be considered the official funding
amount requested if any inconsistencies are found. Applications that fail to provide an SF -424
including D- U -N -S® Number, SF -424A, and a budget narrative will be considered non-
responsive and not reviewed.
0 Regardless of the method of application submission, all applicants must register
with the Federal Central Contractor Registry (OCR) before submitting an application. Step -by-
step Instructions for registering with CCR can be found at
http://www.grants.gov/appiicants/or-q step2 isp. An awardee must maintain an active CCR
registration with current information at-all times during which it has.an active Federal award or
an application under consideration. To remain registered in the CCR database after the initial
registration, the applicant is required to review and update on an annual basis from the date of
initial registration or subsequent updates its information in the CCR database to ensure it is
current, accurate and complete. ' For purposes of this paragraph, the applicant is the entity that
meets the eligibility criteria and has the legal authority to apply and to receive the award.
Failure to register with the CCR before application submission will result in your application
being found non - responsive and not being reviewed.
Part 11. The Technical Proposal. The Technical Proposal must demonstrate the
applicant's capability to implement the grant project in accordance with the provisions of this
Solicitation. The guidelines for the content of the Technical Proposal are provided in Section V
of this SGA. The Technical Proposal is limited to 20 double- spaced single -sided 8.5 x 11 inch
pages with 12 point text font and 1 inch.margins. Any materials beyond the specified page limit
will not be read. Applicants should number the Technical Proposal beginning with page number
1. Applications that do not include Part 11, the Technical Proposal, will be considered non-
responsive and not reviewed.
11
Part fill. Attachments to the Technical Proposal. In addition to the Technical Proposal, the
applicant must submit the following attachments:
a) The applicant must provide an Abstract, not to exceed two pages, which will serve as
a summary of the grant and will be shared publicly, and
had applicant's e followTax
sections: 1) the project name; 2) the lead applicant, the
Identification Number, and each required partner within the project (identified In
Section III.A and.III.B); 3) the applicant's city /state; 4) the grant's targeted high-
growth industry(ies) and /or occupation(s) and the related industry and /or occupation
from the N -1 B visa lists 5) the funding level requested and match amount (if
applicable); 6) a summary of the specific program activities (see Section I.C),
including whether it is. an OJT program or one using other training strategies (and if
so, whether or not it includes incumbent worker training; 7) the eligible participants to
be served, including whether there ec nqu res to unemployed;
be addre sed (rnay
public contact Information wher grantee wants pub
be an emall, website, or phone number).
b) Each applicant must submit one signed letter of commitment from the partners,
- -inclu id ng the required employer paa6d-(sl as regdired r �6bli6 Ill -B of the SG7�. .
The letter must confirm the commitment of each organization involved in the project
to ftlffialwr res}Msil�i�itir rrnn 4ha �ifa� ^f thc' r�r1t S
plan which is part of the technical proposal (see Section IV.B.). The letter of
commitment should not reiterate the activities and other details of the work plan.
C) A graphic display of the applicant's proposed career pathway that highlights point(s)
along the pathway where the skills training will occur and which reflects participants
entry Into and progression along the pathway (see Section V.A.2.1);
d) The lead organization (the organization specified in Section 8 of the SF -424
Application Form) must include the unique Federal Tax Identification Number in the
Abstract {Part III a)). Applications where the lead organization fails to provide the
unique Federal Tax Identification* Number will be considered non - responsive and
those applicants will not be considered for funding.
Applications that do not include the required attachments will be considered non-
responsive and will not be reviewed.
Only those attachments listed above as required attachments will be excluded from the
page limit. Addionalcmat materials such as resumes or general letters of su'pportopendices
to the application.
commitment will not be considered.
Applicants should not send documents separately to ETA, because documents received
separately will be tracked through a different system and will not be attached to the application .
for review. ETA will not accept general letters of support submitted by organizations or
individuals that are not partners in the proposed project and that do not directly identify the
specific commitment or roles of the project partners. Support letters of this nature will notbe
considered in the evaluakion review process.
C. Submission Date, Ti mes, Procegs and Addresses
Applications for grant awards will be accepted Immediately upon publication of this
notice in the Federal Register with two closing dates of June 2, 2011 and November 17, 2011.
Grant awards will be made based on the quality and quantity of proposals received and only to
the extent that funds are available. Applicants may submit one application for each closing
date, but successful applicants will only be eligible to receive funding once under this SGA.
12 20A -23
Applicants that submit more than one application to a round of funding will be considered non-
responsive, and none of their applications will be considered for funding.
Applications may be submitted electronically on http: / /www.grants.gov or in hard copy by .
mail or hand delivery (including overnight delivery). Hard copy applications must be
received at the address below no later than 4:00 p.m. Eastern Time on the closing dates.
Applications submitted on grants:gov must also be successfully submitted (as described below)
no later than 4:00 p.m. Eastern Time. Applications sent by e -mail, telegram, or facsimile (FAX)
will not be accepted.
Applicants submitting proposals in hard -copy must submit an original signed application
(including the SF -424) and one (1) 'copy- ready" version free of bindings, staples or protruding
tabs to ease in the reproduction of the proposal by DOL. Applicants submitting proposals in
hard copy are also requirod to provide an Identical electronic copy of the proposal on compact
disc (CD). If discrepancies between the hard copy submission and CD copy are identified, the
application on the CD will be considered the official applicant submission for evaluation
purposes. Failure to provide identical applications in hardcopy and CD format may have an
Impact on the overall evaluation.
--- if -an- application -Is- physically- submitted -by -both- hard -copy- and - through -- — -- --
htto: / /www.grants.gov, a letter must accompany the hard copy application stating which
application to review. If no letter accompanies the hard copy, we will review the copy submitted _-
through http: / /www.Qrants.pov. Applications that do not meet the conditions set forth in this
notice will be considered non - responsive. No exceptions to the mailing and delivery
requirements set forth in this notice will be granted. Further, documents submitted separately
from the application, before or after the deadline, will not be accepted as part of the application.
Mailed applications must be addressed to the U.S. Department of Labor, Employment
and Training Administration, Division of Federal Assistance, Attention: Thomas Martin, Grant
Officer, Reference SGA/DFA PY 10 -13, 200 Constitution Avenue, NW, Room N4716,
Washington, D.C. 20210. Applicants are advised that mail delivery in the Washington area.may
be delayed due to mail decontamination procedures. Hand - delivered proposals will be received
at the above address. All overnight mail will be considered to be hand - delivered and must be
received at the- designated place by the specified closing date and time.
Applications that are submitted through Grants.gov must be successfully submitted at
http: / /www.,qrants.gov no later than 4 p.m. Eastern Time on the closing date and then
subsequently validated by Grants.gov. The'submission and validation process is described in
more detail below. The process can be complicated and time - consuming. Applicants are
strongly advised to initiate the process as. soon as possible'and to plan for time to resolve
technical problems if necessary.
The Department strongly recommends that before the applicant begins to write the
proposal, applicants should immediately initiate and complete the. "Get Registered" registration
steps.at http://www.grants.gov/ai2t)llcahts/get registered.lsp. Applicants should read through
the registration process carefully before registering. These steps may take as much as four
weeks to complete, and this time should be factored Into plans for electronic submission in order
to avoid unexpected delays that could result in the rejection of an application. The site also
contains registration checklists to help you walk through the process., The Department strongly
recommends that applicants download the "Organization Registration Checklist" at
http• / /www grants qov /assets /Organization Steps Complete Registration.pdf and prepare the
information requested before beginning the registration process. Reviewing and assembling
required information before beginning the registration process will alleviate last minute searches
for required information and savd time.
As desdribed above, applicants must have a D— U —N —SO Number and must register with
the Federal Central Contractor Registry (CCR).
13
20A -24
The next step in the registration process is creating a username and password with
Grants.gov to become an Authorized Organizational Representative (AOR). AORs will need to
know the D- U -N -S® Number of the organization for which they will be submitting applications to
complete this process. To read more detailed instructions for creating a profile on Grants.gov
visit: http: / /www -grants gov /applicants /orq step3 isp.
After creating'a profile on Grants.gov, the E -Biz point of Contact (E -Biz POC) - a
representative from your organization who is the contact listed for CCR —will receive an email to
grant the AOR permission to submit applications on behalf of their organization. The E -Biz POC
will then log in to Grants.gov and approve an applicant as the AOR, thereby giving him or her
permission to submit applications. To learn more about AOR Authorization visit:
http: / /www.grants.gov /applicants /orq step5.jsp, or to track AOR status visit:
http: / /www.grants.goy /applicants /org step6.lsp.
An application submitted through Grants.gov constitutes a submission as an
electronically signed application. The registration and account creation with Grants.gov, with E-
Biz POC approval, establishes an AOR. When you submit the application through'Grants.gov,
the name of your AOR on file will be inserted into.the signature line of the application.
- - - - Applicants must- register - #he- individual who is able -to- make - legally binding- commitments - for - the--= - - - - -- - --
applicant organization as the AOR; this step is often missed and it is crucial for valid .
submissions.
When a registered applicant submits an application with Grants.gov, an electronic time
stamp is generated within the system when the application is successfully received by
Grants.gov. Within two business days of application submission, Grants.gov will send the•
applicant two email messages to provide the status of the application's progress through the
system. The first email, sent almost immediately, will contain a tracking number and will confirm
receipt of the application by Grants.gov. The second email will Indicate the application has
either been successfully validated or has been rejected due to errors. Only applications that
have been successfully submitted by the deadline and subsequently successfully validated will
be considered. It Is .the•sole responsibility of the applicant to ensure a timely submission. While
it is not required'that an application be successfully validated before the deadline for
submission, it Is prudent to reserve time before the deadline in case it is necessary to resubmit
an application that has not been successfully validated. Therefore, sufficient time should be
allotted for submission (two business days) and, if applicable, additional time to' address errors
and receive validation upon resubmission (an additional two business days for each ensuing
submission). It is important to note that if sufficient time is not allotted'and a rejection notice is
received after the due date and time, the application will not be considered.
To ensure consideration., the components of the application must be saved as .DOC
(document), .RTF (rich text) .XL.S (Excel) or .PDF (portable document) format (ETA must be
able to easily copy and paste information from applications into other file formats).. If submitted
in any other format, the applicant bears the risk that compatibility or other issues will prevent us
from considering the'application. ETA will attempt to open the document but will not take any . -
additional measures in the event of problems with opening. In such cases, the non - conforming
application will not be considered for funding.
We strongly advise applicants to use the various tools and documents, including FAQs,
which are available on the "Applicant Resources" page at
http: / /www, grants .,qovlapplicants /resources.iso.
ETA encourages new prospective applicants to view the online tutorial, "Grant
Applications 101; A Plain English Guide to ETA Competitive Grants," available through
Workforce30ne at: http: / /www.workforce3one ..org /page /grants_toolkit .
To receive updated information about critical issues, new tips for users and other time
sensitive updates as information Is available, applicants may subscribe to " Grants.gov Updates"
at http: / /www.grants.gov /applicants /email subscription sionup.isp.
14
20A -25
If applicants encounter a problem with Grants.gov and do not find an answer in any of
the other resources, call 1- 800 - 518- 4726'to speak to a Customer Support Representative or
email "sup port(bgrants.,q '. The - Contact Center is open 24 hours a day, seven days a week.
It is closed on Federal holidays.
Late Applications: For applications submitted on Grants.gov, only applications that
have been successfully submitted no later than 4:00 p.m. Eastern Time on the closing date and
then successfully validated will 'be considered. Applicants take a significant risk by waiting to
the last day to submit by Grants.gov.
Any hard copy application received after the exact date and time specified for receipt at
the office designated in this notice will not be considered, unless it is received before awards
are made, it was properly addressed, and It was: (a) sent by U.S. Postal Service mail,
postmarked not later than the fifth calendar day before the date specified for receipt of
applications (e.g., an application required to be received by the 20th of the month must be
postmarked by the 15th of that month); or.(b) sent by professional overnight delivery service to
the addressee not later than one working day before the date specified for receipt of
applications. "Postmarked" means a printed, stamped or otherwise placed impression
------ (e- xelusive -of a-- post - age - meter - machine- impression) -that is- readily - identifiable,- without further - - - - ---
action, as having been supplied or affixed on the date of mailing by an employee of the U.S.
Postal Service Therefore, applicants should request the postal clerk to place a legible hand _
cancellation "bull's eye" postmark on both the receipt and the package. Failure to adhere to
these Instructions will be a basis for a determination that the application was not filed timely and .
will not be considered. Evidence of timely submission by a professional overnight delivery
service must be demonstrated by equally reliable evidence created by the delivery service
provider indicating the time and place of receipt.
D. Intergovernmental Review
This funding opportunity is not subject to Executive Order 12372, "intergovernmental
Review of Federal Programs."
E. Funding Restrictions
All proposal costs.must be necessary and reasonable and in accordance with Federal
guidelines.. Determinations of•allowable costs will be made in accordance with the applicable
Federal cost principles. Disallowed costs are those charges to a grant that the grantor agency
or its representative determines not to be allowed in accordance with the applicable Federal
cost principles or other conditions contained in the grant.
Applicants, whether successful or not, will not be entitled to reimbursement of pre -award
costs. ;
1. Indirect Costs
As specified in OMB Circular Cost Principles, codified in the Code of Federal
Regulations'(CFR) and listed in Section VI.B, indirect costs are those that have been incurred
for common or joint objectives and cannot be readily identified with a particular final cost
objective. An indirect cost rate (ICR) is required when an organization - operates under more
than one grant or other activity, whether Federally- assisted or not. Organizations must use the
ICR supplied by the Federal Cognizant Agency. If an organization requires a new ICR or has a
pending ICR, the Grant Officer will award p temporary billing rate for 90 days until a provisional
rate can be issued. This rate Is based on the fact that an organization has not established an
ICR agreement. Within this 90 day period, the organization must submit an acceptable Indirect
cost proposal to their Federal Cognizant Agency to obtain a provisional ICR.
15
20A -26
2; Administrative Costs
Under this Solicitation, an entity that receives a grant to carry out a project or program
may not use more than 10percent o project. Administrative costs tcoupld be directtorindirect tcosts,
associated with the program p 1
and are defined at 20 CFR 667.220. Administrative costs do not need to be identified hey must
separately from program accounting system. Tonclaim aany adminis at ve costs that are
be tracked through the grantee's
also indirect costs, the applicant must obtain an Indirect Cost Rate Agreement from its Federal
Cognizant agency, as specified above.
3. Equipment Costs the As with all casts charged
lnoi leg including that the costtsmare reasonable and necessary
in the applicable Federal cost p p
to achieve grant outcomes. While grant fu Provided through the propose
d project, applicants are used
for education and training activities
strongly encouraged to use leveraged rgSOFtles sE- to vidence-- af- efforts- totpurochase elqui- hment wih - - ---
their -grant funds - for -:proe receipt pe of the use of grant
non -grant funds after thollclosely e i wvthe equipment costs list d fin. the SF 424A and the
funds for equipment.
u ge arra the to etermme Te costs wh___13T ess and neCeS51LY. ich do not meet these standardsserves the right to
negotiate or reject any equipment
4. Intellectual Property Rights
The Federal Government reserves a paid -up, nonexclusive and irrevocable license to
reproduce, publish or otherwise use, and to authorize others to use for Federal purposes: (1)
the.copyright in all products developed rights of copyright to,which the granbtee, subgranteecor a t under.
the grantor subgrant; and (2) Y 9
contractor purchases ownership duats; and any (including but not
materials). limited
Such uses Include, but an e
models, technical assistan p
not limited to, the right to modify and distribute such products worldwide by l {nonl ceasing fee
electronically or otherwise. Federal funds may not be used to pay any roy y
associated with such ed copyrighted
to tget de although they may be
is of copying and shipping costs If revenue are obtaining
a copy which are limited to
generated through selling products developed with grant funds, including intellectual property,
these revenues are program income. Program income is added to the grant and must be
expended for allowable grant activities.
If applicable, grantees must include the following language on all products developed in
whole or in part with grant funds:
"This workforce solution was funded by a grant awarded by the U.S. Department of
Labor's Employment and Training fWministration. The solution was created by the grantee and
does not necessarily reflect the official position of the U.S. Department of Labor. The
Department of Labor makes no guarantees,.warranties, or assurances of any kind, express-or
implied, with respect to such information, including any information on linked sites and including,
but not limited to, accuracy of the Information or its completeness, timeliness, usefulness,
adequacy, continued availability, or ownership. This solution is copyrighted by the institution
that created it. internal use by an organization and /or personal use by an individual for non-
commercial purposes is permissible. All other uses require the prior authorizatlon •of the
copyright owner."
5. On- the -Job Training
Under this Solicitation, OJT will follow the definitions and requirements under the
16 20A -2.7
Workforce Investment Act (WIA) section 101(31). Incumbent workers are not eligible for OJT
under this SGA. OJT is provided under a contract with an employer in the public, private -
nonprofit, or private sector. Through the OJT contract, occupational training is provided for the
the
grant participant in exchange for the reimbursement to the employ r nup to 50 d r dual fThe
wage rate to compensate for the employer's extraordinary costs
employer pays wages to the participant. Section 667.264 of the WIA regulations specifically
prohibit grant funds from being spent on payment of wages of Incumbent employees. For
complete information on the specific WIA parameters for OJT, please refer to WIA regulations
20 CFR 663.700 — 663.710, as well as 20 CFR 663.730. Applicants will be required to follow
A law and regulations with the following policy
the parameters for OJT included in the WI
exceptions:
® Eligible participants cannot be currently employed by the employer;
• Participant placements may only occur in private for - profit and non - profit sectors (.i.e.,
sector placements);
the grant does not allow for public .
® encies providing workers on a temporary bask to
No placement may be made in ag
employers for which the agency receives compensation from the employer;
The- period -o# reimbu senient- should- be- an-adequate- length-to °ensure- the- participant-has
acquired the technical skills needed for employment but no longer than 12 months.
Individuals may not be co- enrolled in other ETA programs for the purpose of extending
OJT beyond 12 months. Twelve months exceeds the average length.of time for current.
WIA OJT activities, so grantees should negotiate contracts with employers that lead to
transitioning participants to permanent employment as soon as possible. DOL's
expectation Is that grantees would.establish contracts that may be longer than 12_
months, however, the reimbursement for each individual that participates in OJT cannot
be longer than 12 months.
Typically, the negotiated reimbursement percentage for OJT under WIA may be as high
as 50 percent of the participant's hourly wage. However, for grants awarded under this
Solicitation, the negotiated reimbursement percentage may be as high as 90 percent of the
participant's hourly wage based on employer.size: up to 90 percent of the participant's wage
rate for employers with 50 or fewer employees; up to 75 percent of the participant's wage rate
for employers with 51 -250 employees; and up to 50 percent for employers with more than 250
employees. Grantees are also encouraged to negotiate lower rates.or variable rates (such as
starting at 90 and reducing the subsidy over time) where possible to ensure that the maximum
number of participants Is served by the project.
Finally, upon receipt of a graht, applicants must develop sound on- the - job - training (OJT)
contracts. The contract process sets the ground -rules for an OJT with an employer and assists
in making the determination if an employer is eligible to provide an OJT opportunity. The
contract must include the federally- required elements of an OJT agreement; however, states,
counties or municipalities may have additional contract requirements.' Contracts also outline the
terms and conditions that the employer -and OJT provider agree to. provide for an OJT
experience. Contracts with an employer can be set up for a specific period of time but need not
necessarily specify the individual trairees to whom they apply. This allows the employer to
provide training to more than one trainee. If an employer only has one position or plans to limit
the training experience to one employee, then a contract must also include the individual
trainee's information. For these grants, contracts must provide that the employer is responsible
far documenting skills gained by participants during the training period. It should also include a
description of how the reimbursement level was determined. For sample templates and other
resources, grantees may access ETA's on -line technical assistance related to an OJT contract
at the following web address: https :Hojtt6olkit.workforce3one.org /page /contracts_and_mods
17 20A -28
6. Payments to s Participant
For the purposes t grants awarded s SGA, the following will apply:
, under this
Organizations may only use grant funds to pay for the wages of participants in three specific
activities; paid work experience, paid Internships and incumbent worker- training.
I. Work Experience and Internships
Work experience and Internships are defined as a planned, structured learning
experience that takes place in a workplace for a limited period of time, and may be paid or
unpaid. Labor standards apply in any work experience where an employee /employer
relationship, as defined by the Fair Labor Standards Act (FLSA), exists. For more information
on the FLSA, applicants may visit http: / /www.dol.gov /whd /.
For a work experience or internship that supports training, applicants will need to
descrlbe how the work experience or internship Is connected to and supports the education and
training activities included in the grant. Grantees have flexibility in the design and
implementation of work experience and internships, however they must meet the following
parameters:
• Provide an individual with monitored or supervised work or service experience in his
- -or- her - expected - career - field - where- the - individual- has - pre -sera bed - learning - goals - and- refleets - - - - - -- —
actively .on what he or she is learning throughout the experience. These learning goals can
include a) academic learning, career development, and skill development, and b) the
attainment ot credentials in the inclivic uai's expected career field;
• Are part of structured programs where the grantee established the criteria for
determining who will participate in these programs;
a Are for a set period of time;
Relate to training provided through the grant, and help participants prepare for the
employment opportunities on which the grant focuses; and
®- Mayor may not carry an offer of regular employment upon successful completion of
the internship.
fl. Incumbent Worker Salaries
For applicants that are Implementing other training strategies and not implementing OJT, the
following applies:
® Incumbent worker salaries paid by the employer are NOT allowable costs to be
reimbursed under this grant; however, for the purposes of this grant, the amount of salary,
excluding fringe benefits, paid to employees while participating in incumbent worker training
may be counted as matching resources.
7. Use of Funds for Supportive Services
Under this Solicitation, supportive services for training participants will follow the
definitions in WiA Sections 101 (46) , 134(e)(2), and 134(e)(3). They Include services such as
transportation, child care, dependent.care, and housing that are necessary to enable an
individual to participate in education 'and training activities funded through this grant. Under
WIA Section 134(e)(3), supportive services can include needs- related payments (NRPs) that
are necessary to enable individuals to participate in training activities funded through this grant.
Supportive services activities may include, but are not limited to, provision.of the actual
supportive.service (Le.* childcare); providing participants with a voucher for the service (i.e.
public transportation cards or tokens); or providing a stipend directly to the participant.
Applicants should note that where stipends for supportive services are provided, the stipend
amount must be for costs of a specific supportive service (i.e. childcare), rather than simply
based on an unidentified need.
For the purposes of this SGA, grantees, using either training strategy, may use up to
10% of grant funds to provide supportive services only to individuals who are participating In
18
20A -29•
education and training activities provided through the grant when: 1) they are unable to obtain
such services through other programs, and 2) such services are necessary to enable individuals
to participato in education and training activities under the grant. Grantees may establish limits
on the provision of supportive services or provide their subrecipients with the authority to
establish such limits, including a maximum amount of funding and maximum length of time for
supportive services to be available to participants. *Grantees must ensure that their use of grant
funds on supportive services is consistent With their organization's established written policy on
the provision of supportive services and relevant WIA regulations.. Additionally, ETA
encourages grantees to leverage other sources of funding for supportive services, including
WIA formula funds.
8. Prohibition- on Use of Funds for Economic Development
General economic development projects, including revolving loan accounts, do not meet
the H -1 B requirements for training and development of job opportunities in high - growth
industries and occupations. Examples of general economic development that may not meet this
standard include but are not limited to infrastructure investments in businesses, increases in
i .nv-entor_y_,_par-ticipatian-in_ trade_ shows,_ revolving- loan -accoun.ts� -new or- additional - equipment - --
used for purposes other than training activities, capital asset purchases, and other costs not
specifically related to increases in actual job opportunities.
9. Sub -Grant Profit
For commercial organizations, the earning of profit Is not an allowable cost item. For
governmental, non - profit, and public or bon- profit educational institutions, earnings above actual
costs incurred are to be treated as program income: Any program income earned must be used
for program purposes.
F. Other Submission Requirements
Withdrawal of Applications: Applications may be withdrawn by written notice to the
Grant Officer at any time before an award is made.
Section V. Application Review Information
A. Evaluation Criteria
This section identifies and describes the criteria that will be used for each category to
e
evaluat grant proposals. The evaluation criteria are described below:
Criterion
Points
1. Statement of Need
30
2. Program Activities and Protect Management.
45
3. Outcomes
25
TOTAL
100
1. Statement of Need (30 points)
'H -1B technical skills training applicants must provide a clear and compelling description
of the need for education and training programs in the industries and occupations for which they
propose training in the State, region, or local area that will be served by the project. Applicants
must demonstrate the need for the proposed project using data on the H -1 B sectors and
19
��L A '�
occupations (see Attachment A) in which they propose training Labor Market Information,
consultation with local employe "rs and industry associations, and other related information.
Points in this section will be awarded based on the extent to which applicants address
the following factors:
i.. Targeted Industries and Occupations (20 points) 1es or occupation(s) on which
Applicants must identify the targeted high - growth industry(' )
the project will focus, an or describe, or local area t . be servedrby the project, employment
well as the
opportunities within the S
education and skills required for w trio which meet the the applicant's employment discussion ofdthe following under
actors is
criterion will be based on the extent
clear and logical: ry(
Clear identification of theh that the industry and /or occupation is(one that
ed by
the project, Applicants must cite evidence
employers currently seek H -1 B visas for and /or is an
occupation
cite along
evidence that the industry
the occupation or in the relevant industry. Applicants
and /or occupation is high- growth according to one or more are- be;nli -tr-a nfo-rmed -by technology- -
obs tthe- economy; g factors: 1) projected
to- add- substantial- nuinbersw new j -
and innovation requiring new skill sets for workers; 3) are new and emerging businesses that
are projected to grow; or 4} have a significant impact on the economy overall or on the growth of
o er to ustries and occupations; for
®
Clear description of the lldfscuds /s oraro�theieducation and training requ r to naftafn
in the industry/occupation and a lear
degrees /credentials required for the targeted high - growth industry or
the competencies, and .
occupations;
Clear identification of the average, current wages offered in the industry and/or,
-occupation, based on national, state or local data;
Clear description of the current and future workforce needed by the required
employer(s) and /or employer cluster; and,
Clear description of evidence that the local or regional employers face a gap in skills
of the available workforce and ected demaildgor employment, including how that demand description
of the current and. future prod Applicants should cite the source of the current and
coincides with the proposed program. App employers, and other relevant
projected demand, su ch as from DOL, State workforce agencies, employ
sources.
H. Targeted Population (10 points)
Applicants must clearly identify tar eyed and the recruitment
tmegy strategies that will be employed to
characteristics and why they g
attract sufficient number of participants to the grant program. App licants should make every
effort to target and recruit minorities ilbased on he extent to which h the applicant's discgussion diversity.
Scoring under this criterion of the following factors:
demonstrates a comprehensive understanding•
® Clear description of the recruitment and selection process for program participants,
employed and /or unemployed. If an applicant chooses to target long -term unemployed
individuals, then the applicant must Include a discussion. about the outreach and recruitment
that will occur to ensure that at least 75 percent of participants are long -term unemployed
individuals;
® Clear description of the criteria -to be used to assess and enroll ividuan forr H-1 B the
level education and training and a discussion of the role of the employ p ( )
20 20A -31
selection, and a determination of whether the selection process might affect the diversity of the
program;
e Clear description of methods that will be used.to insure that a diverse and inclusive
set of program participants will be recruited, identifying specific strategies of outreach to diverse
populations that will be used, including the choice of the private or public partner In the
proposal, particularly if the selection process might affect achieving -a diverse set of program
participants;
e Clear description of the prerequisites for the occupational training being proposed;
the minimum educational level requirements proposed for trainees; and how these requirements
position trainees to enter occupations,for which H -1 B visas are currently used and /or into the
higher - levels of the career pathway (not entry- level); including a determination of whether the
prerequisites might affect the diversity of program participants;
e Clear description of the existing diversity of the workforce, and a clear description of
how the proposal will maintain or improve the diversity of the workforce; and,
® Clear description of the commitment from employers to hire workers who
successfully complete the program and the anticipated wages that participants may-expect to
2 Program Activities and Project Management (45 polnts)
'The applicant must provide a complete and clear explanation of the proposed training
strategies, the proposed project work plan, the applicant's capacity to manage the project, and
plans for project sustainability. Points for this criterion will be awarded for the following factors:
I. Description of Training Strategy (15 points)
Applicants must provide a description of the training strategy(ies) selected. Applicants
must fully explain how each strategy will meet the skill needs of the targeted
occupations) /industries, as described in the Statement of Need. Scoring under this criterion will
be based on the extent to which applicants describe a training strategy which addresses the skill
needs of employers) and the training needs of workers by discussing the following:
Clearly identify the specific activities to be used in the proposed project, beginning
with a description of the OJT or the other training strategy(ies) and how the selected project
meets the requirements outlined in Section I.C;
® Clearly describe how the applicant and its required partners will develop and
Implement the career training program(s), and ensure that work begins immediately to deliver
training and assistance with job placement to participants;
e Identify the degrees and industry - recognized credentials that will result from the
training programs implemented by the project, or the specific documentation that you will gather
from the employer(s) to validate the completion and attainment of the specific skills trainees
obtained from training. Describe these credentials or skills in the context of how they fit the
specific H-113 occupation or into those along the career pathway. The applicant must include a
graphic display of the career pathway along which the. skills training will occur (this will not count
against the 20 page limit);. and,
e . Clearly explain how the proposed project will directly address the skills and training
gaps identified earlier, allowing eligible participants to obtain employment or advance along the
career pathway.
• Clearly explain how the proposed project will help eligible participants to obtain
employment or advance along the career pathway following exit from the program, including any
activities that will be customized to long -term unemployed workers. Applicants may-cite related
research showing that the proposed training strategies have positive employment impacts for
participants, and applicants with experience providing the proposed training may cite data
showing that the proposed training strategy has led to good jobs for participants.
21
ii. Program Activities (20 points)
The applicant must present a corhprehensive description of program activities that aligns
to the proposed description provided in response to Section V.A.2.1 of this Solicitation. Scoring
under this criterion will be based on the extent to which applicants: 1) present a coherent and
comprehensive program that demonstrates the applicant's complete understanding of all
responsibilities and costs required to implement each phase of the, project within the timeframe
of the'grant; 2) include feasible timeframes for accomplishing all procurement and other
necessary grant start -up activities immediately following the grant start date; 3) include specific .
timeframes for accomplishing the activities performed during operation; and, 4) explain how the
costs in the proposed project work plan align' with the proposed budget, specifically the budget
narrative, and are justified as adequate and cost - effective for the resources requested.
Applicants must present either a table or a narrative that includes descriptions of the following:
® Activities: The applicant must identify the specific activities that will be funded
through the grant, including the anticipated start date and end date for each activity to be
funded. The activities should include descriptions, of the steps necessary to develop the training
-- - that will - take - place,- the - specific tasks- and- mies- ofthe-- requir -ed- employer- par-tner-(s -) -the -staff —
hiring process, the processes for recruitl6g and assessing participants, the implementation of
the training. activities, the provision of any supportive services; the job placement assistance that
wi e —provided to participants, and follow- p activities.
Implementer(s): For each activity, the applicant must include the name of the
organization that will be responsible for implementing the activity and the specific roles and
responsibilities of partners, and the. expected contributions of each' partner organization and
how they will support meeting the project's outcomes, which will all be confirmed through the
organization's signature in the letter of commitment (see. Section 1V.B. Part 111); and,
® Costs: Applicants must describe how the budget dollar amount associated with
each activity in the budget narrative is adequate to fund that activity. The applicant must also
estimate the per- trainee cost related to each activity, including any relevant wage
reimbursement.
iii. Project Management (10 points)
The applicant must fully describe its capacity to effectively manage the programmatic,.
fiscal, and administrative aspects of the proposed investment. In addressing this criterion,
applicants should provide:
® The professional qualifications that the applicant will require of the full -time project
manager and demonstrate that these qualifications are sufficient to ensure proper management,
including management of partner. activities;
An organizational chart that Identifies all relevant leadership, program,
administrative, and advisory positions and demonstrates that the project will be implemented
through a comprehensive management structure that allows for efficient and effective
communication between all levels of the project and across partner organizations;
® A description of the applicant's procurement processes and procedures including a
description of the accounting system being used that demonstrates that the applicant is
equipped to meet Federal, State (if applicable), and other relevant procurement requirements;
and,
® If the applicant has previously closed down a training program, a description of how
the applicant has closed down other training programs, either federally- funded or not, including
a description of.how effective practices were integrated into general operations, how
participants were able to access resources after the training program ended (if at all) or how the
applicant secured resources to continue operations with a. different funding source.
22
411IM11119141
3. Outcomes (25 points)
Applicants must provide projections lcant's projected outcomes will relevant to as the measuring as s outcome categories
success or impact of the project. The pp
labor
for negotiating the outcome goals the the grant. Outcomes and used in eva�luatingb he applicani's'outcome
market Information provided by
goals.
The applicant ther collect
es�provided data on
the grant. i This data receive
the bas
other is for
and o
reporting against the outcomes list�dabelow ant must collect additional outcomes
participant-level data from
through reporting requirements. A� pp
the following categories: demographic and socioeconomic characteristics, services provided;
and, outcomes achieved.
The applicant must comprehensively address each of the areas outlined below:
I. Pro ecte_ d Performance Outcomes (10 �ull ���, ---i'
The. applicant must provide projections for the entire project and track outcomes
quarterly for each of the following outcotegori participants served with grant
'proposal and counts against the page limit
Attachment C), that is included within the technical prop
(not the attachments to the technical pr of {nd {vidualtserved (employed /formatted cumbent and include each
of the following projections for each type
unemployed):
Total participants served;
® Total participants beginning education/training activities;
Total participants completing education /training activities;
• Total participants who complete education/training activities that receive a degree, or
other type of credential;
o Total number of credentials each participant is expected ties who enter, unsubsidized
® Total participants who complete education/training activities
employment. (If serving employed or incumbent workers, this outcome is not applicable
because it should be the same as the pl(, number education/training educatioNtraining Ia e placed into
a Total participants who comps employed quarters
unsubsidized employment, et this includes an worrkers who retained theiropoitions after the
.following initial placem
program); and,
® The average wage that participants will earn at placement into unsubsidized
employment (this includes incumbent workers who retain their, positions and get wage. gains
after the program).
ii. Cost per Participant and Ability to Report Outcomes (10 points)
The applicant must provide a narrative that trateslthat the applicant will be able to provide
impacted by the participants served and demon o pro
information on participants to DOL during the grant. In addressing this criterion, applicants
should provide:
® A description of how the cost per padiOfpl or another organizafion has aligns
with similar training programs that the applicant, a partner
conducted, including howthe cost amay
e being be impacted a and,he characteristics of participants
served and the Jobs for w , Y
23 20A -34
® Ad scription of systems in place for tracking the participant characteristics and
services provided to participants, the a{tainment of skills and the employment outcomes of
participants throughout the life of the grant, including a description of how the applicant will
collect data on employment outcomes of participants.
B. Review.and Selection Process
Applications for grant awards will be accepted immediately upon publication of this
notice in the Federal Register with two .closing dates of June 2, 2011 and November 17, 2011.
It is anticipated that review panels will convene to evaluate applications approximately 60 days
after these two closing dates. Applications that focus on OJT will be reviewed separately from
applications that focus on other training strategies. A technical review panel will carefully
evaluate applications against the selection criteria. These criteria are based on the policy goals,
priorities, and emphases set forth in this. SGA. Up to 100 points maybe awarded to an
application, depending on the quality of the responses to the required information described in
Section V.A. Applications that propose to implement OJT will be reviewed with other OJT
applications, and applications that focus on other training strategies will be paneled with those
proposing -to- implement- other - training- stl -ategies. —
The ranked scores will serve as the primary basis for selection of applications for
funding, in conjunction with other factors such as urban, rural, and geographic balance; balance
across the allowable training strategies and activities under this SGA; balance across high -
growth industries.and occupations targeted through this SGA, including emphasis on the health
care industry; emphasis on serving long -term unemployed Individuals; the availability of funds;
and which proposals are most advantageous to the government. The panel results are advisory
in nature and not binding on the Grant Officer. The Grant Officer may consider any information
that comes to his /her attention.. The government may elect to award the grant(s) with or without
discussions with the applicant. Should a grant be awarded without discussions, the award will
be executed based on the applicant's signature on the SF -424, including electronic signature via
E- Authentication oin htip: / /www.gtgnts.gov, which constitutes a binding offer by the applicant.
Section VI. Award Administration Information
A. Award Notices
All award notifications will be posted on the ETA Homepage (http : / /www.doleta.gov).
Applicants selected for award will be contacted directly before the grant's execution. Non -
selected applicants will be notified by mail or email and may request a written debriefing on the
significant weaknesses of their proposal.
Selection of an organization as a grantee does not constitute approval of the grant
application as submitted. Before the actual grant is awarded, ETA may enter into negotiations
about such,items as program components, staffing and funding levels, and administrative
systems in place to support, grant implementation. if the negotiations do not result in a mutually
acceptable submission, the Grant Officer reserves the right to terminate the negotiations and
decline to fund the application. DOL reserves the right to not fund any application related to this
SGA.
B. Administrative and National Policy Requirements
1'. Administrative Program Requirements
All grantees will be subject to all applicable Federal laws, regulations, and the applicable
OMB Circulars. The grant(s) awarded under this SGA will be subject to the following
administrative standards and provisions:
i. Non - Profit Organizations - OMB Circular A -122 (Cost Principles), codified at 2 CFR
Part 230, and 29 CFR Part 95 (Administrative Requirements)
24
20A -35
fl. Educational Institutions - OMB Circular A-21 (Cost Principles), codified at 2 CFR
Part 220, and 29 CFR Part 95 (Administrative Requirements).
iii. State, Local and Indian Tribal Governments - OMB Circular A -87 (Cost Principles),
codified at 2 CFR Part 225, and 29 CFR Part 97 (Administrative Requirements). 48 CFR
iv. Profit Making Commercial Firms'- Federal Acquisition Regulation (FAR) -
part 31 (Cost Principles), and-29 CFR Part 95 (Administrative Requirements).
v. All Grant Recipients must comply with the applicable provisions of The Workforce
Investment Act of 1998, Public Law No. 105 -220, 112 Stat. 936 (codified as amended at 29
U.S.C. 2801 et seq.).and the applicable provisions of the regulations at 20 CFR 660 et seq.
Note that 20 CFR part 667 (General Fiscal and Administrative Rules) includes unsuccessful
applicant appeal information.
vi. All entities must comply with 29 CFR Part 93 (New Restrictions on Lobbying), 29
CFR Part 94 (Governmentwide Requirements for Drug -Free Workplace (Financial Assistance)),
29 CFR 95.13 and Part 98 (Governmentwide Debarment and Suspension, and drug -free
workplace requirements), and, where applicable, 29 CFR Part 96 (Audit Requirements for
Grants, Contracts, and Other Agreements) and 29 CFR Part 99 (Audits of States, Local
r.overn ments _and - Non- L'rofit-O.rganizaticins)—
vii. 29 CFR-Part 2, subpart D —Equal Treatment in Department of Labor Programs for
Religious Organizations, Protection of Religious Liberty of Department of Labor Social Service
rove ers and ene caries.
viii. 29 CFR Part 31— Nondiscrimination in Federally Assisted Programs of the
Department of Labor— Effectuatlon of Title VI of the Civil Rights Act of 1964.
ix. 29 CFR Part 32— Nondiscrimination on the Basis of Handicap in Programs or
Activities Receiving Federal Financial Assistance
x. 29 CFR Part 35— Nondiscrimination on the Basis of Age in Programs or Activities
Receiving Federal Financial Assistance from the Department of Labor.
A. 29 CFR Part 36— Nondiscrimination on the Basis of Sex in Education Programs or
Activities Receiving Federal Financial Assistance.
Al. 29 CFR Part 37 - Implementation of the Nondiscrimination and Equal Opportunity
Provisions of the Workforce Investment Act of 1998.
xiii. 29 CFR Parts 29 and 30 —Labor Standards for the Registration of Apprenticeship
Programs, and Equal Employment Opportunity in Apprenticeship and Training, as applicable.
2. Other Legal Requirements:
I. Religious Activities
The Department notes that the Religious Freedom Restoration Act (RFRA), 42 U.S.C.
Section 2000bb, applies to all Federal law and its implementation. If your organization is a faith -
based organization that makes hiring decisions on the basis of religious belief, it may be entitled
to receive Federal financial assistance under Title I of the Workforce Investment Act and
maintain that hiring practice even though Section 188 of the Workforce Investment Act contains
a general ban on religious discrimination In employment. if you are awarded a grarit, you will be
provided with information on how to reggest such an exemption.
ii. Lobbying or Fundraising the U.S. Government with Federal Funds
In accordance with Section 18 of the Lobbying Disclosure Act of 1995 (Public Law 104-
65) (2 U.S.C. 1611), non - profit entities incorporated under Internal Revenue Service Code
Section 501(c) (4) that engage in lobbying activities are not eligible to receive Federal funds and
grants. No activity, including awareness- raising and advocacy activities, may include
fundraising for, or lobbying of, U.S. Federal, State or Local Governments' (see OMB Circular A-
122).
iii. Transparency Act Requirements.
Applicants must ensure that it has the necessary processes and systems In place to
25 20A -36
with the reporting requirements of the Federal Funding Accountability and Transparency
comply
Act of with
(Pub. Law 109 -282, as amended by section 6202 of Pub. Law 110 -252)
(Transparency Act), as follows: under sub
® All applicants, except'for those excepted from the TransparencyoA ses and -
paragraphs 1, 2, and 3 below, ly ththe subawardaandeexecutive total compensation reporting
systems in place to comply
requirements of the Transparency Act, should they receive funding. reporting
® Upon award, applicants will receive detailed information on the re ndix A, which can
requirements of the Trag websi y htt o:(ledocket.acdcess.0 oR ov 2010! dfp12010- df and
be found at, the following w
The following types of awards are not subject to the Federal Funding Accountability
Transparency Act: ! for-or receive Federal awards as natural
(1) Federal awards to individuals who apply
persons (i.e., unrelated to any business or non- profit organization he or she may
own or operate in his or her name);
(2) Federal awards to entities that had a gross income, from all sources, of less than
' 300;000 -in the enthe require u reporting w —,and-
if disclose classified information.
(3) Federal awards, if the required reporting
3. Other Administrative. Standards and Provisions proposal and an
Except as specifically provided in this SGA,
DOLiETA's* acceptance of a prop
award of Federal funds to sponsor any programs(s) does not provide a waiver of any g rant
requirements and/.or procedures. For example, the OMB Circulars require that an entity's as much
procurement procedures must ensure that all procurement transactions sal dentifies a specific
entity o
as practical, to provide open and free competition. if a prop
provide services, the DOL's award does not provide the ju$tification or basis to sole ' k c an
procurement, i.e., avoid competition, unless the activity is regarded as the primary
official partner to the application.
4. Special Program Requirements
I. Evaluation
ETA plans to set aside aats nala portion ay ar a ge for or cornduct an Independent evaluation
technical assistance and evalu acts of these skill training
of the outcomes and benefits of the projects to measure the imp
grants. outcomes
accepting grant funds, grantees agree to participate in an evaluation s and funding
ngbe
selected to participate. Grantees must make records on participants, and to participants, as specified
available and to provide access to program operating personnel after the period of operation.
by the evaluator(s) under the direction of. ETA, including p
C. Reporting ti requirements. - Quarterly financial reports,
Grantees must agree to meet DOL reporting
quarterly progress reports, and MIS dand documents I ta sted he grantee electronically. The
grantee is required to provide the
1. Quarterly Financial-Reports
A Quarterly Financial Stat us R � sEexpi ed.OQuarterlyr t
reports are due 45 days after
have been expended or the grant period
26 20A -37
the end of each calendar year quarter. Grantees must use DOL's Online Electronic Reporting
System and information and Instructioris.will be provided to grantees.
2. Quarterly Performance Reports
The grantee must submit a quarterly progress report within 45 days after the end of each
calendar year quarter. The report rnust include quarterly information regarding grant activities.
Grantees will be required to report on post - program outcomes for all participants, as well as on
post- program follow -up and tracking activities for all participants, The last quarterly progress
report that grantees submit will serve ds the grant's Final Performance .Report. This report
should provide both quarterly and cumulative information on the grant activities. It must
summarize project activities, employment outcomes and other deliverables, and related results
of the project, and should thoroughly document the training or labor market Information
approaches used by the grantee. DOL will provide grantees with formal guidance about the
data and other information that is required to be collected and reported on either a regular basis
or special request basis. Grantees must agree to meet DOL reporting requirements.
--
Applicants must be prepared to follow Federal guldelihes.on record retention, which
-require grantees to maintain all records pertaining to grant activities for a period of not less than
ree years rom t e time o rna grant c ose -ou .
Section VII. Agency Contacts
For further information about this SGA, please contact Jeannette Flowers, Grants
Management Specialist, Division of Federal Assistance, at (202) 693 -3322. Applicants should
e -mail all technical questions to Flowers Jeannette@dol.goy and must specifically reference
SGA/DFA PY 10 -13, and along with question(s), include a contact name, fax and phone
number. This announcement is being-made available on the ETA Web site at
http://www.d ol eta. q ov/qrant . and at http•/ /imww.grants.gov.
Section Vill. Additional Resources of Interest to Applicants
DOL maintains'a number of web -based resources that may be of assistance to
applicants. For example, the CareerOneStop portal (http• / /www careeronestop.oiA), which
provides national and state career information on occupations; the Occupational Information
Network (O *NET) Online (http :! /online onetcenter.orq ) which provides occupational
competencies and career profiles; America's Service Locator (http://www.servicelocator.orct),
which provides a directory of our nation's One -Stop Career Centers; and My Skills My Future
(http / /www mysl<i(Ismvfuture.org / }, which provides career exploration options based on past
jobs and tools to compare careers, find training, and search for jobs.
ETA recently unveiled a complementary, online tool called My Next Move which is aimed
at providing jobseelcers with information on more than 900 occupations, as well as local job
openings and training opportunities in a simple, user - friendly format. My Next Move is intended
to assist all job seekers and may be especially helpful for students, young adults and other
workers as,they explore potential careers based on their interests.
- . ETA supports an Industry Competency Model Initiative to promote an understanding of
the skill sets and competencies that are essential to an educated and skilled workforce. A
competency model is a collection of competencies that, taken together, define successful
performance in a particular work setting. Competency models serve as a starting point for the
design and implementation of workforce and talent development programs. To learn about the'
industry- validated models visit the Competency Model, Clearinghouse (CMC) at
27 20A -38
htt : / /www.careeronesto .or /Com 'etenols to build career C sites is for spec provides tools to tools or
customize industry models, as well as to
economies. ompetency Models both
Career Clusters and Indusa not duplica 1 e The Career Clusters Iidnk to specific career
technical competencies, but they
pathways in sixteen career cluster are �aasurement criteria; scope and sequence nof courses inra
curriculum performance objectives, m
program of study; and development of assessments, information about the sixteen career
accessing: www.careerclusters.or .
cluster areas can be found by g'
ETA has distributed an electronic Tuide to St to is design d tofprovidetano support
analysis and informed decision making. to merit Notice
understanding of State and local labor Market informatio/wo n Tra Wing and Employment on
various topics for a wide variety of users. To view this guide
No. 19 -10, please visit: http' / /wdr doleta.g .Qv/ directives /attachlTEN19- 10,Pf-.
_ erection- IX .- OthEx_inforrnati.on---- - - - - --
OMB Information Collection No. 1225 -0086
livild 11 rsons are required to respond
According to the Paperwork Reduction Act of 1995,.no pe
to a collection of information unles� such
of In is estimated to.a eoragei20 hours epj�
Public reporting burden for this existing data sources, gathering
response, including time for reviewing instructions, searching 9
and maintaining the data needed, and estimated completing
anynother aspect collection of infortmation,
Send comments about the burden e
including suggestions for reducing this burden,
Constitution he n A Dnpe NWn of Labo N1 301,
attention
of the Departmental Clearance Officer, _ dol. ov.
Washington, DC 20210. comments,
H1ntCOMPLETED APPLICATION TO THIS ADDR SS. SEND IT
PLEASE DO NOT RETURN T
TO THE SPONSORING AGENCY AS SPECIFIED IN THIS SOL{Cing aI The information
This information is'being collected for the purpose of awarding grant.
collected through this "Solicitation for Grant Applications" will be used by the Department of .
Labor to ensure that grants are awarded to the applicant best suited to perform the functions of
ation is required in order for the applicant to be considered
the grant. Submission of this inform
for award of this grant.
Signed on May 2, 2011, in Washington, D:C. by:
Thomas Martin
Grant Officer, Employment and Training Administration
lL '1',
Attachment A: H-1 13 Visa Information
Visit the Department of Labor's Foreign Labor Certification Data Center- Web site
( http :l/ www. flcdatacenter.com /CaseHlB.aspx) for the latest database of occupations approved
under H -1 B petitions.
Top 2010 H -18 Visas by North American Industrial Classification System (NAICS)
Codes, Standard Occupational Classification (SOC) Code's,
SOC Occupation Titles, and Annual Median Wage
STEM— PROFESSIONAL, S
AND TECHNICAL SERVICES
MANUFACTURING
: 31
—` ANNUAL
MEDIAN
SOC CODES Sot OCCUPATION TITLES WAGE
11 -1021 General and Operations Managers 92,650
29 20A -40
30
I 1 -1011
Chief Executives
160,720
11 -2022
Sales Managers
96,790
11 -3051
Industrial Production Managers
85,080
13 -1111
Management Analysts
75,250
13 -1081
Lo Isticians
67,960
17 -2112
Industrial Engineers
75,110
27 -1021
Commdrefal and Industrial Designers
580
27 -1022
' Fashion Designers
64,260
27 -1014
Multi- Media Artists and Animators
58,250
rZDTTCA'1'f0NAL SERVICES (NAICS: 61)
HEAL'T'H CARE AND SOCIAL ASSISTANCE NAICS: 62)
SOC CODES
•
ANNUAL
11 -9111
Medical and Health Services Mana ers
MEDIAN
SOC CODES
SOC OCCUPATION TITLES
WAGE
29 -1069
Secondary School Teachers, Except Special
> 166,400
25 -2031
and Vocational Education
52,200
-"
-E emen ary School" -ea ches, ExcepiSpec al-
109,180
25 -2021
Education
50,510
25 -1071
Health Specialties Teachers Postsecondary
84,840
29 -1122
Foreign Language 'an iterature I eac ers,
69,630
25 -1 124
Postsecondary
56,740
25 -1011
Business Teachers, Postsecondary
73,320
25 -3099
Teachers and Instructors, All Other
31,540
29 -9099
Mathematical Science Teachers,
44,670
25 -1022
Postsecondary
63,640
25 -1032
Engineering Teachers, Postseconda ry
85,830
29 -1065
Middle School Teachers, Except Special and
152,240
25 -2022
Vocational
50,770
Special Education Teachers, Preschool,
25 -2041
Kinder arten
50,950
HEAL'T'H CARE AND SOCIAL ASSISTANCE NAICS: 62)
SOC CODES
SOC OCCUPATION TITLES
ANNUAL
MEDIAN
WAGE
11 -9111
Medical and Health Services Mana ers
81,850
19 -1042
Medical Scientists, Except Epidemiologists
74,590
29 -1069
Physicians and Surgeons, All Other
> 166,400
29 -1123
Ph sical ` fhera 'Ists
74,480
29 -1051
Pharmaclsts
109,180
29 -1063
Internists, General
> 166,40D
29 -2011
Me ical and Clinical Laboratory Technologists
55,140
29 -1122
O4cu ational Therapists
69,630
29 -1111
Registered Nurses
63,750:
29 -1062
Family and General Practitioners
160,530
29 -1199
Health Diagnosing and Treating Practitioners,
All
65,220
29 -9099
Healthcare Practitioners and Technical
Workers, All Other
44,670
29 -1127
Speech-Language Patholo ists
65,090
29.1021
Dentists General
142,090
29 -1065
Pediatricians,. General •
152,240
20A -41
31
• I
20A -42
INFORNIA.TION AiCS:51
ANNUAL
MEDIAN
SOC CODES
SOC OCCUPATION TITLES
WAGE
SOC CODES
11
corn uter and Information S stems,Mana ers
113,720 j
-3021
15 -1021
Cc uter Program iers
70,940
77,080
15-1051
Cote uter systems Anal sis
1.
87 480
15 -1031
Corn uter Software En sneers, A Ilcations
60,610
13 -1199
Computdt Software Engineers, Systems
93,470
15 -1032
Software,
Net and Computer Systems
!
13 -2099
Administrators (Intl, Computer Security
'
67 710
15-1071
specialists)
Database Administrators
71 550
15 -1061
15 -2031
O eratioris Research Anal sts
70,070
—'—
Computer Specialists, A!i Other (Includes
Software (�ua_Ilty Assurance Enoine��$ aa71d—
— — ----
_
Testers; Computer Systems
Engineers /Architects; Network Designers; Web
010
15 -1099
Deve{o ers• and Web Administrators
I
Network Systems and Data Communications
73,260 j
15 -1081
15 -1041
Anal sts
Com uter Support Specialists
44,300
Computer and Information Scientists,
101 570
15 -1011
Research ,
87.210
• I
20A -42
FINANCE AND INSURANCE (NA_1LN:.L)
ANNUAL
MEDIAN
SOC CODES
SOC OCCUPATION TITLES
WAGE
11 -3031
Financial Mana ers
190
71 750
13 -2051
Financial Analysts
75 250
13 -1111
Management Analysts
6Q�340
13 -2011
Accountants and Auditors
60,610
13 -1199
Business operations Specialists, All Other.
13 -2041
Credit Anal sts
Financial Specialists, All Other
57,470
58 35C
13 -2099
• I
20A -42
Attachment B: Health Care Occupations
1. Allied Health
The Affordable Care Act (ACA) defines the term "allied health professional" as meaning
an individual who graduated with an allied health professions degree or ceriificate,*and is
employed as an allied health professional in a health care setting. • The' Association of Schools
of Allied Health Professionals expands upon its definition to include a cluster of health
professions that covers as many as 100 occupational titles, and employment growth is seen for
medical assistants, respiratory therapists, pharmacy technicians, emergency medical
technicians, and clinical lab technologists working in hospitals, home health care, medical
laboratories, and ambulatory care settings.
Allied health specialties are likely to evolve over the next several years, and occupations
in this complex sub - sector will continue to grow with the rest of the health care industry.
Changes in the way that medical care is provided are producing substantial demand for
technicians who can operate. advanced medical equipment. This Increasing demand will involve
not only new facilities and services, but more employees needed. across a wide range of
occupations requiring varying levels of education and training.
_ — -1n- 201-0, -in- response -to - public.- comments - solicited . in -a- 2008- F- ederal- R-egiste"— oticerthe --�
Bureau of Labor Statistics .(BLS) added Community Health Workers (CHWs) to the Standard
Occupational Classification (SOC) system. Community health workers, also known as
promo oras -or promo ores,. asses m vvi ua s an commune ies o a opt ea y e aviors,
particularly in areas where substantial health hazards exist. Occupational growth for community
health workers•is also projected as communities seek to build effective linkages with the health
care system to provide health education and information, advocate for underserved individuals
to receive appropriate services, and' build the capacity of the community in addressing health
issues.
ii. Nursing
Recent trends in the delivery of health care services increasingly rely on highly skilled
nurses working with allied health professionals in supporting clinical roles. Nursing roles range
from primary patient care to case management and directing complex health care systems.
Career pathway programs with articulated credit agreements can ease transitions for graduates
of nursing education and training programs at community colleges, and help transfer students
qualify for entry-level and mid -level nursing positions.
Increasing demand for medical care, rehabilitation, nursing, and long -term care will
broaden the range of healthcare occupations and require varying levels of education and
training. With further education and training, Certified Nursing Assistants (CNAs), direct support
professionals; home health aides, medical assistants, and personal apd home care aldes may
advance to higher -level positions or transfer to new occupations within healthcare industry
settings. Skill certifications and credentials may include licenses, certificates, and degrees from
accredited nursing programs that lead to the Associate Degree of Nursing (ADN) or vocational
licensure for Licensed Practical Nurses, and positions as CNAs. Career pathway programs can
help individuals develop competencies that are relevant across a number of occupations
enabling incumbent workers to advance from an ADN to the bachelor's degree in nursing
(BSN).
Iii. Health information Technology
Health information technology (HIT) makes it possible for health care providers to better
manage patient care through secure use and sharing of health information. Health IT includes
the use of electronic health records (EHRs) instead of paper medical records to maintain
people's health information. The Health Information Technology for Economic and Clinical
Health (HITECH),Act seeks to improve American health care delivery and patient care through
32 20A -43
an unprecedented Investment in HIT,. The provisions of the HITECH Act are specifically
designed to offer the necessary assistance and technical support to providers, enable
coordination and alignment within and among states, establish connectivity to the public health
community in case of emergencies, and assure the workforce is properly trained and equipped
to be meaningful users of EHRs.
The transition from traditional, paper -based medical files to EHR technologies will
expand career pathways in health information'management and technology. HIT jobs will be
created in hospitals, physicians' offices, home healthcare and outpatient clinics, and residential
care facilities. Career pathway projects can support the health information workforce by using a
variety of learning strategies for individuals who want.to specialize in the management of health
information,. as well as workers who must use HIT to perform the duties of their jobs.
33 20A -44
(- ]I.LT{�.31111G:LLt t.. v
.h 1 ! n r I .{� S t l r l 1✓
'' It i
Pro ected *r r F
1.:.
,Pro ect ri
?✓.
�}N,l
ri[av S y -
Fj`yi'
1V�'J11��e
nenjpinye
(�miloyed or
� '
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Y 3 } { 1.
jr ; t T !'� J�
rL r c h:r . �; 1{ ,.rl ll t} Y {15 jr
l:,
� 11t In ti � ) r. � t
i.. 17..
i fy7�lU +i.. e�L 4 t•i ��::
i., 1f�:.,..r.,.
t� ?rr :.•'.�I� L. •.0: r': ���.�.r.N .. I.tI..uJ� h.�R. a Y`r.(��.. -..r. .�C,
..�`, .�1i ,�.:.,.. •r... 4{.,.5 �. i
a..:
Total Participants Served
Total Participants Beginning
Education/Training Activities
Total Participants Completing
Education/Training Activities
Total Participants Who Complete
E ucatio raining Activities that
Receive a Degree or Other
Credential '
Total Number of Credentials Each
Participant is Expected to Receive
Total Number of Participants Who
Complete Education/Training
Activities who Enter Unsubsidized
Employment
Total Number of Participants Who
Retain Unsubsidized Employmext
in the First and Second Quarters
Following Initial Placement
Average Wage that Participants
will Earn at Placement
34
20A -45
DEPARTMENT OF LABOR
Employment & Training Administration
Solicitatioi� for Grant Applications (SGA)
[SGA- DFA -PY -10 -131
Amendment One
H -1 B Technical Skills Training Grants
AGENCY: Employment and Training Administration (ETA), Labor
ACTION: Notice: Amendment to SGA/DFA PY 10 -13
SUMMARY: The Employment and Training Administration published a notice in the
Federal Register on May 3, 2011, announcing the availability of funds and Solicitation for
Grant Applications- (S-GA)for the- H -1-B- Technical- Skill,,T- r- aining -Gr- ants- to -be- awarded
through a competitive process. This amendment to the SGA changes language in
Section II.D.2 and clarification. The document is hereby'amended. Note that at the end
of this Amendment, we have also added a clarification regarding whether incumbent
workers are eligible for on-the-job-training under this SGA.
Section III.D. 2, the following text should be replaced with the new text:
Old Text -The Department is committed to conducting a transparent grant award
process and publicizing information about program outcomes. Applicants are advised
that their application and information related to its review and evaluation (whether or not
the application is su(-,cessful) may be made publicly available, either fully or partially. In
addition, Information about grant progress and results may also be made publicly
available.
New Text - DOL is committed to conducting .a transparent grant award process.
and publicizing information about program outcomes. Posting grant applications
on public websites is a means of promoting and sharing innovative Ideas. For
this grant competition, we will publish the abstracts required by Section IV, Part
Ilia, for all applications on the Department's website or similar location.
Additionally, we will publish a version of the Technical Proposal required by.
Section IV. Part II, for, all those applications that are awarded grants, on the
Department's website or a similar location. No other parts of or attachments to
the application will be publishgd. The Technical Proposals and abstracts will not
be published until after the grants are awarded. In addition, information about
grant progress and results may also be made publicly available.
DOL recognizes that grant applications sometimes contain Information that an
applicant may consider proprietary or business confidential information, or may
contain personally identifiable information. Information is considered proprietary'
or confidential commercial /business information when it is not usually disclosed
outside your organization and when its disclosure is likely to cause you
substantial competitive harm. Personally identifiable information is information
that can be used to distinguish or trace an of birth, mother's mar {den such as name, name,
social security number, date p
biometric records, or other information tant.i Blinked linkable to an inforrnation�nd�vidua ,
such as medical, educational, finan ,
Abstracts will be ever, n order to ensue that originally
confidential information s properly
redactions. However, in
protected from disclosure when Doll posts ehpostedlw II be asked or submit a
applicants whose technical propo
, ro rieta
second redacted version of their Technical Psal, w orm
ation
confidential. commerciallbuslness, and personally if able f
redacted. All non - public information about the applicant's staff shoo dte.chnicai
removed as well. The Depart will contact the app
0 osals will be published by letter or email, and provide further cal Propost� al - -- bout- -
pr p
_l ow a . d whe to submit the redacted version oft e
Submission of a redacted versi DOL the Technical s r redac redacted version. If an applicant
permission by the applicant for p wi pu is e
ai s o .prow e a re ac e version Uwe ec nica
original Technical Proposal in full, after redacting personally dentifiable
Y
information. (Note that the original, unredt
d -version n lud ng an applicant's
will remain part of the complete application package,
proprietary
and confidential information and any personally identifiable
information.)
Applicants are encouraged to maximize the grant application information that will
be publicly disclosed, and to exercise erec airbus ness information, or capable of
truly is proprietary, confidential com
a The redaction of entire pages or sections of the Technical
identifying p
Proposal is not appropriate, and will. not be allowed, unless the entire portion
merits such protection. Should a dispute Cures outlined ed iri the Department's are
appropriate, DOL will follow the p
Freedom of Information Act (FOIA) regulations (29 CFR p art 70 )
Redacted information in grant applications will be protected by DOL from public
disclosure in accordance with federal law, including the Trade If DOL receives a
U.S.C. § 1905), FOIA, and the Privacy Act (5 U.S.C. § 552a).
FOIA request for your application, the procedures in DOL's FOIA regulations for submitted to the
responding to requests.for commerllials all FOIA exemptitons and procedures. 29
government will be followed, as we
at,t possible ta application les
CFR § 70.26. Consequet onin esponset s FOIArquest that applicant
result in release of inform
redacted in its "redacted copy."
1 Memorandums 07 -16 and 06 -19. GAO Report 08 -536, privacy:
ao. Aftematives Exist for
items d08536.pdf. Enhancing Protection
of Personally Identifiable Information, May 2008, http:Ilwww.g 9
The Department notes that a Federal agency cannot conduct or sponsor a
collection of information. unless OMB approves it under the Paperwork Reduction
Act of 1995, (PRA-95). In addition, notwithstanding any other provision of law, no
person shall be subject to penalty for failing to comply with a collection of
information if the collection of information does not display a currently valid OMB
control number. When the Department originally published this SGA, OMB had
approved an average burden'of 20 hours per grant. The Department has
requested 'OMB to approve the additional burden imposed by this transparency
provision under Control rst o8 Department i a
separate n o ice n the Fe ea Rda anounc ng theesult of that OMB
—,
review.
- — CLARtFtCATIIIN: •
ETA Ass istant Secret =on-the-jo ur4wA�e-y
incumbent workers arel le a training
(OJT); however, incumbent
workers are not eligible far OJT. under this SGA, and the specific language of the
SGA controls this question. Additional questions and answers from the webinar
and from universal parties will be available at www.doleta.gov/grant/find grants.cfm.
FOR FURTHER INFORMATION CONTACT: Jeannette Flowers, Grants
Management Specialist, Division of Workforce System Federal Assistance (202)
693 -3322 or flowers leannettando {.qov.
Signed at Washington, D.C., This 9th day of May, 2011
Thomas Martin
Grant Officer, Employment & Training Administration
r 1 •
li It' Lei
AL
(The'awardee's technical proposal is
incorporated as the Statement of Work.
If there -is a-discrepancy between.this
technical proposal and any DOL guidance
or cost principle; the- DOL guidance or
cost principle will prevail: The grantee
mint confirm that all costs are allowable
before expenditure:)
DOL SGA- DFA- PY -10 -13 Orange County Bridge to Engineering
Project Abstract
i
1) Project name: Orange County Bridge to Engineering (OC B2E) j
2) Lead applicant: City of Santa Ana; fiscal agent for the Santa Ana Workforce Investment
Board. Federal Tax Identification Number: 95- 6000785 Educatioa partners Saddleback (SB)
and Santa Ana (SAC) Community Colleges, California State University Fullerton (CSUF), University
of California Irvine (UCI); business related porlprofrts OCTANe and Autodesk Manufacturers
Users Group of Orange County; workforce parWerSanta Ana WIB; also statewide workforce
intermediary Growth Sector.
3) City /State: Santa Ana, California, 4) Targeted high - growth occupation: Engineering
Related occupations from the H -1B visa lists:
SOC Code
SOC Occupation Titles
17 -2031
Biomedical Engineers
154031
Computer Software Engineers, A lications
15 -1032
Computer Software Engineers, systems Software
15 -1099
Computer Specialists, All Other (includes Software Quality Assurance
En ineers and Testers; Computer Systems En •neers /Architects and more
17 -2071
Electrical Engineers
17 -2051
Civil Engineers
17 -2199
Engineers; All Other
17 -2061
Computer Hardware Engineers
5) Funding level requested: $5,000,000. No rnatch•required.
6)'Summary of program activities: The Orange County Bridge to Engineering (OC B2E)
project will provide intensive, cohort -based learning communities that will increase the participation
of underrepresented minorities -and women in engineering and increase the supply of qualified
engineers in Orange County. Our needs analysis shows that most community college students,
whether dislocated workers returning to school or. young adults who have been unemployed or
underemployed, do not have the math skills to enter an engineering major or any other technical,
science or math major, OC B2E is based on a successful cohort and bridge model which is currently
i
being implemented for dislocated workers in the Bay Area. OC B2E combines O%iopportuajacs
Page 1 of 2 i
gll _ A '
DOL SGA- DFA- PY -10 -13 Orange County'Bridge to Eng(neering
in engineering for all participants with intensive'academic coursework, dedicated support and
mentoring, and a replicable, accelerated bridging curriculum to ensure that unemployed adults can
succeed in engineering - 'required math and science courses within nine months of enrollment.
Santa Ana and Saddleback Community Colleges will each recruit and enroll one cohort of 35
students per year for the first three years of the grant. Each coh4xt will work with a full-time Student
Support Specialist based at their college; receive intensive academic tutoring and study skills,
participate in hands -Qn Summer Engineering Institutes, and be placed in an OJT after they have
completed lower - division engineering requirements. OC 132E will also assist cohorts in transferring
to 'a four -year university to receive a B.S.
Meanwhile CSUF and UCI will recruit an- average of 10 engineering students per year from
among their student body to receive additional academic support, counseling, transfer assistance, an
OJT placement, and access to Summer Engineering Institutes.
Canada College and San Francisco State University will provide technical assistance in
implementing the Bridge to Engineering accelerated, contextualized math /science curriculum.
OC 13211 addresses Southern California employers' acute need for highly skilled engineering
graduates and accelerates students into articulated engineering pathways between community
colleges and the California State University and University of California systems. OC 132E results in
a Computer Assisted .Drafting (CAD) credential for a1C program com Peter s. OC B2E will
give unemployed adults a supported opportunity to progress from pre - college math to a B. S.
in Engineering within five years.
7) Eligible participants to be served: Unemployed adults, specifically targeting
underrepresented minorities (Mexican Americans and African Americans) and women.
8) Public contact information where grantee wants public inquires to be addressed (may be
an email, website, or phone number). Carlos de la Riva, Economic Development Specialist at City of
Santa Ana, Phone: 714 -565 -2629 Email: CDelarivaQSanta -ana -cry
20A-51 Page 2 of 2
DOL SGA- DFA- PY -10 -13
Orange County Bridge to Engineering
Technical Proposal
The Orange County Bridge to Engineering (OC B2E) partnership, with the Santa Ana Work-
force Investment Board (SA WIB) as the lead applicant, brings together Saddleback (SB) and Santa
Ana (SAC) Community Colleges, California State University Fullerton (CSUF), University of Cali-
fornia Irvine (UCI), and statewide workforce interinediary Growth Sector. OC B2E will provide in-
tensive, cohort -based learning communities that will increase the participation of underrepresented
minorities and women in engineering and increase the supply of qualified engineers in Orange
County. Canada Community College and San Francisco State University (SFS'U) will provide techni-
cal assistance in implementing the Bridge to Engineering model, based on a similar cohort and
bridge model which is currently being implemented for dislocated wotkets in the Bay Area.
OC B2E addresses Southern California employers' acute need for engineering graduates, pro-
vides OJT opportunities in engineering, and accelerates students into articulated engineering path-
ways that exist between- community colleges (CCs) and the California State University and University
of California systems. Recognizing that lack of math skills is a significant barrier to entry to engi-
neering careers, OCB2E incorporates an intensive math Bridge that enables students to cut math
remediation time from 2' /z years to nine months. Building on this Bridge, OCBM willglve un-
employed adults a supported oppottu -aity to ptogtess from pte- collegemath to a B.S, in Efi-
gr`rleeting within Five years.
1 Statement'of Need
i. Targeted Industries and Occupations
Targeted high - growth occupation(s): The OC B2E partnership is targeting engineering oc-
cupations as listed in Table 1, below, which are in high demand among Orange County employers,
as well as in neighboring Los Angeles and San Diego Counties
Evidence of demand among employers requesting H1B visas: Table 1 shows that all of
the occupations we are targeting are listed as top HlB occupations by the Department of Labor's
Foreign Labor Certification Data Center and summarizes projections for future employment in
Page 1 of 20
DOL SGA- DFA- PY -10 -13
Orange County Bridge to Engineering
these occupations in California, which indicate moderate to strong growth in each field'.
Tahle 1. Targeted Occupations Amona Ton H1B Occuaations
SOC Cote
SOC.Occupation Titles' :
CA Emplgyment
Growth 2008,18
Annual Me
than Wage.:,
17 -2031
Biomedical Engineers
2,500
$78,860
15 -1031
Computer Software'En ineers, Applications
25,200
$87,480
15 -1032
Computer Software Engineers, Systems Software
18.900
$93,470
15 -1099
Computer Specialists, All Other (includes Software
Quality Assurance Engineers and Testers; Computer
Systems Engineers /Architects and more
5,000
$77,010
17 -2071
Electrical Engineers
4,300
$83,110
17 -2051
Civil Engineers
6,600
$76,590
17 -2199
Engineers, All Other
700
$89,560
17 -2061
Computer Hardware Engineers
2,200
$98,820
The demand for. engineers in all areas of specialization is high both in California and among
employers requesting H1B visas, and OC B2E will enable participants to transfer from CCs through
pre - articulated pathways to a wide range of engineering programs at a number of California State
University (CSU) and University of California (UC) campuses.
Enginceringis high growth according to all of the factors gamed in the SGA: 1) It is
projected to add substantial numbers of new jobs to the economy - well over 50,000 in California by
2018, according to the state EDD LMID. 2) It is being transformed by technology and innovation
requiring new skill. sets. Engineering is constantly transforming itself through innovation and new
technologies, requiring new skills for incumbent workers as well as constant evolution of engineer-
ing curricula for those being.frained for engineering careers. 3) It includes a wealth of new and
emerging businesses that are projected to grow. One of our employer association partners is OC-
TANe, the Orange County networking association for the technology industry, with over 100 small
business members (fewer than 100 employees). 4) Engineering has a significant impact on the econ-
omy overall and on the growth of other industries and occupations. Many economists believe that
innovation drives economic growth. Carl Schramm, who heads the Kauffman Foundation, a leading
think tank studying entrepreneurship, told a Forbes contributor in October 2010, "The single most
I California Employment Development Department (EDD) Labor Market Information Division (LMID).
Page 2 of 20.
20A -53
DOL SGA DFA- PY -10 -13 Orange County Bridge to Engineering
important contributor to a nation's economic growth is the number of startups that 'grow to a billion
dollars in revenue within 20 years. "z Engineers -- the bridge between scientific theory and business
practice -- are what drive startups.
Skills, credentials, education and training necessary for entry into or retention in engi-
neering: Generally, employers are seeking a Bachelors of Science degree in Engineering. In addition,
OCTANe's employer members are telling Executive Director Matthew Janusaids that new engineer-
ing graduates who have had hands -on workplace experience and have worked on projects in teams
are their preferred candidates.
Average, current wages offered in the industry and /or occupation, based on national,
state or local data. See Table 1, above. Current and future workforce needed by the em-
ployer(s). Table 2
includes projected
workforce needs for
selected engineering
occupations in Or-
ange County.
Evidence that
o n-1-1-1 Wn A fnrpa niap,iq nranne County Tech Employers
laWe4.tUIIGntocrIuctt,ouYYV41 \I .VV. - -
_dd
Occupation Tiles
Average An _
nual0pen
ins
"Projected
2008 2018
0 enin s_;
Biomedical Engineers
33
340
Software Engineers, Applications
181
1,310
-Computer
Computer Software En ineers, Systems Software
195
1340
Industrial Engineers
108
420
Computer Hardware Engineers
64
200
Electrical Engineers
43
50
Civil Engineers
204.
1,220
employers face a skills gap and.training gap. In Science, Technology; Engineering, and Mathe-
matics (STEM) fields, our nation's public education system is failing students, particularly low-
income students of color. The National Academies deport that:
"Underrepresented minorities - including African Americans, Hispanics, and Native Ameri-
cans - comprised just over 9% of minority college - educated Americans in science and engineering
occupations in 2006, the report notes. This number would need to triple to match the share of mi-
norities in the U.S. population. And to reach a national target that 10 % of all 24- year -olds hold an
2 Kartgard, R. "What Grows An Economy," binovation Rules, Forbes,
http: //I togs.forbes.canZrichlcarlgglyd/ 2010 /10/20 /whet- grows -an- economy/ accessed 5/9/11.
Page 3 of 20
20A -54
DOL SGA- DFA- PY -10 -13 Orange County Bridge to Engineering
undergraduate degree in science or engineering disciplines, the number of underrepresented minori-
ties would need to quadruple or even•quintuple.i3
Women are also underrepresented in STEM majors, a trend that starts in high school. Of the
1.39 million average PSAT takers each year from 2003 -2007, only 2% of girls stated interest in an
engineering major, compared to over 15% of boys. At Canada College, which has Worked with San
Francisco State to help develop the Bridge to Engineering model, among students with declared
STEM majors, incoming Mexican American and African American students have the highest per-
centages of students placing into Pre - algebra, indicating that they need additional preparation in
math to enable them to enter and succeed in calculus at the college level. According to Canada engi-
neering professor Dr. Amelito Enriquez, an OC B2E instructional design team lead;
"Most STEM majors require two years of courses that include calculus and physics. A
student who starts at Pre - algebra has an additional two and a half years of mathematics before they
are ready for Calculus. Hence, for Mexican American students at Canada who want to major in en-
gineering, 34.5% of them would need at least three and a half years, 24.1 %would need at least four
years, and 31 % of them would need at least four and a half years in a CC hefote they can even
transfer to a four. -year university."
The burdens of an additional 2.5 years of developmental math - which many students find
humiliating and discouraging - are not conducive to underrepresented minorities' success in STEM
majors, The Dean of Business and Engineering at Saddleback College says, "At Saddleback College
over the past several years, on average 70% ofentedpg students are deficientin xmadi or English
and are not able to take a transferable, college level course in either subject without prior remedia-
tion." 'Tracking students through traditional developmental math classes takes too long and loses too
many students along the way.' There is a clear need for a pathway that combines accelerated math
with support services to retain students and promote transfer to four -year engineering programs.
3 "U.S. Must Involve Underrepresented Minorities in Science and Engineering To Maintain Competitive Edge," News
from the National Academies, Sept 30, 2010,
hM;// www8. nationalacademies. org/ onpine ws /newsitem.aspx ?ltecosd1D =12984 accessed 3/22/11
4 Hern, K., 2010, ExponentialAttrition and the Promise ofAcceleratiat In Developmental English and Math, Chabot College.
Page 4 of 20
20A -55
DOl_ SGA- DFA- PY -10 -13 Orange County Bridge to Engineering
ii Targeted Population
Recruitment and selection process for program participants. The OC B2E recruitment
process will include a multi- partner outreach campaign that encompasses One -Stop Career Centers,
CCs (both our partner colleges and the other colleges within their districts), including their veterans'
programs and centers, and EDD Veterans Services. A Student Support Specialist hired for this pro-
ject will coordinate outreach and recruitment with partners and the Project Director, make presenta-
bons,. and meet one -on -one and in groups with prospective students.
While we are not specifically targeting long -term unemployed individuals, 47% of all unem-
ployed workers in the state have been unemployed for 27 weeks or more, and over 400,000 Califor-
nians have exhausted their 99 weeks of unemployment benefits.' We will target the unemployed,
long -term unemployed, and underemployed workers who are committed to a major career shift. We
will- also particularly target disadvantaged adults with little significant workplace experience.
Criteria used to as and enroll individuals for H -1B level education and training.
Participants will need to have at least a high school diploma or GED; test into at least 8"' -9th grade
reading and math level, and demonstrate commitment tq the OC B2E cohort model. Recruitment
and orientation will stress the year -round commitment to coursework, summer institutes, and a
third -year paid practictun (OJT) concurrent with a full academic load: A Steering Committee will
advise the CC partners on candidates for inclusion in OC B2E.
Role of the employer partner(s) in participant selection. The OC -B2E will prioritize mov-
ing students from pre - algebra math skills to completion of UC /CSU transfer requirements in no
more than three years. Employer partners will be interviewed regarding skills and attributes that en-
able an engineering student to make a successful transition to the workplace. Those employers who
sit on the OC B2E steering committee will have direct input into participant selection
Diversity: Existing diversity of the workforce, whether the selection process might af-
fect program diversity; how the proposal will improve the diversity of the workforce; meth-
5 CA EDD LMID, California Labor Market Review, March 2011.
Page 5 of 20
20A -56
DOL SGA- DFA- PY -10 -13 Orange County Bridge to Engineering
ods to recruit diverse participants. The existing engineering pipeline nationally is heavily skewed
toward Caucasians (68 %), Asian Americans (10 %) and foreign nationals (5 %)G The large majority of
engineering students are male (83 %). As the percentage of Latinos grows in California, and the per-
centage of women in higher education also increases, increasing workforce diversity is vital to the
state's economic competitiveness.
OC B2E has two major aims: (1) to increase the supply of qualified engineers in the Southern
California workforce, and (2) to create a pathway to engineering careers that is accessible to and sup-
portive of underrepresented minorities (particularly Latinos) and women, Therefore, increasing the
diversity of the workforce through recruiting and enrolling Latino, African- American, and female
unemployed and dislocated workers will be a primary focus at every level. The beauty of the Bridge
to Engineering model is that it creates access for students whose path to STEM majors and careers
has been barred by poor math preparation at the secondary level. OC B2E reaches beyond the tiny
minority of graduating high school seniors who are prepared for college calculus and opens the
pathway to'all adults. Selection of OC B2E participants, then, will positively affect the diversity of
the program.
We anticipate serving approximately 290 students over the four years of the H1B grant. We
aim to recruit at least 100 Latino and African- American participants and at least 100 female partici-
pants through active outreach and recruitment to Orange County One -Stop Career Centers, veter-
ans' service organizations, incoming CC students, and current students who are participating in Ex-
tended Opportunity Programs -and Services Table 3. Student. Demo ra hies at OC B2E CCs
(POPS), Puente, and other programs de-
signed for academically and /or economically
disadvantaged students.
Our partner colleges in OC B2E are
G National Science Foundation 2008 enrollments in engineering. Women, Minorities, and People with Disabilities in En-
gineering,htto• / / /_� wRn vnsfnsgov/ stadsticthvmpd /tables.cinaccessed 5/23/11.
Page 6 of 20
20A -57
Santa Ana
'Saddleback
African American
2%
10/.
Asian/Filipino
14%
10%
Latino
47%
12%
White
29%
56%
American Indian
1%
1%
Other /Multiracial /Unknown
8%
19%
Female
46%
60%
G National Science Foundation 2008 enrollments in engineering. Women, Minorities, and People with Disabilities in En-
gineering,htto• / / /_� wRn vnsfnsgov/ stadsticthvmpd /tables.cinaccessed 5/23/11.
Page 6 of 20
20A -57
DOL SGA- DFA- PY -10 -13 Orange County Bridge to Engineering .
each well positioned to recruit and serve cohorts of diverse participants. As shown in Table 3, La-
tino students are a large plurality of Santa Ana's student population. Santa Ana is a federally desig-
nated Hispanic Serving Institution and is working with the K -12 system and CSU Fullerton, as well
as with UCI, to boost enrollment by underrepresented minorities in STEM curricula. CSU Fullerton
titution. Saddleback in Mission Viejo, 20 miles south of
is also a designated Hispanic Serving Ins
Santa Ana, tends to serve a more affluent and more white student body. Its student population is
60% female. However, only 10% of students in Saddleback's Engineering 101 classes are female.
Prerequisites for proposed training; minimum educational requirements for trainees;
how these requirements position trainees to enter H1B occupation. As noted above, all high
school graduates /GED holders with an interest in and commitment to the program will be eligible
to apply. The Core Engineering Bridge positions trainees to enter the articulated engineering path-
ways and enter engineering occupations at a professional level.
Employers' commitment to hire program; anticipated wages graduates. OCTANe em-
plovers have indicated strong interest in potentially hiring OC B2E graduates, who will be prepared
to enter H1B engineering occupations at annual wages of $65,000-$75,000 /year. The attached. Letter
of Commitment, representing more than 17 employers, demonstrates that employees are eager to
hire third -year OC B2E students through OJT contracts and maintain successful OJT trainees as
employees for at least one full year. We anticipate that wages for OJT placements will average
$17 /hour for positions such as Engineering Technician Trainee and Computer Assisted Drafting
Trainee.
2: Prograrh� AcfivitI ' , a . toibct M:anagemenfi
i Description of Training Strategy
The OC B2E project meets the requirements outlined in Section I.C. (11 It tareets sl�i]ls and
com etencies in demand by industries and occu ations for which em' to ers are using H -1B visas to
lure foreign workers as illustrated in Table 1; () it ur� ovides education and training for jobs currently
available (Table 1); and Jai t results in an industry recognized credential. AU.00 B2E participants
Page 7 of 20 .
20A -58
Orange County Bridge to -Engineering
DOL SGA-DFA-Py- 10- 13
complete the rogram will. receive a Computer .A�ded Drafting (C�) certification as part of
who comp P
their lower- division engineering coursework,
Recruitment and outreach will begin immediately upon notification of the grant award, utiliz
education pro
-
strategies outlined above, so that the first cohorts can begin their intensive
ing the g
gram in January 2012: See the timeline /work plan in section ii for details ies each based on evidence
Training strategies. OC B2E incorporates a wide range of strateg ,
in supporting : an integrated bridge to math .
of effectiveness pp orting our target population. These include-
competencies, tutoring, acceleration, contextualized learning, cohort -based learning communities,
mentoring, interactive learning, academic support, and individualized case management support.
OC B2E c
ohort recruits 35 er CC er ear for Years 1 -3 will receive extensive assessment
' the weeks riot to .the launch of their cohort classes, which will begin with the nine -month Core
in P
E_ineerin Bride component
The Coxe Engineering Bzidge will give students in all cohorts 24 college credits of math and
g
eneral education, as outlined in the attached B2E Project Flow Chart. It will also include an Intrnon
duction to Engineering Careers workshop created by CSUF, field trips and other career e.xp ota ,
and math
skills instt2iction that is accel_ e_rated and coiitextuah& to the engineering field.
-week Math am, an intensive mathem
The Core Engineering Bridge Na start with the two to
ics ram designed to improve xo students' preparation for college level math courses. Imple
program
tion of Math Jam over the last two years at Canada College has shown success in improving student
p
erforrriance in the math placement test, and success in creating a sense of community among pro-
we
ram participants. An analysis of student academic performance in subsequent semesters shoo
significantly higher
gram
and retention rates among Math Jam participants compare to n
as well as a significant increase in enrollments in STEM courses, especially among mi-
participants,
no students.
Ace el_ Ei_ •anon. has shown great promise in moving academically under- prepared stud will include a
through challenging college coursework while reducing attrition. The B2E program
Page 8 of 20
20A-59.
Orange County Bridge to Engineering
DOL SGA- DFA- PY -10 -13
olle e Al g, Trigonometry, and Pre - Calculus. Our curticu-
nine -month Intensive Math course. C g $
design advisors agree that nine months is the optimal balance between compressing the time
lum gn
information. The BZE
needed and allowing students to process and retain the new also contextual-
needed xtual_ ,
izes learning with introductions to engineering and STEM careers, job shadowing,
and field trips.
The cohoi._ 't_ mo - -del has been part of many successful accelerated academic programs, including
rri developed by OC B2E intermediaries Growth Sector kn p
a BioTech Gateway pxogra artnership d
with northern California WIBs and colleges. This program won a Recognition of Excellence Award
for the core math and scienc
from US DOL. This grant will. cover cohort instruction e required for
lower - division engineering majors.
Each cohort will be supported throughout the program by assiened tutors /mentors who will oughout
assist participants in mastering course materials and study skills• All tox
tutors /mentors will receive tu�ll
training through a Coklege Reading and Learning Association certified program. Tutors /mentors
receive additional training and counseling at each college, to enable them to mentor and support
i
I
effectively. Participants andtutors /mentors will work collaboratively to
project participants more I
learn study and networking habits, reinforcing material from core courses by practicing problem -
solving techniques.
Interactive learning vaill also be the core bf OC B211 Summer En . ineerin Institutes (SEIs),
conducted by RapidTech. RapidTech's six -week SEIs will feature advanced manufacturing tech- d
nologies such as 3D printing, along with opportunities for OC B2E students to apply the math an
engineering skills and concepts learned in the classroom.
Transfer Assistance. OC B2E is currently working on guaranteed admission agreements for
qualified OC B2E graduates? to engineering programs at UCI and CSUF. These institutions already
have similar agreements in place as part of other programs encouraging transfers8, and the OC B2E
Steering Committee will finalize agreements specifically designed for our program.
7 Students will need to complete required coursework with a pre - determined minimum GPA.
s Santa Ana IAdelantel, which guarantees admission to CSUF for qualifying Santa CSUF SAC, SAUSD, and the city ofSD)
students, is an initiative of the Santa Ana Partnership, formed in 1983 by UCI,
Santa Ana to elevate academic achievement and college -going throughout the greater Santa Ana area
Page 9 of 20
Orange County Bridge to Engineering
DOL SGA- DFA-PY-10 -13
have dedicated access" to college counselors paid for
In addition, OC B211 students will
rk with them in planning their transfer to CSUF, UCI, CSU Long Beach,
throu g h the grant, to wo
rogram. While many core math and science
Cal Poly Pomona, or another four -year engineering p
courses are needed by all OC B2E students regardless of upper - division plans, some engineering
sfer re uirements are different depending on the individual institution and program. Students
trap q
will also have the opportunity to attend UCI's Summer Scholars Transfer Institute (SSTI), a unique
residential program made possible through collaboration between SAC and UCI's Centex for Educa-
ot the UCI dorms and can complete an intensive UC transfer-
tinal Partnerships. Participants stay a
cess to UCI computer
able course in 10 days. In addition, students have ac and library facilities.
d
Funds have been budgeted to suppor t student participation in SSTI throughout the grant peno
CtrenA' he iii+ and c „nr,t)rt11nQ existing e
In addition to our OC B2E cohorts, we axe a so _—
„rPrina tiath students pursuing engineering degrees. This strat-
ways for current CC, CSUF, and UCI
fied by faculty as needing aca-
egy will include; additional tutoring for engineering students identidvanced students, dedicated college academic counseling, access demic support, mentoring by more a
gineering Institutes and SSTI, and opportunities for OJT placements pnox to an d
ter transfer to CSUF or UCI. This strategy,
Strengthens connections among the CCs, CSUF, and UCI around supporting engineering
students in persisting, transferring, and achieving an Engineering degree;
Builds interest and enthusiasm among area employers in Years 1 and 2 of the program, be-
fore our three cohorts of 70 students start to need OJT placements in Years 3 and 4, and
■ Enhances the wozkplace readiness of selected CSUF and UCI engineering graduates as early
as Year 2 of the program. OC B2E- supported students will have Summer Erigincering Insti-
tutes, OJT work experience, and additional counseling to prepare them.
s Moves OC B2E graduates into the workforce by the end of program Year 2.
OJT Strategies. The Program Director will work with employer partners and college partners
to place each student in an OJT opportunity with an.Orange County technical employer.'UCI's Stu-
page 10 of 20
20A -61
DOL SGA- DFA- PY -10 -13 Orange County Bridge to Engineering
dent Achievement Guided by Experience (SAGE) Scholars program, OCTANe, and the Autodesk
Manufacturing Users Group (AMUG) of Orange County will all serve as sources of OJT place-
merits. All OJTs will last for a minimum of 26 weeks and include an individualized learning plan'for
the trainee, signed off by 'the placement supervisor.
SAGE Scholars will provide OJT placements, business readiness classes, and mentori_ng for
UCI students in Years 1 -4. In Years 1 -3, SAGE will recruit from among the UCI engineering stu-
dent pool, focusing on underrepresented minorities and women, and in Year 4, SAGE Scholars will
work with the first OC B2E CC transfers to UCI. (SAGE Scholars places UCI students, primarily
first- generation college - goers, in work experience related to their field of study, with companies such
as Broadcom, Abbott Medical Optics, Parker Aerospace, Western Digital, and Medtronic.)
OCTANe and AMUG will both be subcontracted partners in OC B2E, charged with recruit-
ing employer members to provide OJT placement opportunities for OC B2E CC cohorts and CSUF
engineering students. OCTANe has already lined up OJT slots with Allergan, Aubrey Group,
Bausch & Lomb Surgical, Emulex, Experian, Intersect Partners, Med Focus, Microsern , Sequent
Medical, Source Scientific, Vertos Medical, Edwards and others. AMUG has been brought into the
partnership more recently but anticipates strong interest in placing engineering students in OJTs.
Table 4. OJT Proiections
Year
OJTs Recruited From;;. °; ; :;
#
Year 1
CSUF and UCI current engineering students
16 -20
Year 2
CSUF and UCI current engineering students
20 -30
CSUF and UCI current engineering students, Santa Ana College and
70
Year 3
Saddleback College OC B2E Cohort 1.
-85
CSUF and UCI transfers from OC B2E Cohort 1 Santa Arta College
140 -
Year 4
and Saddleback College OC B2E Cohorts 2 & 3.
170
Total
(All students who persist in OC B2E will receive OJT opportunities.
235-
0 Ts
Range in number of placements reflects projected attrition)
280
How applicant and partners will develop and implement the career training pro-
gram(s). OC B2E is adapting cohort and bridge models that have worked successfully in the past
through gateways to bio -tech, energy, and utility careers, and in current pathways to teaching. In ad-
dition, Growth Sector and Bay Area workforce partners are currently developing a pathway to engi-
Page 11 of 20
�11 0 '%
DOL SGA- DFA- PY -10 -13 Orange County Bridge to Engineering
neering for dislocated workers at' Chabot College in Hayward. Articulation pathways for engineering
have already been developed among many community colleges and CSUs, in part funded by a grant
from the Bechtel Foundation in collaboration with -the CSU Chancellor's office. SFSU is currently
working with Chabot College to develop the Core Engineering Bridge curriculum and adapt it for
students who test into pre - algebra levels. SFSU and Canada College will provide technical assistance
to SFSU, Saddleback and Santa Ana in integrating the Math Jam model into the early weeks of the
Core Engineering Bridge. CSU Fullerton and UC Irvine will also participate in the development of
additional articulation agreements for biomedical and computer engineering pathways that start with
the community colleges.
Ensuring that work be immediately to deliver training and assistance with job
placement to participants. OC B2E, while it involves longer -term academic education, has a
strong workforce development focus exemplified by employer Work Readiness components of OC
B2E, including job shadowing and field trips to companies that employ engineers in varying special-
ties. Work readiness will start at the launch of each cohort's OC B2E -experience with an engaging
"Orientation to Engineering," field trips and guest speakers from industry, coordinated by Rapid -
Tech. Work readiness will also include workshops on researching, applying for, and interviewing for
jobs; communication, conflict management, teamwork, and other workplace readiness skills, pro-
vided through our WIB partners.
Our OC education partners will begin placing engineering students in OJTs starting in Year 1,
working with students who have completed their first two Years of engineering requirements at
CSUF and UCI. OCTANe will dedicate staff time to member outreach, OJT coordination, and work
experience coordination among its members from the outset of the grant: SAGE Scholars Program
at UCI will also be subcontracted to place UCI students in OJTs with its employer partners, while
CSUF will work with OCTANe and AMUG.
Degrees and industry- recognized credentials. All OC B2E graduates will xeceive a certifi-
cation in Computer-Aided Drafting (CAD) and an associate's degree or completed transfer requite-
Page 12 of 20
20A -63
Orange County Bridge to Engineering
DOL SGA- DFA- PY -10 -13
ments to the CSU /UC systems. Completion of the associate degree in engineering can also provide
the necessary background for employment as a designer, technician, or engineering assistant. .
Credentials or skills in the context of the specific H -1B occupation or into those along
nd skills are essential in many branches of engineering. OC
the career pathway. CAD certification a
ot immediately transfer to a four -year college may use their CAD certi
B2E participants who do n ft
ties in such industries as manufacturing, digital media,
cation to find. drafting and design opportuni
commercial and industrial design, interior design, fashion design, and architecture — all fields em-
However, our aim is to send at least 75% of
ploying people in H -1B occupations listed in this RFP.
our OC B2E students on to four -year universities, whether CSU Fullerton or Long Beach, Untver-
sity of California Irvine, another CSU or UC campus, or a private college. The comp letion of trans-
fer requirements to four -year universities' engineering programs is a critical step for students in be-
coming qualified engineers with the B.S. degrees required by most employers.
How project directly addresses identified skills and training gaps. Our CC partners
without exception identify math skills, and particularly calculus competency, as the single biggest
barrier to creating more home -grown engineers. By condensing the time required for students to
become calculus ready, providing them with tutoring and supports, hands -on experience, and cohort
based learning, OC B2E directly addresses the most daunting skills gap standing between students,
particularly African American and Latino students, and lucrative, in- demand engineering careers.
How project will help participants to obtain employment or advance. OC'B2E will pre-
eed in their OJT placements through work readiness classes and job shad
pare participants to succ
-
owing activities prior to the beginning of their OJT. Participants will enter part- tvme,employment
' and under the
through OJT while continuing their studies at Santa Ana or Saddleback College, ,
terms of the OJT contract, employers will commit to retaining successful participants for at least six
months after the conclusion of the 26 -week OJT period. 'T'hrough SAGE, OJTs will be set up with
strong mentoring, learning, and career development components. Finally, OC B2E will result in par-
e standard qualification needed to become an engineer. Long-
ticipants receiving the B.S. degree, th
Page 13 of 20
411"M,
DOL SGA- DFA- PV-10 -13
orange County Bridge to Englneering
term part -time work experience through OJTs will assist OC B2E graduates, especially individuals
who lack recent work history, to find permanent positions.
Evidence for project design. The OC B2E strategies described above have demonstrated
their effectiveness in increasing the retention and success of minority students in STEM fields.
10,11
Strong evidence exists for acceleration, particularly in mathematics, mentoring programs; intro-
s instructional strategies (e.g., collaborative and
ducing context in introductory course
13 Summer Bridge programs14; academic support services such as tutoring, Aca-
interactive learning)";
demic Excellence Workshops (AEWs), and peer mentoring's
In addition, our experience with the Gateways to Biotech project, which incorporated sum
-
tion, eontextualization, mentoring, and study skills instruction,
met bridging, cohort based accelera
onents are highly effective in supporting students from pre
has demonstrated to us that these comp
-
college academic levels all the way through CC. In the first Gateway cohort, 21 of 22 WIA- enrolled
students graduated from the intensive bridge, and 16 enrolled in a two -year Biotechnician CC train-
ing course.
ii. Program Activities
The work plan below outlines activities, implementers, timeframes, costs, and deliverables for
the OC B2E project. The partners are allocating the summer (pursuant to grant award and contract-
ing) and fall of 2011 for startup activities and participant recruitment, to launch our first OC B2E
cohorts' training and OJTs in January 2012. The costs proposed focus resources on participants' on-
9 Hern, 2010, Exponential Attrition and the Promise of Acceleration In Developmental Engh'sh and Math, Chabot College.
10 National Science Foundation (1996). Women, minbrities, and persons with disabilities in science and engineering:
1996, (Report No. NSF 96 -311). Arlington, VA
11 Goodman Research Group (2002). Final report of the women's experiences in college engineering (WECE) project,
Cambridge, MA
12 Davis, C., Finellij (2007), Diversity, and retention in engineering, New Directions for Teaching and Learning Special
Issue: Scholarship of Multicultural Teaching and Learning, Volume 2007, Issue 111, pages 63 -71
13 McShannon, J., & Derlin, R. (2000, February 25). Retraining mdnorzty and women engineering students. How faculty development
and research can foster student success. Paper New Mexico Higher Education Assessment Conference, Las Cruces, NM.
14 Goldberg, J. & Sedlacek, W. (1996), Summer Study in Egineerzng for Higb School il%men, Maryland University, College
Park, Maryland
15 Kai1e, M.; et. Al. (2004), Fostering Success among Traditionally Uaderrepi -esented StudentGrwps: Hartnell College's Approach to
Implementatiar of the Math, Engineer* and SdeuceAchievement (Mesa) Program, CC journal of Research and
Practice journal Citation: v28 n1 p17 -26 Jan-2004
Page 14 of 20
20A -65
Orange County Bridge to Engineering
DOL. SGA- DFA- PY -10 -13
the -job training and workplace readiness (29 %); academic and social supports (3I and developing
j Summer En eerin In-
and implementing innovative Core Bridge to Engineering curriculum and Summ gm g
), The costs are calculated by allocating percentages of personnel, contracts, and sup-
stitutes (23 %
plies based on detailed subcontractor and partner line item budgets.
nAtivprable
Activities
Recruit, hire, train staff &
contractors, Form Steering
Committee; Form Instruc-
tional Design. Tea_ m
Recruit & enroll diverse
cohorts of participants in
OC B2E CCs — ---
Implementer I Cost (4 -yr) . 5tan -G ILA
J
115 935 Sept 2011 Staff hired, Steering
SA WIB Pro} $ Dec 2011 Committee formed,
Mgr, All Instructional Design
partners Team formed
Entolliient ? 210 students enrolled
SA WIB CM, $178,000 Sept 2011- in OC B2E at CCs.
CCs, EDD, Dec 2013
SSSs
$27�Dec
C
Develop /Refine,
ore
Bridge to Engineering at 2 CCs, SFSU,
CCs
Canada
Deliver Core Bridge to En-
gineering, Curriculum
Industry speakers, field
trips, other career explora-
tion
Enroll CC, CSUF, & UCI
students in engaging hands -
on summer institutes
Mentoring, tutoring ser-
vices for CC cohorts
Provide support services
such as loans, textbook as-
sistance, equipment, case
management by WIB
Academic Counseling,
transfer assistance for CC
Cohorts
ei6
SB & SA
$439,277 Jan 2012 -Aug
CCs
CCs GS
2013
$79,000 Mar 2012 -Aug
Proj. Liaison,
2013
OCTANe,
AMUG, UCI
t„torin , mentoring
SAGE
$299,200
RapidTecb
$376,600 May 2013-J
UCI
2014 ,
Curriculum in place to
deliver math, science,
& core subjects in 9
months
6 cohorts prepared for
core math /science
210 CC cohorts & 50
CC engineering stu-
dents participate in
career exploration
At least 200 OC B2E
students complete SEI
earni com. unities m GCs.
Dec 2011 -Aug
CCs
$609,776
2015
hort students receive
t„torin , mentoring
CCs SSSs
$299,200
Dec 2011 -Aug
'
2015
hort stude0nts receive
financial aid, support
services
$153,013
Jan 2011 -Aug
At least 180 CC co-
CCs
2015
hort students receive
academic counseling,
transfer assistance
ff%
page 15 of 20
Page 16 of 20
��1�0
Orange County
Bridge to Engineering
DOL SGA- DFA -PY =10-13
Activities
Implementer Cost (4 -yr) 500
$333,
Start -End
Jan 2012 -Aug
Deliverable
At least 80
OJT Placement coordina-
U CI SAGE,
2015
UCI /CSUF & 210 CC
tion for acadeirAc juniors
OCTANe
cohort students placed
AMUG, GS
u, OJT
Proj. Liaison,
OJT subsidies paid to
SA WIB
SA WIB $ 1 040 910
Jan 2012 -Aug
2015
At least 25 employers
participate in OJT
wage
employers
contracts & receive
wage subsidies
Provide workplace readi-
SA WIB $94,600
Jan 2012 -Aug
2015
At least 80
UCI /CSUF &.210 CC
ness classes to participants
UCI SAGE
cohort students re-
Scholars
ceive work readiness
:-7 Sttein `theri:bnd "m Si -_su ort services, for rion :cohort
eri iy,eefii�
Sept 2011-
students -_ �
At least 80 CSUF &
Academic counseling, tu-
UCI SAGE, $107,807
Aug 2015
UCI students receive
toting, & support services
UCI> CSUF
GS Project
counseling, tutoring,
for:CSUF & UCI engineer-
& su Ott
ing students
&transfer assis-
Liaison
SSSs, CCs $115,000
Jan 2011 -Aug
At least 40 CC stu-
dents (non - cohort)
Mentoring
tance for CC students in
2015
receive mentoring &
2nd yr of engineering
transfer assistance
Suer Scholars Transfer
Summer
UCI, SSSs, $132,000
Aug 2012 -Aug SSTI &
2015 attend receive
Institutes at UCI
UCI credit
Instructional Design Team
UCI, CSUF, $135,000
Oct 2011 June IDT makes improve-
in articulation,
meets regularly to improve
CCs, GS
transfer processes,
articulation, transfer, cur-
Proj. Liaison,
curriculum to meet
riculum
Employer
student & business
representa-
needs
tives
AdriinYStrative %.Pro pct: atta
. 19,815 2
$
j
Project activities are '
Ongoing Administration/
SA WIB
carried out to achieve
project management
Proj, Mgt.,
GS Liaison,
ongoing
goals
CC Proj. Co-
or d.nators
SA WIB $ 90,440
Quarterly reports to
Steering Committee meet-
Steering Committee.
ings & reporting
Pr j. Mgt,,
on progress toward .
GS Proj
goals
Liais., CC
Proj. Coords,
All partners
$52,71 0'
Report to DOL, City
p
Reporting on outcomes &
SA WIB
of Santa Ana, stake -
grant costs
Pxo Mgr
1'
holders
Page 16 of 20
��1�0
DO S GA- D FA- PY- 10 - 13
Orange County Bridge to Engineering
Activities
Implementer
Cost (4 -y r)
Start -End
Deliverable
Indirect costs
All
$149,612
n/a
TOTAL
$4,997;479.
iii. Project Management
Project manager qualifications: The project will be managed by a full time Project Manager,
employed at the Santa Ana WIB and reporting to Santa Ana WIB Workforce Program Manager Car-
los de la Riva. Mr. de la Riva has 15 years of experience in developing workforce programs, pardcu-
larly focusing on business partnerships and economic development. The Project Manager will work
closely with Mr. de la Riva and the Steering Committee to ensure effective outreach and enrollment,
case management, data tracking and reporting, dissemination of project outcomes, and consistency
of implementation throughout the workforce partners. The Project Manager will be an experienced
workforce manager with over five years of progressive responsibility and experience in developing,
implementing, and overseeing multi - partner initiatives in collaboration with CCs and employers.
Knowledge of engineering occupations will be highly desirable, as will experience in successfiil pro-
jests with Latino and /or African American participants, The Project Manager will be designated'
within the first 30 days of the grant contract.
The Project Director will be supported by a Project Liaison from Growth Sector, who will
work closely with the colleges on instructional program design, program replication, and technical
assistance for the transfer of best practices for industry -driven workforce education. Proposed Pro-
jest Liaison Caz Pereira has 17 years of experience in managing workforce related projects. He has
served as Vice President at San Francisco Works, developing public and private workforce ventures
focused on developing collaborations with governments, private employers, CCs and community-
based organizations. Since 2004, as part of Gruber & Pereira Associates, Mr. Pereira has coordinated'
development and implementation of national award winning projects in the biotechnology, energy
and utility sectors, including the Biotech Gateway project mentioned above.
The organizational chart below demonstrates the connections among OC B2E partners.
Procurement processes. The OC B2E project will follow the procurement procedures of the
Page 17 of 20
Orange County. Bridge to Engineering
DOL SGA- DFA- PY -10 -13
City o£ Santa Ana and comply with applicable Federal and State laws and requirements. Historically,
ty with
the Santa Ana WIB has been able to contract efficiently through a sole source provider claus b
CCs and other providers o£ unique services as named in grant applicarions, and require a three-bid
gF'Q process for other subcontracts
Fiscal management will be the responsibility of the SA WIB. The legal applicant and admin-
lication is the City of Santa Ana. Linda Oberman, Economic
istrative agency for this 132F, grant app
Development Manager and Director of the WIB, will be responsible for all fiscal and performance
kin and reporting SA WIB has administered formula and competitive WIA funds since 2000.
trac g re p .
All funds are tracked through the City's fiscal office and accounted for using Generally Accepted
s in conformance with A -133 and A -87 standards. The City of Santa Ana uses
Accounting Principle,
te and streamline business func-
the Lawson Financial Management system; designed to consolida
nd employee benefits. Public sector. functionality
tions, including payroll, personnel administfunctionality
Orange County Bridge to Engineering Organizational Chart.
Santa Ana: City Council • '
Cit of Santa Ana)
Santa Ana WtB —Lead Applicant ( Y . .
Full Tlme P,rojecf Director
Grant Management Convenes' Steering enm pI 66S; bp Ca ee Cen9er Services SupportrveeSeury itmceqsh ,
outreach; JTA Trackrng; .Case Managem
FOlio ,Up :
OC B2E Steering Committee — All Sectors
Articulation and dissemination;
mmneet meetings Monthly Quarterly fhereafte . Project Subcommittees (Recruitment,
itment Student
Design Team monthly
Support, Sustainability) have monthly calls /meeungs
Growth Sector
(Nonprofit Intetmediary)
Full Time project Liaison
Liaison. with W18, Hires
Student Support specialists;
Coordinates internships
among employer and
education partners;
Convenes instructional
Design Team; Sustainabilit;
Planhing;
page 18 of 20
20A -69
Orange County Bridge to Engineering
DOL SGA- DFA- PY -10 -13
t Budgeting & Planning, and Contract Management. The WIB's budget
includes Grant Managemen ,
and ex enditure planning processes are linked to anticipated funding sources and disbursement and
l?
ure and controls, are setup to track expenditures by fund
reimbursement timelines. Our fiscal struct
ing source code and activity and ensure timely reporting.
Sustaining. training programs. The Santa Ana WIB has a 30 -year history of managing job
State, and Federal grants. Former participant follow up
training grants on all levels including County,
is supported.through the grant funding received from the Workforce Investment Act. Participants
e by case basis if they need additional or con,
are envrolled in WIA-funded follow -up services on a cas
erie
tinuin services. OC B2E partner Growth Sector's expnce in sustaining key practices of its Bio-
g
tech Gateway program is also illustrative here. As noted above, 95% of WIA participants in the first
enrolled in a two -year Biotechnician CC
Gateway cohort completed intensive bridging and 73%
training course. The Gateway was so successful that the CC partners created seven additional call
Gateway program elements to support future cohorts of academically
Y
courses and maintained crucial,
students. We anticipate that Santa Ana and Saddleback Community Colleges will
under-prepared
also be able to sustain accelerated cohorts to bridge student's to engineering pathways.
3._OuEcom.es
i. Pro'ected Performance Outcomes pro'ections
Tabie'S: Par`tici ant Performance outcomes 290
Total participants served (2 cohorts /year x 35 /cohort x-3 years, plus 80 through UCI
p 290
and CSU
Total number of participants beginning education /tr aining activities 210
Total number of participants completing education /training activities
Total participants who complete education /training activities that receive ac).
edential 190
Participants who receive CAD certification
Associates Degree in or transfer to four -year colleg hird -
e as tyear Engineering stu -' 168 -170
dent 60
Bachelor of Science in Engineering 420_
Total credentials received for all participant%+ inclndingtiaes credentials
nd who enter unsub- 290
sidized em to menr.
Total participants who complete education /trag activities and w o axe pace 140
into unsubsidized employment who are employed in the first and second quarters
followin initial placement. 115
Total participants who complete education training activities and who enter
unsubsidized employment. - ----
Page 19 of 20
20A -70
DOL SGA- DFA- PY -10 -13
Orange County Bridge to Engineering
Mle6;' P' tfti ant Performance'0utcomes ;
Pro'ections
Total participants who complete education /training activities and who enroll in fur-
ther education on the same career pathway.
170
ii. Cost per Participant and Ability to Report Outcomes
OC B2E is an ambitious program that aims to move participants into highly paid professional
positions in engineering. There are few intermediary jobs on the engineering career pathway, and
demand is low for those jobs.' Therefore, our plan is to invest*in developing a model that moves
participants all the way through a Bachelors of Science degree, while concurrently building.their
practical skills through OJT placements.
Tracking Systems. The SA WIB and all partners directly serving participants will collect par-
ticipant- level.data on participants enrolled, completing, exiting prior to completion of training, em-
ployment outcomes, and further training outcomes: Partners will also track race /ethnicity and gen-
der of OC B2E participants to see how the project is meeting its goals of increasing participation of
underrepresented minorities and women in the engineering workforce.
SAC is a key partner in the Santa Ana Partnership, consisting of the Santa Ana Unified School
District' the City of Santa Ana, SAC, CSUF, and UCI. The.Partriership uses a common database to
track academic outcomes and employment outcomes when students enter the workforce. Saddle-
back College will provide additional data to be entered into the Santa Ana Partnership system. OC
B2E case managers at SA W1B will follow up on.participants through EDD payroll records, phone
contact, email, and OC B2E social networking web pages, and enter data into the JTA system.
As part of the ongoing Bridge to Engineering initiative spearheaded by Growth Sector, OC
B2E will also seek private funding to supplement this data gathering with a phone survey of employ-
ers and graduates. The survey would interview graduates six months and two years after entering the
workforce full-time, to find out what was helpful in B2E curriculum and services; what needed im-
provement; what was unexpected, etc. Employers would be interviewed about graduates' academic
preparation, readiness for the workplace, and skills acquired through Summer Institutes and OJTs,
16 EDD /L,MID projects only 18 annual openings in Orange County for Engineering Technicians, all other; 30 for Civil
Engineering Technicians, and 43 for Electronic /Electrical Engineering Technicians.
Page 20 of 20
20A -71
Santa Ana
Workforce Investment Board
Application for the H -1B 'Technical Skills Training Giant
The program will serve all'of the Congressional Districts in Alameda County,
California: CA -009, CA -011, CA -013.
The program will serve the following Congressional Districts in San Francisco
County, California: CA -008, and CA-012.'
The program will serve the following Congressional Districts in San Mateo County,
California: CA -012 & CA -014.
The program will serve the following Congressional Districts in Santa Clara
County, California: CA -011, CA -014, CA -015, and CA-016..
The program will serve the following Congressional Districts in Orange County,
California: CA -040, CA -042, CA -044, CA -046, CA -047, & CA -048.
The program will serve the following Congressional Districts in San Diego County,
California: CA -049, CA -050, CA -051, CA -052, and CA -053.
Letter of Commitment: Orange County.Bridge to Engineering Project
Among
Workforce Partners: Santa Ana Workforce Investment Board; Growth
Sector
Education Partners: Canada, and Santa Ana ' Community Colleges,
California State University Fullerton, University
of California Irvine, RapidTech;
Employer Partners: OCTANe; Autodesk Manufacturing Users Group
The above -named partners have collaborated on an application for a H -113 Technical Skills Training
Grant from the U.S. Department of Labor. The partners listed above have agreed to enter into a collaborative
agreement in which the Santa Ana Workforce Investmet Board will be the lead agency and named applicant
and the other agencies will be partners in this application. The partners wish to enter into xLetter of
Commitment setting forth the services to be provided by the collaborative. All of the Workforce and
Education partners have an established and successful record of providing employment and training,
education, collaborative workforce development projects and working closely with local and regional
employers, as described in more detail in the technical narrative of the grant application attached to this
agreement. The Employer partners listed above have approached the workforce and education partners with
their need to develop a future workforce and contribute to improved education and training of engineers in
southern California, as described in detail in the technical narrative.Our Foundation partner is extremely
active in STEM education and engineering workforce issues.
This application was planned and prepared by the lead agency, Santa Ana Workforce Investment
Board, in collaboration with the aforementioned partners, through a series of discussions amongst senior
management'from each entity. The partners have worked together to develop information about the extent of
the need for the proposed services, existing service gaps, scope of services, and the proposed project budget.
All signing partners have approved this application, which is a request for new funding for the Orange
County Bridge to Engineering Project (OC B2E) to be submitted to the U.S. Department of Labor on or
before June 2, 2011.
The partners enter into this Letter of Commitment and assert that the primary goal of OC B2E is to
develop a sustainable, integrated system for channeling students through pre - college into four -year university
engineering programs while preparing them for.real -world work situations. To achieve this goal, project
partners will:
• Build a nine -month intensive Core Engineering Bridge course that incorporates a jump start math boot
camp; an intensive and integrated math program including algebra, trigonometry, pre - calculus, and
introduction to engineering careers
• Enable OC B2E participants to directly enter the already established four year community
college /CSU/UC engineering pathways
• Enable OC B2E cohorts to move through most of their first two years r[ a learning community.
• Support cohorts-of students through the pathways with tutoring, mentoing, case management academic
and financial aid and counseling
o Offer intensive Summer Engineering Institutes with project.based learning
Facilitate transfers to four -year universities' engineering programs for OC B2E graduates
Provide paid and unpaid internships and career exploration opportunities for participating students This
Letter of Commitment details the roles and responsibilities for the lead agency and each collaborative
partner in implementing the proposed Orange County Bridge to Engineering Project (OC B2E) The terms
of this 'LOC are conditional on the U.S. Department of Labor awarding a H1B Technical Skills Training.
grant to Santa Ana W IB .Grant amounts and matching funds are subject to revision based on the financial
circumstances and budgets of the undersigned cooperating agencies. Since the budget will be negotiated
finally once the grant is awarded, we are not specifying the dollar amounts of the grant award per agency
401_x?
at this time. This LOC is not a contract and only covers the intent to serve and partners' roles in the
project.
PARTNER ROLES & RESPONSIBILITIES
In order to provide the full scope of work outlined above and in the grant application, the
responsibilities of each partnering agency will include:
WORI(F ORCE PARTNERS
Each Workforce Partner will provide services and activities as outlined in the grant narrative and
workplan, including:
1, Provide staff to participate in the project's ongoing collaborative planning, implementation, and
activities
2. Conduct outreach and recruitment for grant 'Participants,
The Santa Ana Workforce Investment Board will further provide services and activities as outlined in
the grant narrative and workplan including:
1, Serve as the contractual and administrative lead agency and be responsible for fiscal management,
subcontracting, and grant reporting.
2, Provide WIA eligibility assessment, enrollment, skills and interest assessment, and case management for
two cohorts, of 33 -35 OC 132E participants per cohort, for each of the first three years of the grant period.
3. Coordinate with their local community college and Growth Sector's Student Support Services to ensure
individualized wraparound, services for each participant in the program.
4. Provide its full complement of workforce services, including the services of its One Stop Career
Centers. One Stop services include job search workshops such as resume building, interview practice,
and soft skills development.
5. Leverage its WIB to create internship and mentoring opportunities for OC B2E participants
G. Make available its One Stop facilities for workshops, team building, and other program elements.
7. Conduct outreach to its full range of relevant workforce partners, as well as WIB board members, .
including businesses, social services and local government partners to provide opportunities and
support for OC 132E participant
Growth Sector will provide services and activities as outlined in the grant narrative and workplan
including:
1. Provide project management and coordination to the OC B2E Coalition to ensure progress toward the
Coalition's goals
2. Serve as the employer. of record for Student Support Specialists at each community college.
3. Coordinate third -party review process for curriculum deliverables
4• Conduct employer outreach and development
5. Develop a resource and sustainability plan
EDUCATION PARTNERS
All Education Partners (Canada Saddleback an•d Santa Ana Community Colleges, CSU Fullerton
and UC Irvine) will provide services and activities as outlined in the grant narrative and workplan,
including:
l • Provide staff to participate in the project's ongoing collaborative planning, implementation, and
activities, with the time required for this purpose, including providing a stipended faculty member to
serve on the Instructional Design Team.
2. Provide facilities and instruction for OC B2E as specified in the grant.
Saddleback and Santa Ana Community College Partners will provide services and activities as
20A -74
outlined in the grant narrative and work Ian includinC:_
1. provide assessment on each stude i ion rwith four-year oBthe OC B2E Consortium
2. Coordination of transfer
one faculty membeEo servelon tthedlnshuct sporting elements
Design T alm a
3. Participate in the de el
representative of at least
4. Facilities and support for Summer Engineering Institutes
5. Intensive cohort -based counseling college application cation pro ess through a tutor/mentor op SEPs (Student Education
6. Assist students with the Community g pp
Plans) in group settings enrolled
8. Inform the students is em Community gate information and have s available to them students complete the online FAFSA and BOG
8. Financial Aid will disseminate
forms, and provide at least two workshops on financial aid per year.
In addition:
dition:
includiri
1. Serve as Technical Assistance provider for Math Ja►n curriculum to OC 132E partner colleges.
2. Support SFSU with development of curriculum for Core Engineering Bridge
workplan including:
mputer lab hardware and software for Summer Engineering Institute participants in
1. Provide access to co
coordination with RapidTech
er Engineering Institutes, for two cohorts of approximately 30 -35
2. Provide logistical support to Summ
students each per year.
3. Participate in the development of the OC B2E curriculum and supporting elements by consulting with
the OC B2E Instruction Design Team.
4. Work with community colleges to develop articulation agreements and facilitate transfer of OC B2E
cohorts
5. Provide tours and career exploration during Summer Engineering Institutes provide mentoring and
6. Recruit employers to provide internships through the SAGE Scholars m; p'
support to UCI SAGE Scholars,
7. Provide Summer Scholars Transfer Institute programming for OC B2E participants as specified in the
workplan and budget.
8. Provide academic counseling for selected engineering students as part of OC B2E.
California State Universit Fullerton will rovide services and activities as outlined in the rant
narrative and workplan including: : year) as part of OC
1. Provide academic counseling r select o al9Santa Ana uand Saddleback community r
clege transfers in
B2E in Years I and 2 of the project
Years 3 and 4 of the project
2. Work with OC B2E staff to place approximately 10 OC B2E engineering upperclassmen per year.in long-
term internships..
f the OC B2E curriculum and supporting elements by consulting with
3. Participate in the development o
the OC B2E Instruction Design Team.
4. Work with community colleges to develop articulation agreements and facilitate transfer of OC B2E
cohorts
San Francisco State UUniversittYy will provide services and activities as outlined in the grant narrative and
workplan including:
1. Serve as the Inststructional Design Lead for OC ME's Core Engineering Bridge component.
2. Participate in the development of the OC B2E curriculum and supporting elements.
20A -75
RapidTech will provide services and activities as outlined in the grant narrative and workp]ari including:
1: Provide staff to participate in the project's ongoing collaborative. planning, implementation, and
activities with the time required for this purpose
2. Participate in development and delivery of Summer Engineering Institutes in collaboration with
Orange County -based education partners
3.' Provide outreach and recruitment assistance to OC B2E through field trips to the RapidTech labs and
other activities.
4. Reach out to employer partners as appropriate to develop internships for OC B2E participants.
EMPLOYER PARTNERS
All Employer Partners will: •
1. Provide staff to participate in the project's ongoing collaborative planning, implementation, and activities
with the time required for this purpose.
2. Assist workforce and education partners in defining the skills, knowledge, and experience needed by
engineers so bat engineering students are well - prepared for the workplace.
3. Consider any successful long -term interns for permanent employment as appropriate
4. Assist the workforce and education partners in publicizing the opportunities available through OC
B2E.
OCTANe will provide services and activities as outlined in the grant narrative and workplan including:
1. Actively recruit businesses to provide internships and work experience for OC B2E participants
2. Sign up additional information technology, clean tech, life science, and biomedical employer partners
from among the OCTANe membership, in addition to Abbott Medical Optics, Allergan, Aubrey Group,
Bauscli & Lomb Surgical, Emulex, Experian, Intersect Partners, Med Focus, Microsemi, Sequent
Medical, Source Scientific, and Vertos Medical, which have already committed to place OC B2E
participants in 39 internships and 45 work experience opportunities.
Autodesk ManufacturinZ Users Group (AMUG) will provide services and activities as outlined in the
grant-narrative and workplan including:
1, Actively recruit businesses to provide internships and work experience for OC B2E participants from
among its members
2. Set a target of at least 10 OJT placements /internships per year for AMUG.
COMMITMENT TO PARTNERSHIP
1. All partners commit to participation in the Orange County Bridge To Enginering Consortium (OC B2E
Consortium), providing all requested information, services, and activities described in the grant narrative
work plan.
2. All partners commit to a good faith effort to sustain commitments of resources for the life of the grant and
to seek to institutionalize and sustain OC B2E programs and initiatives beyond expiration of grant funds.
3. Compensation for funded partners' contribution to this project will be provided as outlined in the budget
detail. All partners to be paid'for subcontracting services under this grant have reviewed the proposed
budget and approved the individual budget for their agency services.
4. This agreement assumes that all parties will put forth their best efforts to work together with all
collaborative partners and act in good faith in carrying out the terns of this letter.This Letter of
Commitment represents the entire agreement of the parties and may be modified only in writing and with
the consent of the above referenced parties. By signing here, each entity signified approval of this
collaboration, including the proposed budget, for the duration of H1B Technical Skills Training Grant
funding.
Signed: L . �tyd/} , �,�t Y—f,,-Y>_Qr....,.L 24, 2011
•fir L �
Name: Linda A. Oberman, Santa Ana WIB Director
Agency: Santa Ana Workforce Investment Board
Signed- May 24, 2011
Name: E rc Hsu, Associate Professor of Mathematics
Agency: San Francisco State University
Signed-,
Title: PVe S I d e+N — aV%,1 C-f,= 6
Date: May 23, 2011
Signed: May 23, 2011
Frame: Ja es \ right, Dean of MA, Science &'En .
Agency: Saddleback Community College
Signed.-'., t `{ i' May 24, 2011
Name: David Giuber, Director
Agency: Growth Sector
Si ned..• 7 Ma 28, 2011
Name: Gary Ra inowitz, AMUG Pre Went
Agency: Autodesk Manufacturing Users Group (AMUG)
Signed• 2011
Name: William C. Tang, Associate Dean lor Research
Agency: University of California, Irvine
Signed: .r U f,� 2011
Name: Thomas Mohr, President
Agency: Cafiada College
Name:
Title;
Date: May Z3,2011
Agency: Santa Ana College
Signed = - a 28, 2011
Name. enshen Porrg, Director, School of Engineering
Agency: San Francisco State University
Signed: May 29, 2011
Name: Susamma Barua, Associate Dean
Signed:" _
Name: Caz Perch Director
Name:
Sector
of Orange County Agency: Samuch Foundation
20A -77
May 28, 201
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DOL SGA- DFA- PY -10 -13 Orange County Bridge to Engineering
OC B2E Budget Narrative
A. Personnel
Project Manager— Overall Project Management, reports to Santa Ana WIB Manager. The
full -time Project Manager will work closely with all partners to'ensure effective outreach and
enrollment, case management, data tracking and reporting, dissemination of project outcomes
to the workforce field, and consistency of implementation throughout the partners.
Calculation: 0.75 FTE x $57,000 = $42,750 in Year 1, $42,750 in Year 2, $42,750 in Year 3,
and $42,750 in Year 4.
Case Manager— Works with colleges, tutor /mentors and OC 132$ participants to provide
support services, counseling, etc.
Calculation: 1.00 FTE x $48,000 = $48,000 in Year 1, $48,000 in Year 2, $48,000 in Year 3,
and $48,000 in Year 4.
Subtotal Personnel
Project Year
Funds Requested
Year 1
Year 1
$
90,750
Year 2
$
90,750
Year 3
$
90,750
Year 4
$
90,750
Total $ 363,000
B. Fringe/Benefits
Fringe/Benefits— Including medical, retirement, worker's comp, etc.
Calculation: 0.35% x Subtotal. Personnel = $31,762.50 in Year 1, $31,762.50 in Year 2,
$31,762.50 in Year 3, and $31,762.50 in Year 4.
Subtotal Fringe/Benefits
Project Year
Funds Requested
Year 1
$
31,762.50
Year 2
$
31,762.50
Year 3
$
31,762.50
Year 4
$
31.762.50
Total $ 127,050
Page 1 of 12
411:141
DOL SGA- DFA- PY -10 -13
C. Travel
Orange County Bridge to Engineering
Travel to Washington D.C.— annual grantee meeting for Project Manager and one key
partner each year. Includes airfare, lodging, per diem.
Calculation: $600 airfare plus $70 per diem x 3 days plus $180 hotel x 2 nights x 2 persons.
Subtotal Travel
Project Year
Funds Requested
Year 1
$
2,340
Year 2
$
2,340
Year 3
$
2,340
Year 4
$
2,340
Total
$
9,360
D. Equipment
None
E. Supplies
None
F. Contractual
Canada College
Faculty as Instructional Design- Consultant: Provides 10% FTE for academic year;
summer (20 hrs /wk for 6 wks @ $54.57 per hr) = $16,214 in Year 1 and $16,214 in Year 2,
$0 in Year 3, and $0 in Year 4 for a total of $32,428. Fringe Benefits @ 14.1% = $2,286 in
Year 1 and $2,286 in Year 2, for a total'of $4,572
Math Instructor: Math Jam training and assistance for other community colleges to
integrate Math Jaen curriculum and technique into Core Engineering Bridge and-summer
refresher courses. (200 hrs for Yrl, 50 hrs for Yr2, @ $54.57 per hour) = $10,914 in Year 1,
$2,729 in Year 2, $0 in Year 3, and $0 in Year 4 for a total of $13,643. Fringe Benefits @
14.1% = $1,539 in Year 1 and $385 in Year 2 for a total of $1,924
Conference/Professional Development - Organzing NAFJAM conference in each year =
$3,500 in Year J and $3,500 in Year 2, for a total of $7,000
Instructional and Office supples = $1,000 in Year 1, $1,000 in Year 2, $0 in Year 3, and $0
in Year 4 for a total of $2,000
Page 2 of 12
DOL SGA- DFA- PY -10 -13
Orange County Bridge to Engineering
Printing = $500 in.Year 1, $500 in Year 2, $0 in Year 3, and $0 in Year 4 for a total of
$1,000
San Mateo County Community College District Indirect calculated at 8 %= $2,876 in
Year 1, $2,129 in-Year 2, $2,129 in Year 3, and $2,129 in Year 4 for a total of $9,263
Canada C�Subtotal
Project Year Funds Requested
Year 1 $ 38,829
Year 2 $ 28,742
Year 3 $ 0
Year 4 $ 0
Total $ 67,572
Saddleback Community College
Curriculum Development and Implementation Math Lead: With Science/Engineering
Lead; serves on Instructional Design Team, develops and delivers Core Bridge to
ther CCs. $15,272 in Year 1,.$15,577 in Year 2,
Engineering Curriculum, coordinates with o
$15,889 in Year 3, and $16,207 in Year 4 for a total of $62,945. Fringe Benefits @ 19.24%
_ $2,938 in Year,l, $2,997 in Year 2, $3,057 in Year 3, and $3,118 in Year 4 for a total of
$12,110
Curriculum Development and Implementation Sci/Eng Lead: With Math Lead, serves on
Instructional Design Team, develops and' delivers Core Bridge to Engineering Curriculum,
coordinates with other CCs. = $15,272 in Year 1, $15,577 in Year 2, $15,889 in Year 3, and
$16,207 in Year 4 for a total of $62,945. Fringe Benefits @ 19.24% = $2,938 in Year 1,.
$2,997 in Year 2, $3,057 in Year 3, and $3,118 in Year 4 for a total of $12,110
Adjunct Faculty: (44 -64 units /$1100 unit) Assists in delivering Core Bridge to Engineering
curriculum, accelerated math, science basics = $48,400 in Year 1, $70,400 in Year 2,
$71,808 in Year 3, and $73,244 in Year 4 for a total of $263,852. Fringe Benefits @ 13.04%
_ $6,311 in Year 1, $9,180 in Year 2, $9,364 in Year 3, and $9,551 in Year 4 for a total of
$34,406
Academic Counselor: (10% FTE no summers) Provides dedicated academic counseling
time to Saddleback Community College cohorts to help them succeed in OC B2E and .
transfer to the institution of their choice = $9,144 in Year 1, $9,327 in Year 2, $9;513 in Year
3, and $9,704 in Year 4 for a total of $37,688. Fringe Benefits @ 19.24% = $1,759 in Year
1, $1,795 in Year 2, $1,830 in Year 3, and $1,867 in Year 4 for a total of $7,251
Tutorial: (20 hrs /week at $1l /hr) Student tutors dedicated to OC B2E cohorts = $5,940 in
Year 1, $8,610 in Year 2, $8,610 in Year 3, and $8,610 in Year 4 for a total of $31,770.
Fringe Benefits @ 10.99% = $653 in Year 1, $946 in Year 2, $946 in Year 3, and $946 in
Year 4 for a total of $3,491
20A -85 Page 3 of 12
DOL SGA- DFA- PY -10 -13
Orange County Bridge to Engineering
Project Assistant: (OT) _ $2,000 in Year 1, $3,200 in Year 2, $3,400 in Year 3, and $4,000
in Year 4 for a total of.$8,600. Fringe/Benefits @ 21.69% = $434 in Year 1, $694 in Year 2,
$738 in Year 3, and $868 in Year 4 for a total of $2,734
Cohort Field Trips = Transportation and supplies for CC cohorts to visit local companies as
part of career exploration curriculum. $0 in Year 1, $1,250 in Year 2, $1,420 in Year 3, and
$1,400 in Year 4 for a total of $4,070
Chemicals/Lab supplies, Physics, Chemistry /Computer Science = Includes software,
graphing calculators, and other lab supplies. $21,000 in Year 1, $40,000 in Year 2, $40,000
in Year 3, and $40,000 in Year 4 for a total of $141,000.
Indirect Costs = $10,565 in Year 1, $14,604 in Year 2,'$14,842 in Year 3, and $16,571 in
Year 4 for a total of $56,582
Saddleback Community College Subtotal
Project Year Funds Requested
Year 1 $ 142,626
Year 2 $ • 197,155
Year 3 $ 200,363
Year 4 $ 223,711
Total $ 763,854
'Santa Ana Communiiy College
Curriculum Design Lead: Engineering Chair Craig Takahashi will serve on Instructional
Design Team, develop and deliver Core Bridge to Engineering Curriculum, coordinate with
other CCs. 20% of Load including summer = $22,082• in Year 1, $22,082 in Year 2, $22,082
in Year 3, and $22,082 in Year 4 for a total of $88,328. Fringe Benefits @ 14.71% plus
health & Fringe = $7,852 it Year 1, $8,280 in Year 2, $8,708 in Year 3, and $9,135 in Year
4 for a total of $33,975
Curriculum Design Second. Engineering Faculty for overload fall & spring summer
paperwork - rooms, keys. Will assist to develop. and deliver Core Bridge to Engineering
Curriculum, coordinate with other CCs. = $10,122 in Year 1, $10,122 in Year .2, $10,
122 in
Year 3, and $10,122 in Year 4 for a total of $40,488. Fringe Benefits @ 14.71% = $1,489 in
Year 1, $1,489 in Year 2, $1,489 in Year 3, and $1,489 in Year 4 for a total of $5,956
Faculty pilot engineering courses: SAC faculty to pilot additional. engineering coursess
both as part of Core Engineering Bridge and additional lower- division coursework that wily
articulate to engineering pathways at CSUF, UCI, and other four -year colleges. = $0 in Year
1, $15,090 in Year 2, $15,090 in Year 3, and $0 in Year 4 for a total of $30,180. Fringe
Benefits @ 14,71% = $2,220 in Year 2 and $2,220 in Year 3 for a total of $4,439
20A -86 Page 4 of 12
Orange County Bridge to Engineering
DOL SGA- DFA- PY -10 -13
Math Instructor: Spring 2012 Accelerated College$1 1g09 r /Tr gaon� etr 090 � Year 2,14
units) - instructors. math., physics & engineering
$15,090 in Year 3, and $0 in Year 4 for t tai in$45,2730. Fri ge Be $61659@14.7 1%
$2,220 in Year 1, $2,220 in Year 2, and
Student Assistants /Tutors Acad Year: Provide 1 �lc Y2t 80 hrs / o Y3 2F $21,896in
SAC. 40 hrs /wlc/ for 35 wks @ $11.00 /hr ( ), 60 hrs /w And Year 1, $32,844 in Year 2, $43,792 in Year 1 $2,.549 in Year 2e$3 398 total of
3, and '428.
Fringe Benefits @ 7.76% = $1,699
$1,699 in Year 4 for a total of $9,345
Summer Bridge Instructor with benefits: iai basic bridging curriculum
Jam (6 weeps for 4
incoming cohort members needing addittoi rox. 6,67 LHE _ $7,189 in Year 1,
hours per day @ $71.96 per hr) = 120 his instruction, app
$7,189 in.Year 2, $7,189 in Year 3, and $0 in Year 4 for a total of $21,567. Fringe Benefits
@ 14.71% = $1,058 in Year .1,-$1,058 in Year 2, and $1,058 in Year 3, for a total of $3,173
Summer Bridge Student Assistants /Tutors - 5 tutors @ 2 d r O n for
eah for@ total of /hr
$11,730 in Year 1, $11,730 in Year 2, $11,730 in Year 3, an $
$35,190. Fringe Benefits @ 7.7.6% = $910 in Year 1, $910 in Year 2, $910 in Year 3, and $0
in Year 4 for a total of $2,731
Math Jam Assistant 4 we 5 days a week, 4 hours a day @ $16.00 per hr - Student
Leaders providing additional tutoring/instruction
4 for t t 1 of $3,8 0. Fringe Benefits @ 7.76 %0 °n$99in
2, $1,280 in Year 3, and $0 m Y
Year 1, $99 in Year 2, $99 in Year 3, and $0 in Year 4 for a total of $298
Math Jam Student Assistants /Tutors - 5 tutors @ 25hrs /wk for 4 wks @ $15.64/hr
$7,820 in Year 1, $7,820 in Year 2, $7,820 in Year 3, and $0 in Year ,4 for a total of $23,460.
Fringe Benefits @7.76% = $607 in Year 1, $607 in Year 2, $607 in Year 3, and $0 in Year 4
for a total of $1,821
Counselor/Retention Specialist (10 hrs a week for 40 weeks @ $76.16 per hr) - assists core
team in recruitment and outreach including at campus veterans programs, provides academic
counseling and referrals to support services= $20,360 in Year 1, $20,360 in-Year 2, $209960
in Year 3, and $20,360 in Year 4 for a total of $81,440. Fringe Benefits @14.71% = 2,
in Year 1, $2;995 in Year 2, $2,995 in Year 3, and $2,995 in Year 4 for a total of $11,980
Researcher: 10% FTE, assists in gathering and reporting student data, tracking outcomes =
$4,892 in Year 1, $4,892 in Year 2, $4,892 in Year 3, and $4,892 in Year 4 for a total of
$19,568. Fringe Benefits @ 24.06% = $1,177 in Year 1, $1,177 in Year 2, $1,177 in Year 3,
and $1,137 in Year 4 for a total of $4,708
Textbook loans for students'to support students in financial
Year la need. $20 Year 2 year: 00 in
students for Yrl, 60 for Yr2, 90 for Yr3 = $6,000 in
Year 3, and.$1,000 in Year 4 for a total of $31,000
Page 5 of 12
20A -87
DOL SGA- DFA- PY -10 -13 Orange County Bridge to Engineering
Graphing Calculators @ $150 each = $4,000 in Year 1, $4,000 in Year 2,.$4,000 in Year 3,
and $0 in Year 4 for a total of $12,000
Transportation and supplies for 3 field trips to local companies = $3,000 in Year 1,
$4,000 in Year 2, $5,000 in Year 3, and $3,000 in Year 4 for a total of $15,000
Conference/Professional Development = $2,000 in Year 1, $2,000 in Year 2, $2,000 in
Year 3, and $2,000 in Year 4 for a total of $8,000
Instruction and office supplies = $8,000 in Year 1, $3,000 in Year 2, $3,000 in Year 3, and
$1,000 in Year 4 for a total of $15,000
Printing = $3,,000 in Year 1, $3,000 in Year 2, $3,000 in Year 3, and $500 in Year 4 for a
total of $9,500'
Lab equipment, supplies = $38,000 in Year 1, $0 in Years 2, 3, and 4 for a total of $38,000
Opening and closing events for Summer Bridge Program = $1,000 in Year 1, $1,000 in
Year 2, $1,000 in Year 3, and $0 in Year 4 for a total of $3,000
Indirect Costs (@10%)'= $16,605 in Year 1, $16,088 in Year 2, $17,146 in Year 3, and
$8,268 in Year 4 for a total of $58,107
Santa Ana Community College Subtotal
Project Year
Funds Requested
Year 1
$
224,172
Year 2
$
217,190
Year 3
$
231,473
Year 4
$
111,615
Total.
784,450
San Francisco State University
Technical Assistance and Oversight: Eric Hsu -Manages the Project, develops curriculum
in concert with Instructional Design Team= $8,800 in Year 1, $8,976 in Year 2, for a total of
$ 17,776
Curriculum Development and Technical Assistance: Brandy Wiegers - Assists in
developing and revising curriculum for Core Engineering Bridge = $35,000 in Year I -
$28,000 paid for by another grant = $7,000, $17,850 in Year 2, $0 in Year 3, and $0 in Year
4 fora total of $24,850
Fringe/Benefits @ 44% and 48% respectively = $20,672 in Year 1, $12,517 in Year-2, $0
'in Years 3 and 4 for a total of $33,189
Page 6 of 12
20A -88
DOL SGA- DFA- PY -10 -13
Orange County Bridge to Engineering
Travel to LA (4 trips /year x 1 staff) - Coordination of project statewide. = $1,660 in Year
and $0 in Year 4 for a total of $3,320
1, $1,660 in Year 2, $0 in Year 3,
Supplies and Materials'(School of Engineering) - To support developing curriculum
$1,0 =
$1,000 in Year 1, $1,000 in Year 2, $0 in Year 3, and $0 in Year 4 for a total of $2,00
Indirect Costs W %) = $3,131 in Year 1, $3360 in Year 2, $0 in Year 3, and $0 in Year 4
for a total of $6,491
San Francisco State University Subtotal
Project Year Funds Re quested
Year 1 $ 42,264
Year 2 $ 45,364
. $ 0
Year 3 $ 0
Year 4
Total $ 87,626
R_ apid Tech
Summer.Institute Program Director: Dedicates er Engineering Institutes. n
recruiting industry partners for OC B2E
$25,000 in Year 2, $25,000 in Year 3, and $25,000 in Year 4 for a total of $100,000
Year 3, and $30,000 in Year 4
Year 1,
Supplies = $5,000 in Year 1, $10,000 in Year 2, $20,000 in
for a total of $65,000
Software: Complex 3D modeling software to increase capacity of Summer Engn Ye ng ,and
Institute to serve more students. = $15,000 in Year 1, $4,000 in Year 2,
$4,000 in Year 4 for a total of $27;000
d with Summer Summer Institutes Costs: Direct costs associohorts from Community Colleges in Years 3
20 CSUF /UCl students in Y1, 30 in Y2, and c
and 4 = $20,000 in Year 1, $20,000 in Year 2, $35,000 in Year 3, and $35,000 in Year 4 for a
total of $110,000
workshops= $2,300 in Year 1; $2,300 in Year 2, $5,000 in Year 3, and $5,000 in Year 4 for
a total of $1'4,600
Rapid Tech Subtotal Requested
Funds Requ _
Project Year '7,300
Year 1 $ 6
Year 2 $ 61,300
Year 3 $ 89,000
Year 4 $ 99,000
Page 7 of 12
4IMPI:11'J,
DOL SGA- DFA- PY -10 -13
Total $ 316,600
Growth Sector
Orange County Bridge to Englneering
Project Liaison - Coordinates curriculum development with Canada College and SFSU,
manages Student Support Specialists, coordinates internships with OCTANe, AMUG, UCI
SAGE and other employers, actis as liaison with WIB to ensure all project goals are on track
= $75,000 in Year 1, $75,000. in Year 2, $75,000 in Year 3, and $75,000 in Year 4 for a total
of $300,000.
Admin support - assistance with scheduling, tracking, reporting, meeting coordination. 0,15
FTE at $45,000/FTE = 36,750 in Year 1, $6,750 in Year 2, $6,750 in Year 3, and $6,750 in
Year 4 for a total of $27,000
Fringe/Benefits - Including medical; retirement, etc. Calculated at 24% of salaries $19,620
in Year 1, $19,620 in Year 2, $19,620 in Year 3, and $19,620 in Year 4 for a total of $78,480
Travel to Orange County Overnight from 13ayArea, for supervision of Student Support
specialists, meeting. with Steering Committee and Instructional Design Team, SA WIB. Eight
2 -day trips per year at $324 for airfare, $35 /day for per diem, $70 for hotel = $2,949 in Year
1, $2,949 in Year 2, $2,949 in Year 3, and $2,949 in Year 4 for a total of $11,796
Day Travel to Orange County from Bay Area for supervision of Student Support
specialists, meeting with Steering Committee and Instructional Design Team, SA WIB. Eight
day trips per year at $324 for airfare, $35 /day for per'diem.= $2,872 in Year 1, $2,872 in
Year 2, $2,872 in Year 3, and $2,872 in Year 4 for a total of $•11,488
Between overnight and day trips, the Project Liaison will spend a total of 48 working days
per year in Orange County, an average of four full days per month. He will also be in
constant email and phone'communication with partners.
Student Support Specialists: 2 specialists (l per community college). Plays critical role in
outreach and recruitment of community college cohorts. Envisioned as a recent CSUF /UCI
graduate and ideally former community college student who can relate to OC 132E cohorts
and the diversity of their needs and strengths. Provides mentoring, social' and academic
support, and coordinates referrals to student support services at the colleges and through the
SA WIB. Works closely with SA WIB case manager. Works primarily with cohorts at
community college, however, starts working with existing engineering students in Y1 as
well. Contract amount rises in Years, 2, 3 and 4 as there are more cohorts to work with =
$I00,000 in Year 1, $105,000 in Year 2, $110,000 in Year 3, and $120,000 in Year 4 for a
total of $435,000
Growth Sector Subtotal
Project Year Funds'Requested
Year 1 $ 207,191
Page 8 of 12
41 ' IAC
DOL SGA- DFA- PY -10 -13
Year 2
$
212,191
Year 3
$
217,191
Year 4
$
227,191
Total $ 863,764
UC Irvine
Orange County Bridge to Engineering
SAGE Scholars Program: Staff time and outreach costs to recruit existing engineering
students, particularly women and/or students from underrepresented minority populations for
long -term internships /OJTs in Years 1 and 2, and to find internships /OJTs for OC 132E UCI
transfers in Years 3 and 4. Also instructional time for workplace readiness /business culture
class, outreach, and recruiting costs = $20,000 in Year 1, $25,000 in Year 2, $35,000 in Year
3, $54,000 in Year 4 (when 2 cohorts' worth of transfers will be coming into UCI) for a total
of $134;000.
Faculty Instructional Design Stipend: UCI engineering Faculty member to serve on
instructional design team, help develop RapidTech summer institute curriculum and work on
articulation between community colleges and UCI. $20,000 in Year 1, $10,000 /year in Years
2 -4 for a total of $50,000.
Summer Scholars Transfer Institute: Per student cost for existing CC engineering students
to attend a residential UCI Summer Scholar Transfer Institute, earn UCI credits, and learn•
more about transfering to UCI. $1,000 per student x 5 students in Year 1, 5 students in Year
2, 10 students in Year-3, and 22 students in Year 4, plus $500 in materials costs. $5,000 in
Years I and 2, $10,000 in Year 3 and $22,500 in Year 4 for a.total of $42,500.
UC Irvine Subtotal
Project Year
Funds Requested
Year I
$
45,000
Year 2
$
40,000
Year 3
$
55,000
Year 4
$
86,500
Total $ 226,500
OCTANe
Provides staff time and recruitment efforts to identify, and coordinate OJT opportunities for
OC 132E community college cohorts, from among the over 500 OCTANe member
businesses.
Project Year Funds Requested
Year 1 $ 0
Page 9 of 12
Orange County Bridge to Engineering
DOL SGA- DFA- PY -10 -13
$ 0
Year 2 $ 50,000
Year 3 $ 50,000
Year 4
Total $ 100,000
_California State University Fullerton
Project Coordinator: 10% FTE to coordinate with other to partnersp smento seC$5,500 n Year 1,
J
cohorts and tutor /mentors once per month, recruit/hire to
$5,500 in Year 2, $5,500 in Year 3, and $5,500 in Year 4 for a total of $22,000
Academic Counselor: Provides dedicated academic counseling el B services t a to C Years 3 and 4:
engineering students: existing students in Years 1 ,
0:25 FTE = $2,286 in Year 1, $2,286 in Year 2, $2,286 in Year 3, and $2,286 in Year 4 for a
total of $9,144 in Years I and 2,
Tutorial (10 hrs /weelc at $11 /hr.): Dedicated tutorial
3 andl4o $4,180 n students
$4,180 in Year 2,
OC ME community college transfers to Yea
$8,360 in Year 3, and $8,360 in Year 4 for a total of $25,080 Counselor, 15%
Fz ingeBenefits; Calculated at 48% for Projec,n eart2a$4,984 in Yea 3c and $4,984 in
for student tutorial = $4,357 in Year 1, $4,357
Year 4 for a total of $18,684 unity
college
Engineering Field Trips for existing• students t Year 2, $2 000 n Yea and $2,000
transfers in Years 3 and 4 = $1,000 in Year 1, $1,000 in
in Year 4 for a total of $6,000
ic instructional
Faculty stipend: Stipend CSUF engineering ent for cou sework at community colleges with
• design team,
including articulation ttnprov
CSUF team, work = $15,000 in Year 1, $15,000 in Year 2, $10,000 in Year 3, and $10,000
in Year 4 for a.total of $50,000
Indirect Costs ( @8 %) _ $2,586 in Year 1, $2,586 in Year 2, $2,650 in Year 3, and $2,650 in
Year 4 for a total of $10,473
California State Universi
al
Project Year
dsrRequete
d
Year 1
$
34,909
Year 2
$
34,909
Year 3 -
$
35,781
Year 4
$
35,781
Total
$
141,380
Page 10 of 12
20A -92
DOL SGA- bFA- PY -10 -13 Orange County Bridge to Engineering
Subtotal Contractual
Project Year
Funds Requested
Year 1
Year 1
$
802,290
Year.2
$
836,851
Year 3
$
878,808
Year 4
$
833,797
Total $ 3,351,747
G. Construction
None.
H. Other
OJT wage subsidies— Subsidies for wages for OC ME participants' OJT placements at an
average 'of $4,420 each. Growth Sector, OCTANe, .UCI SAGE, AMUG, and the Santa Ana
WIB will all collaborate as part of the Steering Committee's OJT Subcommitee to develop a
formula and structure for subsidizing OJT based on size of company and length of
placement.
Calculation; $17 /hour x 10 hours /week x 26 weeks /year x 15 students in Year 1, 25 students
in Year 2, 56 students in Year 3, and 126 students in Year 4 (Years 3 and 4 assuming some
attrition)= $66,300 in'Year 1, $110,500 in Year 2, $262,990 in Year 3, and $556,920 in Year
4.
Subtotal Other
Project Year
Funds Requested
Year 1
Year 1
$
66,300
Year 2
$
11.0,500
Year 3
$
262,990
Year 4
$
556,920
Total
$
996,710
I. Total Direct Costs
Project Year
Funds Requested
Year 1
$
993,443
Year 2
$
1,072,204
Year 3
$
1,266,651
Year 4
$
1,515,570
Page 11 of 12
411 ' •"R
DOL SGA- DFA- PY -10 -13
Total
J. Indirect Costs
Calculation: 3.096/o x Total Direct Costs
Project Year
Year 1
Year 2
Year 3
Year 4
Total
K. Training Stipends
None
Total Costs
Orange County Bridge to Engineering
4,847,867
Funds Requested
Funds Requested
$
19,115
$
23,535
.$
38,784
$
68,177
$
149,612 .
Project Year
Funds Requested
Year 1
$ .
1,012,558
Year 2
-$
1,095,739
Year 3
$
1,305,435
Year 4
$
1,583,747
Total
$
41997,479
Page 12 of 12
PART 111.
tRp►NCESICERTIFICATiONS
ASS..
41 7 •R
OMB Approval No. 4040 -0007
Expiratlon Date 04 /30/2008. `
ASSURANCES - NON - CONSTRUCTION PROGRAMS
Public reporting burden for this collection of Information is estimated to average 15 minutes per response, including time for reviewing
Instructions, searching existing data sources, gathering and maintalding the data needed, and completing and reviewing. the collection of
Information. Send,comments regarding the burden estimate or any other aspect of this collection of Information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348 - 0400), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE
ADDRESS PROVIDED BY THE SPONSORIING AGENCY.
NOTE: Certain of these -assurances may not be applicable to your project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
(1) Has the legal authority to apply for Federal Assistance,'and the
institutional, managerial and financial capability (Including funds
sufficient to pay the non - Federal share of project cost) to ensure
proper planning, management and completion of the project
described in this application.
(2) Will give the awarding agency, the Comptroller General of the
United States, and If appropriate, the State, through any authorized
representative, access to and the right to examine all records, books,
papers, or documents related to the award; and will establish a proper
accounting system In accordance with generally accepted accounting
standards or agency directives.
(3) Will establish safeguards. to prohibit. employees from using their
positions for a purpose that constitutes or presents the appearance of
personal of organizational conflict of Interest, or personal gain.
(4) Will initiate and 'complete the work within the applicable time
frame after recelpt.of approval of the awarding agency.
(5) Will comply with the intergovernmental Personnel Aot of 1970 (42
U.S.C.4728 -4763) relating to prescribed standards for merlt systems
for programs funded under one of the 19 statutes or regulations
speCifled in Appendix A of OPM's Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).
(6) WIII comply with all Federal statutes relating to nondiscrimination.
These include but are not limited to: (a) Title VI of the Civil Rights Act
of 1964 (P.L. 88 -352) which prohibits discrimination on the basis of.
race, color or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. 1681 -1683, and 1685-
1686), which prohibits discrimination on the basis of sex; (c) Section
504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794),
Which prohibits discrimination on the basis of handicaps: (d) the Age
Discrimination Act of 1975, as amended (42 U.S.C. 6101= 6107 ),
which prohibits discrimination on the basis of age; (e) the Drug Abuse
Office and Treatment Act of 1972'(P.L. 92.255) as amended, relating
to nondiscrimination on the basis of drug.abuse; (f) the Comprehen-
sive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (P.L. 91 -616), as amended, relating'to
nondiscrimination on the basis of alcohol abuse or alcoholism; (g) 523
and 527 of the Public Health Service Act of 1912 (42. U.S.C. 290 dd -3
and 296 ee -3), as amended; relating to confidentiality of alcohol and
drug abuse patient records; (h) Title VIII of the Civil Rights Act of
1968 (42 U.S.C. 3601:et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing; (1) any
other nondiscrimination provisions In the specific statutes) under
which application for Federal assistance is being made; and 0) the
requirements of any other nondiscrimination statue(s) which may
apply to the application.
(7) Will comply, or has already compiled, with the requirements of
Titles It and ill'of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L, 91- 646)•which
provides for fair and equitable treatment of persons displaced or
whose property Is acquired as a result of Federal or federally assisted
programs. These requirements apply to all interests In real property
acquired for project purposes regardless of Federal participation in
purchases. '
(8) Will comply,.as applicable, with the provisions of the Hatch Act (5
U.S.C. f501 -1508 and 7324 -7328) which limit the political activities of
employees whose principal employment activities are funded in whole
or in part with Federal funds.
(9) Will comply, as applicable; with the provisions of the Davis -Bacon
Act (40 U.S.C. 276a to 276a- 7),'the Copeland Abt (40 U.S.C. 276c
and 18 U.S.C. 874), and the Contract Work Hours and Safety
Standards Act (40 U.S.C'. 327 -3, regarding labor standards for
federally assisted construction subagreements.
(10) Will comply, if applicable, with Flood Insurance Purchase
Requirements of Section 102(x) of the Flood Disaster protection Act
of 1973 (P.L, 93 -234) which requires recipients in p special flood
hazard area to participate in the program and to purchase flood
Insurance if the total cost of insurable construction and.acquisition Is
$10,000 or more.
(11) Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of environmental
quality control measures under the National Environmental Policy Act
of 1969 (P.L., 91 -190) and Executive Order (EO) 11514; (b)
notification of violating facilities pursuant to EO 11738; (c) protection .
of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in
Flood plains In accordance with EO 11988; (e) assurance of project
consistency with the approved State management program
developed under the Coastal Zone Management Act of 1972 (16
U.S.C. 1451 ei seq.); (f) conformity of Federal actions to State (Clear
Air) Implementation Plans under Section 176(c) of the Clear Air Act of
1955, as .amended (.42 U.S.C. 7401 at seq.); (g) protection of
underground sources of drinking water under the Safe Drinking Water
Act of 1974, as amended, (P,L.'93 -523); and (h) protection of
endangered species under the Endangered Species Act of 1973, as
amended, (P.L. 93 -205).
(12) Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. 1271 at seq.) related to protecting components or potential
components of the National Wild and Scenic Rivers System.
(13) Will assist the awarding agency in assuring compliarice with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (Identification and protection of
historic. properties), and theA'rchaeological and Historic Preservation
Act of 1974 (16 U.S.C. 469a.1 et seq ;).
(14) Will comply with P.L. 93 -348 regarding the protection of human
41 ' 'I0
Subjects Involved In research, development, and related actfvlties
supported by this award of assistance. t the
(q 5) Wlli comply with the Labbratory Animal Welfare Act ni g to*
(Q L.) 89.544, as amended, 7
U.S.O.2131 et seq.) pertaining to*
the
handling, and tOe other a ti t Qs supp rted by thss award of
research, teaching,
assistance.
I with the Lead-Bated ebits the use.of lead based Prevention
palntct
(16) Will comp y which p
(42 U.S.C. 4801 et seq.)
in construction or rehabilitation of residence structures.
*SIGN% TURE•OF AUTHORIZED C Rlof these assurances)
(Use of grant funds certifies acceptance
*APPLICANT ORGANIZATION
(47) Will cause to be performed the required financial and compli-
ance audits In accordance with the Stn Audit Audit States, Local Amendments
of 1996 and OMB Circular No. A- 133, "
Governments, and Non Profit Organization.-
Will comply wlth all applicable requirements f mee gof all of
(I 8,J Find
laws, executive orders, regulations nd p
program.
'TITLE
*DATE SUBMITTED
(Use of grant funds certifies acceptance of these assurances
Standard Form 424E (Rev. 7-0) Back
Lobb in Cerci teation (29 CFR Part 9�
l%ZSIYLiGCCVrw - --
e report entity, payment or agreement to make payment to
closure forth shall be completed by tli p whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal Acton,
This disclosure agency, a Member bf Congress, an officer or employee of Congress, or he
or i material change to a previous filing, pursuant to title 31 Ll,�,C. section 1352: The filing of a form is required for each paYm
any material
entity for influencing or attempting to influence an officer or employee of any ag y' Continuation Sheet for additionalda ce published by the Office of
employee of a Member of Congers in° connection with a covered Federal action. Use the .S A .
form is inadequate. Complete all item infoisinationor both the initial filing and material change report. Refer to the implementing gtu P covered Federal
Management and Budget for additional
1 • Identify the typd of covered Federal action for which lobbying aeti9k is and/or has been secured to influence the outcamc o, a
action,
2. Identify the status of the covered. Federal action.
' which the change occurred. Enter the date of the last previously submitted report by this reporting entity
3. Identify the appropriate classification of this report. if this is a followup report caused by a material change to the information previous y
reported, enter the year and quarte
for this covered' Federal action. appropriate
Enter the full name, address, city, state and zip code df the reporting entity. Include Congr
essional District, if known. Check the
4,
rime is the 1st tier, Subawards include but are not limited tp subcontracts, subgrants and contract awards under
classification of the reporting entity that designates if it is, or expects to be, a prime or'subaward recipient. Identify the tier of the su ewer nd
e.g., the first subawardee of the p
grants.
5
If the organization filing the report m item f checks °subawardee ", than enter the full name, address, city, state and zip code of the prime Federal
recipient, Include Congressional District, i
6. Enter the name.of the Federal agency making
s othe award or loan
States Coast Guard. etude at least one orgariizztional level below agency name, if
known.' For example, Department•of Trap p
Enter the Federal program name or description for the covered Federal action (item 1). If known, toter the full Catalog of Federal Domestic
7. Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments.
Request for Proposal (RFP)
S. ' grant announcement number, the contract gent, or loan award number, the appllcation/proposai
Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 e.g:, q
number; invitation for Bid (IFB) number, gra IRFP- DE-g0- 001."
control number assigned by the Federal agency), include prefixes, . 9 ,'
q For a covered Federal action wherein ere as been an in item 4 or 5. rmmtment by the Federal agency, enter the Federal amount of the
award/loan commitment for the prime entity the to orting entity identified in item 4 to
Enter the full name, address, city; s
10. (a) tate and Zip code of the lobbying entity engaged by P
influence the covered Federal action. Enter Last
(b) Enter the foil names e aodt the Individual(i) idual() ) rforming services, and Include full address !f different from i0 {a).
Name, First Nam ,
tanned Check all boxes that apply. If this is a
11. Eater the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity em
10 }. ' Indicate whether the payfnent has been made (actual) or will be made (p )•
material change report , enter the cumulative amount of payment made or planned to be made.
12. Check the appropriate boxes }. Check all boxes that apply: It payment Is made through an in kind contribution, specify the nature
and value of the in -kind payment.
Check all boxes that apply. If other, specify nature..
13. Check the appropriate box(es).
14, Provide a specific and detailed description code all preparatory services
andtretlated activity, not Just time e(s), r actual
em 1econtact rf 9 Federal
that hwere
date(s) of any services rendered, in
officials, Identify the Federal officials) or employees) contacted or the officor(s), employ ( ,
contacted.
15. Check whether or riot a SF -LLL -A Continuation Sheets) is attached.
1 g, The certifying official shall sign and date the form, print hislher name, title, and telephone number. time for reviewing Instructions,
hering and maintaining the data needed, oalnformiation, incuding suggestionis to
educing thislburdenno the
rF reporting burden for this collection of Information is estimated to average 30 minutes per response, Inc u ng hing exisling data souceslat ents regarding the burden estimate or any other aspect of this of Management and Budget, Paperwork Reduction ProJect.(0348- 0046), Washington, Q.C. 20503.
DISCLOSURE OF LOBBYING ACTIVI I ICJ Approved by OMB
Complete this form to disclose lobbying activities pursuant to 31 U.S.C.1362 0348 -0046
3. * Report Type:
* Type of Federal Action: 2. *Status of Federal Action: ® a, initial filing
a, bid /offeriappiicatlon ❑ b, material change
Ft. contract
® b. Initial award
® b. grant
C. cooperative agreement
c. post -award
d. loan
Ela. loan guarantee
F1f, loaninsuronce
4. Name and Address of Reporting Entity:
®Prime El SubAwardee
'Name City of Santa Ana ,
street 2
•streetl 20 Civic Center Plaza ZIP
Slate
'
city. Santa Ana
---
Congressional Dtsinct, If known:.
6. If Reporting Entity in No,4 IS SUbawardee, Enter Name and Address of Prime:
7. * Federal Program NamelDescription:
6. * Federal �OfL.bor mentlAge ney: Grants
N -113 Job Training
U.S. Departme
—�
CFDA Number, If appHceblo; v • 2a�_
9. Award Amount, if known:
B. Federal Action Number, if known:
10. a. Name and Address of lobbying Registrant:
Middle Name
Prefix, [:= 'FirstNama Not Applicable
Suffix
• Last Name Not Applicable
�—.-- Street 2 •
Street f Zip
Sfafe
City
b. Individual Performing Services (including address it different from No. IOa) Middle Name
prefix • First Name Not Applicable
Suffix
'Last Name Not Applicable
Street 2
Street 1 - —} zip
State 1
city
11. Information requested through This form is authorized by title 31 U.S.C. section 1352. This disclosure of lobbying activities is a material representation of fact upon e reported ss semi - annually and will be available for public Inspection. Any person who falls to file the required disclosure shalt be subject to a civil penally of not less than
Information
was pieced by the tier above when the transaction was made or entered Into. This disclosure is required pursuant to 31 U.S.C. 1352. This Information will be reports o
the Congre
$Iopoo and not more than $100,000 for each such fat
• Signature: Carlos de la Riv We Name
Prefix First Name Linda
'Name: suffix
Title:
•Last Name Tolephon
Oberman
Date: 06/02/2011
e No �
k ° T7ki Authorized ror t oral Reproduction
F6rm•LLL(ftev.7.97)
' Authorized for Local Reproduction
Standard��
i-.cirur. nF LOBBYIN CA1�1 TIFIS
Approved by OMB 0348 -0046
all "d_11IC,
PART IV
SPECIAL CLAUSES AND CONDITIONS
SPEC .
Should there be any inconsistency between these Clauses /Conditions.
and the Awardee's proposal, these Clauses /Conditions shall gover n.
20A -101.
PART IV - SPECIAL CLAUSES
Clause #1:- .BUDGET LINE ITEM FLEXIBILITY
Flexibility is allowed within the grant budget (except wages, salaries and fringe benefits, and indirect
cost rates), provided no single line item is increased or decreased by more. than 20%. Changes in excess
of 20% and any changes in wages, salaries and fringe benefits, and indirect cost rates MUST receive prior
written approval from the Grant Officer.
Any changes in mix or match. within the wages and salaries line do not require a grant modification.
However, your assigned DOL Federal Project Officer (FPO) must review these changes prior to implementing
these changes. Failure to obtain such prior written approval may result in cost disallowance.
Clause #2: - INDIRECT COST RATE AND COST ALLOCATION PLAN.
This clause is applicable to all awardees receiving funds from multiple sources. Organizations receiving
funds from only one source do not need an approved indirect cost rate (ICR) or cost allocation plan (CAP).
Mark the appropriate. clause for your organization and fill in the blanks, as appropriate:-
_ A. A current approved CAP or ICR agreement dated has been provided
and approved by '
(Federal Cognizant agency - Copy Attached).
Regarding only the ICR agreement,
a) Indirect Rate approved � . %
nal /Predetermined /Fixed) See attached ICR
b) Type.of Indirect Cost Rate (Provisio
aareement
c) Allocation Base See attached ICR agreement
d) Current period applicable to rate See attached I CR agreement
X B. No CAP or ICR agreement has been approved by a Federal Agency.
Note:
Regarding "B ", a pro rata share of the indirect costs specified on the 424A, Section B, Object
Class Category, "j ",.has been approved for the first 90 days of the grant period. This is based
on the fact that your organization has not established an ICR agreement or approved CAP.
Within this 90 -day period, ou must submit an acceptable indirect cost proposal or CAP to your
Federal cognizant agency to obtain a provisional indirect rate or a CAP approval.. Failure on
your part to submit an indirect cost proposal within this 90 day period means that you
shall not receive further reimbursement for your indirect costs.
If DOL is your Federal cognizant agency, proposals shall be sent to the appropriate office in the
DOL's Division of Cost-Determination, (see detailed list attached).
i Armildina nrenonderance of Federal funds to the organizati20 A-1 02
Ceiling Indirect Amounts (applicable to A or B above):
An Indirect Cost ceiling in the amount of $---1-49,612 _, as specified on the 424A, Section B, Object Class
Category, "j ", has been applied under this agreement based on the grantee's budget or written documentation
received.
The total amount of DOL's financial obligation under this award will not be increased to reimburse awardee
organizations for higher negotiated indirect cost rates than those rates or amounts identified in this clause.
Note:
A ceiling amount does not exclude your organization- from the responsibility of submitting an indirect- cost rate
for approval.
Division of Cost Determination
List of Addresses and Telephone Numbers
As of March 2010
National Off ice _address and contact information: ..200 Constitution Avenub, N.W., S -1510
Washington, D.C. 20210
(P) 202- 603 -4100
(F) 202- 693 -4099
-Chief : Victor M. Lopez'
E -mail address: lonez.victor ,dol.gov
(P) 202. 6934106
Cost Location/
Negotiators E -mail Address R• egion
1 Damon • •tomchick.damon(a7dol.gov D:C.
Tomchick
I2 Casey • carros.casimer(a)do, l.goy D.C.
Carron
I3 Margie merced.margie(a,dol.gov D.C.
Merced
Address
Same as National
Office
Same as National
Office
Phone/FAX
(P)202- 693 -4105
(F) 202- 693 -4099
(P)202- 693-4107
(F) 202- 693 -4099
Same as National (P) 202 - 693 -4104 '
Office (F) 202 - 693 -4099
4 Stephen. cosminski.stephen(@dol.kov Philadelphia 125 Oak Drive (P) 215- 257 -8712
Cosminski Sellersville, PA 18960 (F) 215 - 257 -8994
5 Ronald goolsby.ronald a,dol.goy Chicago 230 South Dearborn (P) 312 - 886 -5247
Goolsby St. Room 1016 . (F) 312 -353 -0704 .
Chicago; IL 60604-
1505
6 Carol mckone.carol(a)dol,gov Dallas P.O. Box 821067 (P) 817- 281 -1503
McKone . Tt. Worth, TX 761'82 (1*) 817- 281 -1530
7 Arthur campbell.arthur[7a,dol.gov Seattle P.O. Box 3433 (P) 425 -271 -3848
Campbell Renton, WA 98056 (F) 425- 271 -5295
* Cost Negotiators are generally' responsible for organizations located in their regions, as follows:
Washington D.C. staff— Washington D.C. metro area and Atlanta region (Alabama, Florida, Georgia, Kentucky,
Mississippi, North Carolina, South Carolina, and Tennessee).
Philadelphia region: Connecticut, Maine, Massachusetts, New Hampshire, Vermont, Rhode Island, New York, New
Jersey, Pennsylvania, Puerto Rico, Delaware, Maryland, Virginia, West Virginia, Virgin Islands.
Chicago region: Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Missouri, North Dalrota, South Dakota,
Nebraska, Ohio, and Wisconsin.
Dallas;region: Arkansas, Louisiana, Kentucky, Oklahoma, Texas, Colorado, Nevada, Arizona, Wyoming, and New
Mexico.
Seattle region: Alaska, Idaho, Oregon, Washington, Montana, Utah, California, & Hawaii.
41l_d_[ly
THiS GRANT IS SUBJECT TO:
2 CFR Part 170
Appendix A to Part 170 —Award Term
I. Reporting Subawards and Executive Compensatlon.
a. Reporting offirst -tier subawards.
• ded In paragraph d, of this award term, you must report each action that obligates $25,000 or more In Federal funds [hat
1. Applicability. Unless you are exempt as provi
does not Include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,, Pub. L. 111 -5) for a subaward to an entity (see
definitions In paragraph e. of this award term).
2. Where and when to report.'
1. You must report each obligating action described In paragraph a.1: of this award tern to )attwhich- w.fsrs.aov.
11. For subaward information, report nC later than the end of the month following the month In which the obUgatlon was made:,(For example, if the obligation was made on
November 7, 2010, the obligation must be reported by no later than'December 31, 2010.)
3. What to report. You must report the Information about.each obligating action that the submission Instructions posted at http:l /www fsrs.00v specify.
b. Reporting Total'Compensation of Recipteht Executives.
i• Applicability and what to report. Yolr must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if
i. the total Federal funding authorized!to date under this award
Is $25,000 or more;
11, in the preceding If scat year, you received —
(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency
Act, as defined at 2 CFR 170.320 (and subawards); and
(B) $25,000,000 or more In annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency
Act, ;as defined at 2 CFR 170.320 (and subawards);.and,
III. The public does not have access to Information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code A of 1986. 9o%atermin /If the publhtm.) access to the compensation
Information, see the U.S. Securfiy and Exchange Commission total compensation filings at
2. Where and when to report. You must report executive total compensation described In paragraph M. of this award term ,,.
1. As part of your registration profile at h io•f /www.cor.gov. '
ii. By the end of the month following the month In which this award is made, and annually thereafter.
c: Reporting of Total Compensation of Subreclplent Executives.
1. Applicability and what to report. Unies§ you are exempt as provided in paragraph d: of this award term, for each first -tier subreciplent under this award, you shell report
If—
the names and total compensation of each of the subreclplent's five most highly compensated executives for the subrecipient's preceding completed fiscal year, ii-
i. in the stjbreciplent's preceding fiscal year, the subreciplenf received- -
(A) 86percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Trahsparency
Act, as defined at 2 CFR 170.320 (and subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency
Act (and subawards); end
il, The public doe's not have access to information about the compensation of the executives through periodic reports fled under section access or he c m the Securities
Exchange Act of 1934 (15 U.S,C. 78m(a), 78o(d)) or section 6104'of the Internal Revenue Code of 1988. (To determine if the public has access to the compensation
Information, see the U.S.'Security and Exchange Commission total compensation filings at htto'IAvw /answers /execomo.htm.)
sec gov
2. Where and when to-report, You must report subreciplent executive total compensation described in paragraph c.1. of this award term:
1. To the recipient.
or example, if a subaward is obligated on-
any
By the end bf the mon6 following the month during which you make the subaward. Fny dale during the month of October of a
Information of the subrecipient 6y November 30 of that year.
given year (i.e., between October 1 and 31), you must report any required compensation
d. Exemptions
If,-)n the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report:
I. Subawards, and
it. The total compensation of the five most highly compensated executives of any subreciplent.'
e. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 CFR part 25:
I. A Governmental organization, which is a State, local government, or Indian tribe;
t1, A foreign public entity;
Ili. A domestic or foreign nonprofit organization;
Iv. A domestic or foreign for - profit organization;
v. A Federal agency, but only as a subreciplent under an award or subaward to a non - Federal entity.
2. Executive means officers, managing partners, or any other employees In management positions.
3. Subaward:
1. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that
you as the recipient award to an eligible subreciplent.
It. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, sea Sec. -- .210 of the
attachment to OMO Circular A-
133, "Audits of States,. Local Governments, and Non - Profit Organizations ").
Ill. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract.
4. Subrecipient means an entity that.
I. Receives a subaward from you (the recipient) under this award; and
ii. is accountable to you for the use of the Federal funds provided by the subaward.
5. Total compensation means the cash and noncash dollar value earned by the executive during the reciplent's or subreciplent's preceding fiscal year and Includes the.
following (for more Information see 17 CFR 229.402(cx2)):
[,.Salary and bonus. ur oses with res act to the fiscal year
11. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recogniz9d for financial statement reporting p p P
In accordance with the Statement of Financial Accounting Standards No. 123 (ReVlsed.2004) (FAS 123R), Shared Based Payments.
III. Earnings for services under non- equliy Incentive plans. This does not Include group life, health, hospitalization or medical reimbursement plans that do not discriminate in
favor of executives, and are available generally to all salaried employees.
I
Above-market in.pe sion value. deferred compensation which is not taxequalitlednefit and actuarial pension plans.
A; Other compensation, If the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the
ardblovee. oeroulsltes or property) for the executive exceeds $10,000.
20A -105
iv. Safeguarding Data Including Personally Identifiable Information
Applicant's submitting proposals-in response to this SGA must recognize that confidentiality of sensitive data is of .
paramount importance to the Department of Labor and must be observed except where disclosure is allowed by the prior
written approval of the Grant Officer or by court order. By submitting a proposal, Grantees are assuring that all data
exchanges conducted through or during the - course of performance of this grant will be conducted in a manner consistent
with applicable Federal law. All such activity conducted by ETA and /or Grantee /s will be,performed in, a manner consistent
with applicable state and Federal laws.
By submitting a grant proposal, the applicant agrees to take all necessary steps to protect such confidentiality by
complying with the following provisions that are applicable in governing their handling of confidential information:
1. Grantees shall not extract information'from data supplied by DOUETA for any purpose not stated in the SGA.
2. Grantees shall retain data received from DOUETA only for the period of
time required to utilize it for assessment and other purposes, or to satisfy applicable federal records retention
requirements, if any. Thereafter, the Grantee agrees that all data will be destroyed, including the degaussing of
magnetic tape files and permanent deletion of electronic data.
3. Grantees shall ensure that any information used during the performance of this Grant has been obtained and is
being transmitted In conformity with applicable Federal and state laws governing the confidentiality of information.
Information - transmitted to DOUETA containing sensitive information including personally identifiable information
(1311) must be encrypted using National. Institute of Standards and Technology (NIST) Federal Information
Processing Standards (FIPS) 140 -2 validated-products. The encrypted information must'be encrypted in a form
that would allow the receiver of the information to decrypt the information without installing additional software or
tools.
4. Access to any information created by DOUETA shall be restricted to only those employees of the Grant recipient
who need it in their official capacity to perform duties in connection with the Scope of Work outlined in this SGA.
5. Grantee employees and other personnel who will have access to sensitive /confidential /proprietary /private data
shall be advised of the confidential nature of the information, the safeguards required to protect the information,
and the civil and criminal sanctions for noncompliance with such safeguards that are contained in Federal and
state laws.
6. Prior to being able to have access to confidential data, Grantee employees and other personnel shall execute a
standard document acknowledging their understanding of the confidential nature of the data and the safeguards
with which they must comply in their handling of such data as well as the fact that they may be liable to civil and
criminal sanctions for improper disclosure.
7. Grantees further acknowledge that all data obtained through DOUETA shall be stored in an area that is physically
safe from access by unauthorized persons at all times and the data will be processed using grantee issued
equipment, managed information, technology (IT) services, and designated locations approved by DOUETA.
Accessing, processing, and storing of DOUETA data on personally owned equipment, at off -site locations e.g.
employee's home, and non - Grantee managed IT services e.g, yahoo mail, is strictly prohibited unless approved
by DOUETA.
8. All data shall be processed in a manner that will protect the confidentiality of the records /documents and is
designed to prevent unauthorized persons from retrieving such records by computer, remote terminal or any other
means. Data may be downloaded to, or maintained on, mobile or portable devices only if the data are encrypted
using NIST FIPS 140 -2 validated products. In addition, wage data may only be accessed.from secure locations.
9. Data obtained by the Grantee through a request shall not be disclosed to third
partie's except as permitted by the Grant Officer.
10. Grantees shall permit ETA to make onsite inspections during regular business hours
for the purpose of conducting audits and /or to conduct other investigations to assure that the Grantee is
complying with the confidentiality requirements described abbve. In accordance with this responsibility, Grantees
shall make records applicable to this Agreement available to authorized persons for the purpose of inspection,
review, and /or audit.
11. Grantees shall take the steps necessary to ensure the privacy of all PH obtained
from participants and /or other individuals and to protect such information from disclosure to unauthorized
individuals. Grantees shall maintain such PII in accordance with the DOL /ETA standards for information security
provided herein, including any updates to such standards provided to the Grantee by DOUETA. Grantees shall
report immediately to the DOL ETA Information Security Officer (ISO) any suspected or confirmed breaches or
compromise of PH obtained from participants and /or other individuals,
4111_dI1I1
PART 1V - SPECIAL CONDITIONS
1 Federal Proiect Officer_: The DOL /ETA Federal Project Officer (FPO) for this
grant/agreement is:
Jeffrey Chism
U.S. Department of Labor /ETA
George W.�Bush Federal Building
.907 th Stre6t, Suite 17 -300
San Francisco, CA 94103
(415)625 -7956
Email: chism.ieffrey()dol.gov
The FPO is not authorized to change any of the terms or conditions of the grantlagreement.
Such changes, if any, will be accomplished by the Grant Officer by the use of a properly
executed grant/agreement modification.
2. Equipment: Award ees must receive prior approval from the DOUETA Grant Officer.for
the purchase and /or lease of any equipment with a per unit acquisition cost of $5,000 or
more, and a useful life of more than one year. This includes the purchases of ADP
equipment. The grant award does not give approval for equipment even if it 'is specified in a
grantee's statement of work unless specifically approved in the grant award execution letter
by the Grant Officer. if not, the awardee must submit a detailed description list to the FPO
for review within 30 days ofthe grant/agreement award date. Failure to do so will
necessitate the need for approval of equipment purchase on an individual basis.
3. Program Income: The awardee is authorized to utilize the addition method if any
Program Income is generated throughout the duration of this grant/ agreement. The
awardee is allowed to deduct costs incidental to generating Program Income to arrive at -a
net Program Income [29 CFR Part 95.24(c)]; or [29 CFR Part 97.25(c)(g)(2)],
4. Pre - Award: The awardee hereby agrees that all costs incurred by the awardee prior to the
start date specified in the grant agreement issued by the Department are incurred at the
awardee's own expense.
5. Reports: All ETA grantees are required to submit quarterly financial and narrative progress
reports for each grant award.
A. Quarterly Financial Reports. Pursuant to Training and Employment Notice (TEN) 12-
07, all ETA grantees are required -to report quarterly financial data on the ETA 9130, no
later than 45-days after the end of each reporting quarter. Reporting quarter end dates
are June 30, September 30, December 31, and March 31.
1. The previously used Standard Form 269 is no longer-accepted by ETA. The ETA
on -line reporting system has been modified to accommodate the ETA 9130
required data elements which includes a new Federal cash section.
Expenditures are required to be reported on an accrual basis, cumulative from
the beginning of the life of a grant, through the end of each reporting period.
20A -107
2. The instructions for accessing both the on -line financial reporting system and the
HHS Payment Management System can be found in the transmittal memo
accompanying this grant award document. Copies of the ETA 9130 and detailed
reporting instructions are available at www.doleta.gov /grants.
B. Quarterly Narrative Progress Reports. Grantees are required to submit a brief
narrative:quarterly and final report to the designated Federal Project Officer (FPO) on
grant activities funded under this agreement. All reports become due no later than 45
days after the end of each reporting quarter. Reporting quarter end dates are June 30,
September 30, December 31, and March 31.
The last quarterly progress report that grantees submit will serve as the grant's
Final Performance Report. This report should provide both quarterly and
cumulative information on the grant's activities. It must summarize project
activities, employment outcomes and other deliverables, and related results of
the project.
2. The awardee shall use any standard forms and instructions to report -on training
and employment outcomes and other data relating to the progress reports.as
provided by ETA.
3. The'awardee shall utilize standard reporting processes and electronic reporting
systems to submit their quarterly progress reports as provided by ETA.
6. Consults: Consultant fees paid under this grant/agreement shall be limited to $585 per
day without additional DOL Grant Officer approval.
7. Rebates: The awardee agrees to advise the Grant Officer, in writing, of any forth6omin_p
income resulting from lease /rental rebates or other rebates, interest, credits or any other
monies or financial benefits to be received directly or indirectly as a result of or generated by
these award dollars. Appropriate action must be taken to ensure that the Government is
reimbursed proportionally from such income.
8. Publicity: No funds provided under this grant shall be used for publicity or propaganda
purposes, for the preparation, distribution or use of any kit, pamphlet, booklet,, publication,
radio, television or film presentation designed to support or defeat legislation pending before
the Congress; except in presentation to the Congress itself. Nor shall grant funds be used
to pay the salary or expenses of any grant or agreement awardee or agent acting for such
awardee, related to any activity designed to influence legislation or appropriations pending
before the Congress.
9. Public Announcements: When issuing statements, press releases, requests for
proposals, bid solicitation, and other documents describing project or programs funded in
whole or in part with Federal money, all awardees receiving Federal funds, shall clearly
state. (1) the percentage of the total cost of the program or project which- will be financed
with Federal money, and (2) the dollar amount of Federal funds for the project or program.
41 1id_[11967
10. Executive Order 12928: In compliance with Executive order 12928, the Grantee is
strongly encouraged to provide subcontracting/ subgranting opportunities to Historically
Black Colleges and Universities and other Minority Institutions such as Hispanic Serving
Institutions and Tribal Colleges and Universities; and to Small Businesses Owned and
Controlled by Socially and Economically Disadvahtaged Individuals,
11. Procurement: Except as specifically provided, DOL/ETA acceptance of a proposal and
an award of federal funds to sponsor any program(s) does not provide a waiver of any grant
requirements and /or procedures. For example, the OMB circulars require an entity's
procurement procedures must require that all procurement transactions shall be
conducted, as practical, to provide open and free competition. If a proposal identifies a
specific entity:to provide the services, the DOL /ETA's award does not provide the
justification or; basis to sole- source the procurement, i.e., avoid competition.
12. Veteran's Priority Provisions: The Jobs for Veterans Act (Public Law 107 -288) requires
grantees to provide priority of service to veterans and spouses of certain veterans for the
receipt.of employment, training, and placement services in any job training program directly
funded, in whole or in part, by DOL. The regulations implementing this priority of service
can be found at 20 CF,R part.1010. In circumstances where a grant recipient must-choose,
between two qualified candidates for a service, one of whom is'a veteran or eligible spouse,
the veterans priority of service provisions require that the grant recipient give the veteran or
eligible spouse. priority of service by first providing him or her that service. To.obtain priority
of service, a veteran or spouse must meet the program's eligibility requirements. Grantees
must comply with DOL guidance on veterans' priority. ETA's Training and Employment
Guidance Letter (TEGL) No. 10 -09 (issued November 10, 2009) provides guidance on
implementing priority of service for veterans and eligible spouses in all qualified job training
programs funded in whole or in part by DOL.- TEGL No. 10 -09 is available at
http://wdr.dol'eta.gov/directives/corr doc.cfm ?DOCN =2816.
13. Audits: The awardee agrees to comply with the required financial and compliance audits in
accordance with the Single Audit Act. of 1984.
14: Salary and Bonus Limitations: Under Public Law 109 -234 and Public Law 111 -8,
Section 111, none of the funds appropriated in Public Law 111 -5 or prior Acts-under the
heading "Employment and Training" that are available for expenditure on or after June 15,
2006, shall be used by a recipient or sub - recipient of such funds to pay the salary and
bonuses of an individual, either as.direct costs or indirect costs, at a rate in excess of
Executive Level II. These limitations also apply to grants funded under this SGA. The salary
and bonus limitation does not apply to vendors providing goods and services -as defined in
OMB Circular A -133. See Training and Employment Guidance Letter number 5 -06 for
further clarification: hftp://wdr.doleta.gov/directives/corr 'doc.cfm ?DOCN =2262.
15. Intellectual Property.Rights. The Federal.G.overnment reserves a paid -up, nonexclusive
and irrevocable license to *reproduce, publish or otherwise use, and to authorize others to
use for federal purposes: i) the copyright in all products developed under the grant,
including a subgrant or contract under the grant or subgrant; and ii) any rights of copyright to
which the grantee, subgrantee or a contractor purchases ownership under an award
(including but not limited to curricula, aipiJ�g odes, technical assistance products, and any
related materials). Such uses include, but are not limited to, the right to modify and
distribute such products worldwide by any means, electronically or otherwise. Federal funds
may not be used to pay any royalty or licensing fee associated with such copyrighted
material, although they may be' used to pay costs for obtaining a copy which are limited to
the developerlseller costs of copying and shipping. If revenues are generated through
selling products developed with grant funds, including intellectual-property, these revenues
are program income. Program income is added to the grant and must be expended for
allowable grant activities.
If applicable, the following needs to be on all products developed in whole or in part with
grant funds:
"This workforce solution was funded by a grant awarded by the U.S. Department of Labor's
Employment 8nd Training Administration. The solution was created by the grantee and
does not necessarily reflect the official position of the U.S. Department of Labor. The
Department of Labor makes no guarantees, warranties, or assurances of any kind, express
or implied, with respect to such information, including any.information on linked sites and
including, but not limited to, accuracy of the information or its completeness, timeliness,
usefulness, adequacy, continued availability, or ownership. This solution is copyrighted by
the institution that created. it. Internal use, by an organization and /or personal use by an
individual for non - commercial purposes, is permissible. All other uses require the prior
authorization of the copyright owner."
16. Evaluation, Data, and Implementation: The grantee agrees to cooperate with the U.S.
Department of Labor ( USDOL) in the conduct of a third -party evaluation, including providing
to USDOL or its authorized contractor appropriate data and access.to program operating
personnel and participants.in a. timely manner.
17. ACORN Prohibition: Section 511 of the Consolidated. Appropriations Act, 2010 (P.L..111-
117, Division E) ( "CAA "), requires that no direct or indirect funding from the Consolidated
Appropriations Act may be provided to the Association of Community Organizations for
Reform Now ( "ACORN ") or any of its subsidiaries through Federal grantees or contractors.
DOL is required to take steps so that no Federal funds from. the Consolidated Appropriations
Act, 2010, are awarded or obligated by DOL grantees or contractors to ACORN or its
subsidiaries es- subgrantees,' subcontractors, or other subrecipients. This-prohibition applies
not only to a direct recipient of Federal funds, but also to a subrecipient (e.g., a
subcontractor, subgrantee, or contractor of a grantee).
In the near future, ETA will issue.Training and Employment Guidance Letter ( "TEGL ".)
number 8 -09 change 1, to provide detailed guidance concerning this prohibition: The TEGL
will be on .ETA's website at http: / /wdr.doleta.gov /directives. If you have any additional
questions, please contact your Grant Officer.
18. Additional Provisions: In performing its responsibilities under this grant agreement, the
awardee hereby certifies and assures that it will fully comply with the following Provisions of
the Workforce Investment Act (WIA) codified at:
■ 20 CFR 667.200, Administrative Rules, Costs and Limitations
■ 20 CFR 667.260, Prohibition on Real Property
■ 20 CFR 667.300, Reporting Requirements
■ 20 CFR 667.410, Oversight Roles and Responsibilities
20 CFR 667.500 & 667.510, Resolution
20A -110
r 20 CFR 667.700, Procedure to Impose Sanctions
im 29 CFR Part 37, Implementation of the Nondiscrimination and Equal Opportunity
Provisions•of the Workforce Investment Act of 1998 (WIA)
Signing this award. agreement, or the expenditure of grant funds, certifies that your organization
has read and will comply with all parts of this grant agreement.
20A -111
20A -112
20A -113
Contract No.
AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT
THIS AGREEMENT, made and entered into this 6th day of February, 2012, by and
between the City of Santa Ana, a charter city and municipal corporation duly organized and existing
under the Constitution and laws of the State of California ( "CITY ") and
( "CONTRACTOR ").
W- I- T- N- E- S- S -E -T -H
Recitals:
A. CITY has been designated a Local Workforce Investment Area (LWIA) under
the Workforce Investment Act of 1998, Public Law 105 -220 ( "the Act ").
B. The State of California has created the LWIA to administer the Act programs
operated by the State of California pursuant to the Act.
C. As a LWIA, CITY is entitled to receive federal funds to establish programs to
increase training opportunities for unemployed individuals. One goal of California's Workforce
Investment System is to provide the opportunities to find retain, or advance their employment.
D. CONTRACTOR is experienced in operating education, occupational
development and employment programs for economically disadvantaged youths for entry into the labor
market ( "said program ").
E. CONTRACTOR is willing to operate said program pursuant to the Act and
California law.
WHEREFORE, for and in consideration of the respective and mutual covenants and
promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties
hereto do hereby agree as follows:
I.
CONTRACTOR'S OBLIGATIONS
A. CONTRACTOR agrees to provide the following services pursuant to said
program, as more specifically set forth in CONTRACTOR'S program narrative contained in "Exhibit
A ", attached hereto and by this reference incorporated herein:
CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust
the level of payment to CONTRACTOR otherwise provided for hereinafter.
THIS AGREEMENT SERVES AS A SPECIMEN FOR ALL EXHIBIT 2
AGREEMENTS REFERENCED IN THE ACTION TO BE 20A-1 14
PREPARED AND EXECUTED. Page 1 of 15
B. CONTRACTOR agrees to provide benefits to individuals who participate in the
activities and services funded by this Agreement ( "participants ") in accordance with the standards and
requirements set forth in Workforce Investment Act of 1998, Public Law 105 -220.
C. CONTRACTOR agrees to perform the services set forth herein in a professional,
timely and diligent manner.
D. RESERVED
E. CONTRACTOR shall adhere to the Labor Standards described in the Act
including Section 181 of the Act.
F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures under
the WIA ", attached hereto as "Exhibit B" and incorporated herein as though fully set forth in 20 CFR
§667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under
the Act and the procedures for resolution of any complaints. CITY's procedures for handling
complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall
be followed and any decision of CITY, the State or the federal government relating to the complaint
shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate
a grievance system that incorporates CITY's procedures for resolution of complaints relating to the
terms and conditions of employment; these procedures shall be approved in writing by CITY.
G. As a condition of this award of financial assistance under the Act to
CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or
activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry
out such programs or activities, that it will comply fully with the nondiscrimination and equal
opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity
provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the
requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of
the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended;
the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and
with all applicable requirements imposed by or pursuant to regulations implementing those laws,
including, but not limited to, 29 CFR Part 33 and 37. The United States, the State of California and
CITY have the right to seek judicial enforcement of this assurance.
H. CONTRACTOR agrees that no participant(s) shall commence training prior to the
approval of funding pursuant to Section 123 of the Act.
I. CONTRACTOR agrees to maintain such records and submit such reports, data and
information, on the form and containing such information, at such times as CITY may request or
require regarding the performance of CONTRACTOR'S services or activities, costs or other data,
including but not limited to, participants' attendance, payroll records and job duty statements.
CITY, the State of California and the United States government and /or their
representatives shall have access for purposes of monitoring, auditing and examining of
CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR
subcontractors, bookkeepers and accountants and em loyees and participants related to this
2'OA -1 T5
Page 2 of 15
Agreement. Such agencies or representatives shall also schedule on -site monitoring in their discretion.
Monitoring activities may also include, but are not limited to, questioning employees and participants
and entering any premises or onto any site in which any of the services or activities funded hereunder
are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be
construed to require access to any privileged or confidential information as set forth in federal or state
law.
In the event CONTRACTOR does not make the above - referenced documents available
within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable
expenses incurred by CITY in conducting any audit at the location where said records and books of
account are maintained.
All accounting records and evidence pertaining to all costs of CONTRACTOR and all
documents related to this Agreement shall be kept available at the location where CONTRACTOR
conducted the program, as well as in the County of Orange, for the duration of this Agreement and
thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints,
claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b)
costs and expenses of this Agreement to which CITY, the State of California or the United States
Government take exception, shall be retained beyond the three (3) years until resolution of disposition
of such appeals, litigation, claims, or exceptions.
J. Without prejudice to any other section of this Agreement, CONTRACTOR
shall, where applicable, maintain the confidential nature of information provided to it concerning
participants in accordance with the requirements of federal and state law. Notwithstanding the
foregoing, CONTRACTOR agrees to submit to CITY, the State of California and /or the United States
Government or their representatives, all records requested for administrative purposes, including
audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs
incurred and services rendered hereunder.
K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice/Voucher on
CITY's Invoice /Voucher form, showing in detail the amount of money already expended by
CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be
supported by such source documentation such as cancelled checks, paid bills, payrolls, time and
attendance records, contract and subgrant award documents [29 CFR— Subpart C, Section 97.20 (b)(6)].
CONTRACTOR agrees to submit the above - stated documents to the WIB Administrative Office, 1000
East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month
following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail
to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving
CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY
excess revenues over costs or use such excess revenues as program income by utilizing such program
income for additional training activities authorized under the Act.
L. CONTRACTOR agrees to expend all funds in accordance with all applicable
federal, state and local laws and regulations. CONTRACTOR also agrees to provide at
CONTRACTOR'S own expense supplies and other costs of said PROGRAM.
M. CONTRACTOR shall arrange independently for an audit that includes WIA
funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A-
20A -116
Page 3 of 15
133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days
after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these
requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend
additional grant funds.
N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide
services to any participant where costs of training are paid for by any other person or entity.
O. CONTRACTOR shall comply with the provisions of Circular A -102 of the U.S.
Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local Government ",
Subpart C, paragraphs 37 and 42, Circular A -128, and all other applicable federal statutes and
executive orders and their implementing regulations, including regulations at 29 CFR Part 97.
P. CONTRACTOR shall comply with the requirements of federal regulations
found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a
federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting
to influence an officer or employee of any agency, member of Congress or an officer or employee of a
member of Congress in connection with awarding of any federal contract, the making of any federal
grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or
modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign
a certification to that effect in a form as set forth in "Exhibit C," attached hereto and by this reference
incorporated herein. CONTRACTOR shall submit said signed certification to CITY prior to
performing any of its obligations under this Agreement and prior to any obligation arising on the part
of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement.
Q. CONTRACTOR agrees to provide a drug -free work place and to execute a
certification as set forth in "Exhibit D" attached hereto and incorporated herein by this reference.
R. CONTRACTOR, in accordance with the Child Support Compliance Act,
recognizes and acknowledges the importance of child and family support obligations and shall fully
comply with all state and federal laws relating to child and family support enforcement, including, but
not limited to: disclosure of information and compliance with earnings assignment orders, as provided
in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to
the best of its knowledge is fully complying with the earnings assignment orders of all employees and
is providing the names of all new employees to the New Employee Registry maintained by the
California Employment Development Department (EDD).
S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and
the federal regulations, including but not limited to the regulations found at 20 CFR part 629.
T. CONTRACTOR agrees to provide priority of services for veterans and eligible
spouses pursuant to 20 CFR part 1010 and the regulations implementing priority of service for veterans
and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act
published at 73 Fed.Reg. 78132 on December 19, 2008.
20A -117
Page 4 of 15
II.
CITY'S OBLIGATIONS
A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds
are received under the provisions of the Act a sum not to exceed ($ ) for
CONTRACTOR'S performance in accordance with the payment schedule attached hereto as "Exhibit
E" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted
by CONTRACTOR as provided hereinabove.
B. CITY agrees to provide for on -site monitoring reviews of said program
operation at least twice annually. In addition, monthly desk -top reviews of pertinent information will
be conducted.
C. CITY has the right to de- obligate the funds hereunder and take such funding
back from CONTRACTOR due to any of the following reasons: (a) lack of performance by
CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available
funding.
III.
TIME PERIOD OF AGREEMENT
This Agreement shall commence on January 16, 2012, and all duties arising under this
Agreement shall have been performed by . The term of this Agreement may be extended
by a writing executed by the Deputy City Manager for Development Services and the City Attorney.
IV.
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.
V.
WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS
A. CONTRACTOR shall use appropriate funds received from CITY to provide
workers' compensation to all those hired by CONTRACTOR under this Agreement.
B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees
or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard
does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any
20A -118
Page 5 of 15
other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer.
VI.
APPLICABLE GUIDELINES
A. The parties hereto agree that CONTRACTOR shall comply with all applicable
federal and state laws and regulations, including, but not limited to the Performance Standards
(Exhibit A) and general program requirements described in Sections 106 and 141 of the Act (29 USC
Sections 1516 and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and
regulations, including amendments or revisions made during the terms of this Agreement. Said
applicable laws are hereby incorporated by reference and made as part of this Agreement as though
fully set forth herein.
B. CONTRACTOR also assures and certifies that:
1. CONTRACTOR shall comply with Title VII of the Civil Rights Act of
1964 (P.L. 83 -354) and in accordance with Title VII of the Act, no person shall, on the grounds of race,
color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the
benefits of, or be otherwise subjected to discrimination under this Agreement.
2. CONTRACTOR shall comply with any and all federal laws limiting the
political activity of employees hired under this Agreement.
3. CONTRACTOR shall comply with the requirements that no program
under the Act shall involve political activities.
4. RECORD INSPECTION. CONTRACTOR shall provide the U.S.
Department of Labor and the Controller General, by and through any authorized representative, as well
as the WIB Administrative Office, access to and the right to examine all records, books, papers or
documents relating to the accounting and use of funds under this Agreement for a three -year period
from and after the effective date of this Agreement.
5. No person with responsibilities in the operation of any program under the
Act shall discriminate with respect to any program participant or any application for participation in
such program because of race, creed, color, national origin, sex, political affiliation or beliefs.
6. CONTRACTOR shall maintain appropriate standards for health and
safety in work and training situations.
7. CONTRACTOR shall comply with general provisions, assurances, and
certifications attached hereto as "Exhibit V and incorporated herein.
8. EQUAL OPPORTUNITY. Any literature distributed by
CONTRACTOR for the purpose of apprising businesses, participants, or the general public of its
programs under this Agreement shall state that its programs are supported by the City of Santa Ana and
the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity
employer /program" and that "auxiliary aids and services are available upon request to individuals with
disabilities."
20A -119
Page 6 of 15
9. Based on the population eligible to be served, or likely to be directly
affected by the WIA program or activity, the services or information may need to be provided in a
language other than English in order to allow such population to be effectively informed about or able
to participate in the program or activity. Pursuant to 29 CFR 37.35, the Contractor must take
reasonable steps to provide services and information in appropriate languages after considering the
scope of the program or activity, and the size and concentration of the population that needs services or
information in a language other than English.
10. CONTRACTOR certifies that all property, finished or unfinished
documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of
in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the
CONTRACTOR by the CITY and /or purchased by the CONTRACTOR with funds pursuant to this
Agreement, will be limited to use within the activities outlined in this agreement and will remain the
property of the United States Government and /or CITY. Upon termination of this Agreement,
CONTRACTOR will immediately return such tools and /or equipment to the CITY or dispose of them
in accordance with the direction of the CITY.
11. CONTRACTOR certifies that this Agreement does not provide for the
advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to
support or sustain any school, college, university, hospital or other institution controlled by any
religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the
Constitution of the State of California, regarding separation of church and state.
12. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The
CONTRACTOR will disclose to the CITY any invention, written product, computer program
developed or data assembled as a result of performance of work under this Agreement within seventy
four (74) days of invention, development or assembly. The CITY, State of California, and U.S.
Department of Labor will have the right to patent any invention and copyright any written product or
computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will
transfer all pertinent information, specifications and right, title and interest to the designated agency.
13. INVENTIONS, PATENTS AND COPYRIGHTS.
A. Reporting Procedure. If any project produces patentable items, patent rights,
processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or
agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall
report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY
and the DOL and its representative on these matters, the DOL shall determine whether to seek
protection on the invention or discovery. The DOL and its representative shall determine how the
rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated
and administered in order to protect the public interest consistent with the "Governmental Patent
Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23,
1971, and Statement of Government Patent Policy as printed in 36 FR 16889).
B. Copyright Policy.
41l_d_M
Page 7 of 15
1. Unless otherwise provided in the terms of the grant or agreement, when copyright -
able material is developed in the course of or under a DOL Grant or agreement, the author and the
CITY which developed the work, is free to copyright material or to permit others to do so. The
CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty -free, nonexclusive
and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted
material.
2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to
reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes:
(a) The copyright in any work developed under any grant, sub -grant, or contract under a grant or
subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases
ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29
CFR Part 97.34.
C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data
first procured or delivered under this Agreement.
14. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds
$100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)];
Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental
Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be hereafter
amended. Under these laws and regulations, the CONTRACTOR assures that:
(a) No facility to be utilized in the performance of the proposed grant has been listed
on the EPA List of Violating Facilities;
(b) It will notify CITY prior to award of the receipt of any communication from the
Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be
utilized for the grant is under consideration to be listed on the EPA List of
Violating Facilities;
(c) It will notify the CITY and the EPA about any known violation of the above laws
and regulations.
C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT:
1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in
order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This
Agreement will be administered in an impartial manner, free from errors to gain personal, financial
political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will
avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias,
special interest or desire for personal gain.
2. Employment of Former State or CITY Employees. CONTRACTOR will ensure that any of
its employees who were formerly employed by the State of California or CITY, in a position that could
have enabled such individuals to impact policy regarding or implementation of programs covered by
this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this
Agreement for a period of not less than two years following the termination of such employment.
3. Conducting Business Involving Relatives No relative by blood, adoption or
20A-1 21 Page 8 of 15
marriage of any executive or employee of CONTRACTOR will receive favorable treatment when
considered for enrollment in programs provided by, or employment with, CONTRACTOR.
4. Conductinia Business Involvina Close personal Friends and Associates.
Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of
influence that can be exerted by personal friends and associates and, in administering this Agreement,
will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is
being granted to friends and associates. When it is in the public interest for CONTRACTOR to
conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected
official in the area or a voting or non - voting member of the Workforce Investment Board (WIB), a
permanent record of the transaction will be retained.
5. Avoidance of Conflict of Economic Interest. No executive or employee of
CONTRACTOR elected official in the area, or voting or non - voting member of a WIB, will solicit or
accept money or any other consideration from a third person, for the performance of an act reimbursed
in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased
with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No
voting member of the WIB will cast a vote on the provision of services or vote on any matter which
would provide direct financial benefit to that member or any business or organization which the
member directly represents.
6. Salary and Bonus Limitations. All Subrecipients of WIA program funds are required to
comply with federal requirements regarding the limitations on salary and bonus payments in
accordance with Public Law 109 -149, Section 7013.
VII.
HOLD HARMLESS
A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents
and employees, from and against any and all damages to property or injuries to or death of any person
or persons, including property and employees or agents of CITY, and shall defend, indemnify and save
harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or
proceedings of any kind or nature, including, but not by way of limitation, workers' compensation
claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its
employees or subcontractors.
B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents
and employees, from and against any and all damages to property or injuries to or death of any person
or persons, including property and employees or agents of CITY, and shall defend, indemnify and save
harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits,
actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of
CONTRACTOR, its employees or subcontractors.
C. Both parties to this Agreement shall agree to defend, indemnify, and hold
harmless the other party, its officers, agents, employees, and volunteers, from and against all loss, cost,
and expense arising out of any liability or claim of liability, sustained or claimed to have been
sustained, arising out of activities, or the performance or nonperformance of obligations under this
Agreement, of the indemnifying party, or those of any of its officers, agents, employees, or volunteers.
The provisions of this Article do not apply to any damage or losses caused solely by the negligence of
20A-122 Page 9 of 15
the non - indemnifying parry or any of its agents or employees.
VIII.
INSURANCE
1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force
during the term of this Agreement a policy of comprehensive commercial public liability insurance
insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or
death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not
less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in
any single accident or occurrence. Said policy of comprehensive public liability insurance shall be
endorsed to provide to CITY and to the State of California, Employment Development Department, at
least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees,
and volunteers, and the State of California, its officers, employees, and volunteers as additional
insured; and state that such coverage is primary to any other coverage or self - insurance of the State of
California and CITY. Governmental entities may substitute a certificate of self - insurance.
2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain,
during the effective period of this Agreement, broad form automobile liability coverage with a
$1,000,000 limit unless reduced by CITY, which applies to both owned /leased and non -owned
automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or,
in the event that CITY will not utilize such owned /leased automobiles but intends to require
employees, participants or other agents to utilize their own automobiles in the performance of this
Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants, or
agents as self - certification of automobile insurance coverage. Governmental entities may substitute a
certificate of self - insurance.
3. Workers' Compensation. If CONTRACTOR is an "employer ", as set forth in
California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in
California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the
term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by
participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of
cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those
participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to
California Labor Code Section 3350, et seq.
4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of
insurance covering loss or damage to any and all Equipment provided to or purchased by
CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full
replacement value thereof, providing protection against the classification of fire, extended coverage,
vandalism, malicious mischief, theft, and special extended perils. Governmental entities may
substitute a certificate of self - insurance.
5. Proof of Insurance. Certificates and endorsements must be submitted and approved by
CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no
payments under this Agreement until the required certificates and endorsements have been approved by
CITY.
20A -123 Page 10 of 15
IX.
CORPORATE STATUS
All corporate CONTRACTORS shall be in good standing, without suspension by the
California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in
corporate status or suspension shall be reported immediately to CITY.
X.
ASSIGNABILITY
None of the duties of, or work to be performed by, CONTRACTOR under this Agreement
shall be subcontracted or assigned to any agency, consultant, or person without the prior written
consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to
this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of
CONTRACTOR pursuant to this Agreement.
XI.
LAWS GOVERNING THIS AGREEMENT
In its performance under this Agreement, CONTRACTOR shall fully comply with the
requirements of the following, whether or not otherwise referred to in this Agreement:
1. The Act and all applicable federal statutes, regulations, policies, procedures and directives,
including but not limited to, 20 C.F.R. Parts 652 and 660 through 671.
2. All applicable State statutes, regulations, policies, procedures and directives;
3. All applicable CITY policies, procedures and directives;
4. All applicable local ordinances and requirements, including use permits and licensing;
5. Court orders applicable to its operation; and,
6. The terms and conditions of this Agreement.
If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with
such or will notify CITY after enactment or modification that it cannot so comply. CITY may
thereupon terminate this Agreement, if necessary.
XII.
EXCLUSIVITY AND AMENDMENT OF AGREEMENT
This Agreement supersedes any and all other agreements, either oral or in writing,
between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains
all the covenants and agreements between the parties with respect to such employment. 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
20" -124 Page 11 of 15
embodied herein, and that no other agreement or amendment hereto shall be effective unless executed
in writing and signed by both CITY and CONTRACTOR.
XIII.
FRAUD
CONTRACTOR shall immediately report to CITY all instances and facts concerning
possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this
Agreement.
XIV.
CONTINGENCY OF FUNDS
CONTRACTOR acknowledges that approval of and funding for this Agreement is
contingent upon State approval, and funds received or obligated from the State of California to CITY.
If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify
CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or
cease operations as directed by CITY and negotiate necessary modification to this Agreement and /or
reimbursement of costs incurred hereunder.
XV.
TERMINATION
A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30)
days written notice to the other party. Notice shall be deemed served on the date of mailing. However,
CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant.
B. In the event CONTRACTOR defaults by failing to fulfill all or any of its obligations
hereunder, CITY may declare a default and termination of this Agreement by written notice to
CONTRACTOR, which default and termination shall be effective on a date stated in the notice which is
to be not less than ten (10) days after certified mailing or personal service of such notice, unless such
default is cured before the effective date of termination stated in such notice. If terminated for cause,
CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the
termination thereof, including the payment of money, except for payment for approved expenses incurred
for services satisfactorily and timely performed prior to the mailing or service of the notice of termination,
and except for reimbursement of (1) any payments made for services not subsequently performed in a
timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance.
XVI.
DISPUTES
Except as otherwise provided in this Agreement, any dispute concerning any question
arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision
to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City
shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of
such copy, CITY receives from CONTRACTOR written request to appeal said decision.
Procedures governing the appeal shall be prescribed by CITY and /or the State of
California in accordance with the Act and all corresponding regulations and OMB circulars. Pending
20A-1 2 5 Page 12 of 15
final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless
the dispute involves a change order.
XVII.
BREACH - SANCTIONS
If, through any cause, CONTRACTOR violates any of the terms and conditions of this
Agreement, and /or prior agreements whereby grant funds were received by CONTRACTOR pursuant
to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes
disallowances, CONTRACTOR shall promptly remedy its acts or omissions and /or repay CITY all
amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations,
CITY shall also have the right at its sole discretion to either: (1) discontinue program support until
such time as CONTRACTOR fulfills its obligations or remedies all violations of this agreement or
prior agreements; and /or (2) collect outstanding amounts as determined by CITY due CITY by
offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice
CONTRACTOR has failed to repay same or a repayment schedule has not been made; and/or (3)
terminate this Agreement by giving written notice to CONTRACTOR of such termination in
accordance the notice provision in Paragraph XVIII herein below.
XVIII.
NOTICES
All notices, reports and correspondence between the parties hereto respecting this
Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as
follows:
and,
CITY: City of Santa Ana
Manager, WIB Administrative Office
P.O. Box 1988 (M -73)
Santa Ana, CA 92702
CLERK: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M -30)
P.O. Box 1988
Santa Ana, CA 92702 -1988
Telefacsimile (714) 647 -6956
CONTRACTOR:
XIX.
MERGER
This Agreement, together with the attachments hereto, expresses the total understanding
of the parties. There are no oral understandings of the parties or terms and conditions other than as
stated herein.
20" -126 Page 13 of 15
XX.
VALIDITY
The invalidity in whole or in part of any provision of this Agreement shall not void or
affect the validity of any other provision of this Agreement.
XXI.
MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the power,
authority and right to bind their respective parties to each of the terms of this Agreement, and shall
indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY
in the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in
the body of this Agreement.
20A -127 Page 14 of 15
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above - written.
ATTEST:
Maria D. Huizar
Cleric of the Council
APPROVED AS TO FORM:
Joseph W. Fletcher
City Attorney
go
Lisa E. Storck
Assistant City Attorney
CITY OF SANTA ANA, a municipal
corporation of the State of California
"CITY"
am
Paul Walters
Interim City Manager
"CONTRACTOR"
By:
Contractor Name
Contractor Title
Fiscal Service
Tax ID #:
alb.
Page 15 of 15
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE:
AGREEMENTS AND APPROPRIATION
ADJUSMENT FOR CARNIVALS AT CITY
OWNED PARKS
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
Authorize the City Manager and Clerk of the Council to execute the attached agreement
with Fiesta de Carnival in the amount of $22,500 for a one -year term, subject to non -
substantive changes approved by the City Manager and City Attorney.
2. Authorize the City Manager and Clerk of the Council to execute the attached agreement
with "O" Entertainment in the amount of $15,250 for a one -year term, subject to non -
substantive changes approved by the City Manager and City Attorney.
3. Authorize the City Manager and Clerk of the Council to execute the attached agreement
with Robert Acosta & Associates in the amount of $13,500 for a one -year term, subject to
non - substantive changes approved by the City Manager and City Attorney.
4. Approve an appropriation adjustment recognizing projected carnival revenue in the
amount of $51,250 in the Recreation Special Fees and Donations revenue account (no.
02213002 57010) and appropriate funds to the Recreation Special Fees and Donations
expenditure account (no. 02213200 62300).
DISCUSSION
A Request for Proposal for providing nine carnivals on City -owned parks was issued and mailed
to 24 vendors. A pre - proposal conference was conducted on December 21, 2011, and four
vendors submitted proposals for consideration. Robert Acosta & Associates, Shamrock Shows,
Fiesta de Carnival and "O" Entertainment each submitted proposals for review. A five member
evaluation committee consisting of representatives from Library, Police, Community
Development, and Parks, Recreation and Community Services rated the four proposals. The
committee rated each proposal based on the operator's ability to successfully conduct carnivals
using the following evaluation criteria:
Carnival Agreements and AA
41UN
Carnival Agreements and AA
February 6, 2012
Page 2
• Equipment capability and functionality (20 %)
• Level of service and support (20 %)
• Experience of firm and personnel (20 %)
• Past performance (40 %)
"O" Entertainment was rated highest, scoring 470 out of a maximum 500 points. Fiesta de Carnival
scored 463 followed by Robert Acosta & Associates, which scored 419 points and Shamrock
Shows, which scored 318 points. Fiesta de Carnival submitted for eight carnivals while Robert
Acosta & Associates submitted for all nine carnivals. "O" Entertainment only submitted for two
carnivals. Based on the results of the evaluation, the evaluation committee recommended the
following 2012 Carnival Schedule:
41 =
Park Site
Promoter
License Fee
1
Jerome Park
"O" Entertainment
8,250
March 9 -11
Fri -Sun
2
Cesar Chavez
Fiesta De Carnival
4,500
April 6 -8
Fri -Sun
3
Madison
Fiesta De Carnival
8,750
May 25 -28
Fri -Mon
4
Rosita Park
Robert Acosta & Associates
4,500
June 8 -10
Fri -Sun
5
El Salvador
Fiesta De Carnival
2,250
June 15 -17
Fri -Mon
6
Jerome Park
"0" Entertainment
7,000
August 10 -12
Fri -Sun
7
Madison Park
Fiesta De Carnival
7,000
August 31 —September 3
Fri -Mon
8
Cesar Chavez
Robert Acosta & Associates
4,500
October 12 -14
Fri -Sun
9
Delhi
Robert Acosta & Associates
4,500
October 19 -21
Fri -Sun
Total
51,250
41 =
Carnival Agreements and AA
February 6, 2012
Page 3
Traditionally, carnivals conducted at Jerome and Madison parks draw larger crowds and are more
profitable. Conversely, carnivals conducted at Delhi, Cesar Chavez/Campesino, Rosita and El
Salvador parks draw smaller crowds and generate less revenue. Therefore, the license fee for the
large carnivals conducted at Jerome and Madison parks is higher.
The Parks, Recreation and Community Services Agency strives to provide safe, clean, low cost
carnival events for our community. The total projected annual revenue for these agreements is
$51,250 per year and will be used to fund deferred maintenance needs throughout our park
system.
FISCAL IMPACT
The appropriation adjustment will recognize projected carnival revenue in the amount of $51,250 in
the Recreation Special Fees and Donations revenue account (no. 02213002 57010) and
appropriate funds to the Recreation Special Fees and Donations expenditure account (no.
02213200 62300).
Gerardo Mouet,
Executive Direct�r
Parks, Recreation and
Community Services Agency
APPROVED AS TO FUNDS AND ACCOUNT:
Francisco Gutierrez,
Executive Director
Finance and Management Services Agency
all :151
qIUMA
NON - EXCLUSIVE AGREEMENT TO PROVIDE CARNIVALS AT CITY PARKS
THIS AGREEMENT, made and entered into this 6"' day of February, 2011 by Fiesta De
Carnival, a California corporation (hereinafter "Promoter "), 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
On December 7, 2011, the City issued Request for Proposals, No. 11 -068 - PRCSA, seeking carnival
Promoters to provide carnivals at specified City owned parks.
Promoter submitted a proposal to provide carnival services.
Promoter represents that Promoter is able and willing to provide carnival services to the City as specified in
the Request for Proposals No. 11 -068 -PRCSA and any addendums thereto.
In undertaking the performance of this Agreement, Promoter represents that it is knowledgeable in its field
and that any services performed by Promoter under this Agreement will be performed in compliance with
such standards as may reasonably be expected from a professional carnival Promoter in the field.
NOW THEREFORE, in consideration of the mutual and respective promises set forth herein, and
subject to the terms and conditions hereinafter set forth, the parties agree as follows:
1. PREMISES AND USE
(A) The City of Santa Ana owns the following community parks ( "Parks ") within its boundaries:
Cesar Chavez / Campesino Park, located at 3311 W. 5t' St, Santa Ana; Madison Park, located at 1528 S.
Standard, Santa Ana; and El Salvador Park, located at 1825 W. Civic Center Dr. West, Santa Ana. City
hereby grants to the Promoter a non - exclusive, revocable user agreement to encroach upon the specific
areas of the above stated Parks ( "Carnival Areas ") delineated in the renderings of the Parks attached
hereto and collectively referenced as Exhibit "A ", for the purpose of providing carnivals and for no other
purpose. Promoter shall provide one (1) carnival ( "Carnival Event ") at each location during the term of
this Agreement on dates approved by the Executive Director of Parks, Recreation and Community
Services Agency, as set forth in Section 3 hereof.
(B) The right and permission of Promoter is subordinate to the prior and paramount right of the
City to use the City owned Parks described herein above in its entirety for public purposes to which it
presently is and may, at the option of the City, be devoted. Promoter agrees to use the Carnival Areas at
all times in such manner as will not unreasonably interfere with the full use and enjoyment of the Parks
by the City, its residents and guests.
(C) Promoter hereby acknowledges that title to the Parks is vested in the City and agrees never
to assail or challenge the same, and further agrees that Promoter's use and occupancy of the Carnival
Area within the Parks shall be limited solely to the permission for such use and occupancy granted herein.
(D) As a covenant to this Agreement, Promoter agrees to adhere to and comply with all of the
terms, conditions and responsibilities enumerated in the Request for Proposals, RFP 11 -068 - PRCSA,
issue date December 7, 2011 , and Addendum No. 1 thereto (hereinafter, collectively "RFP ") attached
hereto as Exhibit `B" and incorporated herein by reference. Any failure to adhere to and comply with the
Zoe -s
terms, conditions and responsibilities enumerated in the RFP shall be deemed a breach of this Agreement
and of the RFP.
(E) The parties hereto agree that if, at the sole discretion of the City, a Carnival Event should not
proceed on the dates set forth in Section 3 hereof due to foul or inclement weather, the City at its
discretion may grant Promoter alternative dates for the conducting of the Carnival Events within the term
of this Agreement. If Promoter desires to obtain alternative dates as provided in this paragraph, Promoter
must timely request the same from City.
2. SCOPE OF SERVICES
Promoter shall provide at each of the Parks identified a full service carnival complete with the
rides, equipment and services as set forth in the RFP (Exhibit B) to this Agreement. Provider, if it
contracts with an Operator to provide carnival attractions, shall require such Operator to fully comply
with all the terms and conditions of this Agreement regarding the provision of carnival services, including
insurance requirements. Not later than sixty (60) days prior to the staging of any carnival event, Promoter
shall obtain the written approval of the Executive Director of Parks, Recreation and Community Services,
of any such Operator. Promoter shall not utilize a different operator without first obtaining the written
permission of the Executive Director.
3. FEES/DEPOSITS/PERMITS/LICENSES
At least 10 days prior to the commencement date of each Carnival as set forth below, Promoter
shall pay to City the applicable fee for use of the Carnival Area as further set forth below.
Promoter agrees to pay the City and City agrees to accept from Promoter the following fees per
Carnival Event.
Park/ Carnival Dates
Fee
Max Event Size
Cesar Chaves /Cam esino Aril 6 -8
$4,500.00
14 Carnival Rides
Madison Park May 25 -28
$8,750.00
12 Carnival Rides
El Salvador Park June 15 -17
$2,250.00
15 Carnival Rides
Madison Park August 31 — Sept 3
$7,000.00
12 Carnival Rides
$22,500.00
*Note: Each carnival may host 12 Game Booths and 20 food / information booths. One booth is
equal to one 10x10 canopy area. A maximum ten 10 x 10 cooking booths will be allowed (or five 10 x
20). The remainder can be non - profit, commercial or sponsorship booths. Please include in your plot plan
what goods and services each of these booths will offer and the dimension of each booth. The City must
approve all goods and services sold at commercial booths. Massage booths are not allowed
In addition to the fees set forth herein, Promoter shall pay all required City fees and deposits
including the fees for police services and Park clean up, and obtain all required permits and licenses as
detailed in the RFP, Exhibit B hereto. All fees and deposits shall be due and payable as set forth in the
RFP. Additionally, failure to pay the cleanup /damage deposit and/ or any other outstanding balances and
fees a minimum of ten (10) business days prior to the start of the event will result in a penalty of $500 per
day. The vendor will not be allowed to start an event if there is an unpaid balance. Vendor is subject to
other monetary penalties for failure to perform as set forth throughout the RFP.
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4. SECURITY DEPOSIT
Contemporaneously with the execution of this Agreement, Promoter shall deposit with City the
additional sum of $5,000.00 as a security deposit. The deposit shall be held by City, without liability for
interest, as security for the faithful performance by Promoter of all the terms, covenants, and conditions of
this Agreement to be kept and performed by Promoter during the Term of this Agreement, or any
extension thereof, and including the removal of Promoter's facilities as set forth herein. Assuming
successful completion of all terms and conditions of this Agreement, including those within the RFP, the
security deposit, or any remaining portion thereof, and any unused fees shall be returned within 60 days
of the final carnival activity provided for in the RFP.
5. TERM
This Agreement shall commence on the date first written above and terminate on December 31,
2012 unless terminated earlier in accordance with this Agreement. The term of this Agreement may be
extended for an additional l year term at the City's sole discretion through a writing executed by the
Executive Director of the Parks Recreations and Community Services Agency and the City Attorney.
6. NON - POSSESSORY INTEREST
City retains full possession of the Park and Carnival Area and Promoter will not acquire any
interest temporary, permanent, irrevocable, possessory or otherwise by reason of this Agreement, or by
the exercise of the permission given herein. Promoter will make no claim to any such interest. Any
violation of this provision will immediately void and terminate this Agreement.
7. NON RECORDING
Neither party shall record this Agreement
'7la `4IIDi hEMM[a 1m"
A. Promoter shall establish and maintain separate accounting records for each Carnival
Event at the specified Parks. Promoter's accounting system shall conform to generally- accepted
accounting principles and all records shall provide a breakdown of total costs and revenues associated
with the Park Carnival Events.
B. All Promoter's records of revenues and repairs pertaining to the Carnival Events
referenced herein shall be kept for the duration of this Agreement and made available at all times for audit
by City upon request
9. INDEPENDENT CONTRACTOR
Promoter 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 Promoter performs the services which are the
subject matter of this Agreement; however, the services to be provided by Promoter shall be provided in a
manner consistent with all applicable standards and regulations governing such services. Promoter 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.
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10. INSURANCE
Prior to undertaking performance of any work relative to a Carnival Event under this Agreement,
Promoter shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as
described below:
a. Commercial General Liability Insurance. Promoter and each of its operators and
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 the operations or
performance of this Agreement by Promoter, its operators or subcontractors, including, without
limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single
limit coverage applying to bodily and personal injury, including death resulting therefrom, and property
damage, in the total amount of $5,000,000 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.
A. Business automobile liability insurance, or equivalent form, with a combined
single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned,
hired and non -owned automobiles.
B. Worker's Compensation Insurance. In accordance with the provisions of Section
3300 of the Labor Code, Promoter, if Promoter 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, Promoter agrees to obtain and maintain any employer's liability
insurance with limits not less than $1,000,000 per accident.
C. The following requirements apply to the insurance to be provided by Promoter
pursuant to this section:
i. Promoter 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; and shall state as follows:
"The above detailed coverage is not subject to any deductible or
self - insured retention, or any other form of similar type limitation. "
iv. A complete and signed certificate of insurance with all endorsements required by
this Section shall be filed with City prior to the execution of this Agreement. At
least thirty (30) days prior to the expiration of any such policy, a signed and
complete certification of insurance showing that coverage has been renewed,
shall be filed with the City.
V. If the certificate of insurance is in the name of the carnival Promoter it shall
include the name of the carnival promoter as additionally insured.
E. If Promoter 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.
Promoter agrees to indemnify the City for any work performed prior to approval of insurance by the City.
11. INDEMNIFICATION
Promoter agrees to and shall protect, defend, indemnify and save and hold harmless the City, its
officers, agents, employees, special counsel, and representatives from liability, loss, damage, expense or
cost: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising
out of claims for personal injury, including death, and claims for property damage, which may arise from
the direct or indirect operations of the Promoter or its operators, contractors, subcontractors, agents,
employees, or other persons acting on their behalf which relates to the services described in Sections 1, 2
and 3 of this Agreement; and (2) from any claim that personal injury, damages, just compensation,
restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this
Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just
compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason
of the events referred to in this Agreement or by reason of the terms of, or effects, arising from this
Agreement. The Promoter further agrees to defend, indemnify, hold harmless, and pay all costs for the
defense of the City, including fees and costs for special counsel to be selected by the City, regarding any
action by a third party challenging the validity of this Agreement, or asserting that personal injury,
damages, just compensation, restitution, judicial or equitable relief due to personal or property rights
arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable
decisions with respect to its representation in any legal proceeding.
Promoter shall protect, defend, indemnify and save and hold harmless the City, its officers, officials,
employees, and agents from and against any and all liability, loss, damage, expenses, costs (including
without limitation costs and fees of litigation of any nature) arising out of or in connection with
Promoter's performance of this Agreement or any failure to comply with any of Promoter's obligations
contained in this Agreement by Promoter, its officers, agents, employees or contractors.
12. TRASH/UTILITIES /CLEANUP
Promoter is responsible for the collection and disposal of all trash as specified in the RFP (Exhibit
B) including the providing of the required 40 yard roll -off dumpsters. Promoter is responsible for the
continuous cleaning of the City Park, including the restrooms, at all times while acting pursuant to this
Agreement as set forth in the RFP. The area to be cleaned includes the parking lots and the surrounding
neighborhood and streets. Further, with the exception of the City supplying two (2) potable water
hookups as set forth in the RFP, Promoter is responsible for supplying all utilities to be used during the
Carnival Events, including supplying the required portable toilets as specified in the RFP. Persons
performing clean -up shall be employees or subcontractors of the vendor.
13. HAZARDOUS MATERIALS
Promoter represents and warrants that its use of the Carnival Area herein will not generate any
hazardous substance, and Promoter will not store or dispose on the Park and /or Carnival Area nor
transport to or over the Park and /or Carnival Area any hazardous substance. Promoter further agrees to
clean -up and remediate any hazardous substance on the Park and /or Carnival Area and Property, and hold
City harmless from and indemnify City against any release of any such hazardous substance and any
damage, loss, or expense or liability resulting from such release including all attorneys' fees, costs and
penalties incurred as a result thereof except any release caused by the negligence of City, its employees or
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agents. "Hazardous substance" shall be interpreted broadly to mean any substance or material defined or
designated as hazardous or toxic waste, hazardous or toxic material, hazardous or toxic or radioactive
substance, or other similar term by any federal, state or local environmental law, regulation or rule
presently in effect or promulgated in the future, as such laws, regulations or rules may be amended from
time to time; and it shall be interpreted to include, but not be limited to, any substance which after release
into the environment will or may reasonably be anticipated to cause sickness, death or disease.
14. WASTE OR NUISANCE
Promoter shall not commit or permit the commission by others of any waste on the Park or
Carnival Areas. Promoter shall not maintain, commit, or permit the maintenance or commission of any
nuisance as defined in Section 3479 and /or Section 3480 of the California Civil Code on the Park or
Carnival Areas; and Promoter shall not use or permit the use of the Park or Carnival Areas for any
unlawful purpose.
15. PUBLIC NECESSITY
City may immediately temporarily suspend operation of this Agreement and the Carnival Event
in the event of public necessity or emergency, as may be determined by the City Manager. Such
suspension will terminate when the public necessity or emergency no longer exists.
16. ON -SITE OFFICE
One (1) trailer -type vehicle will be allowed to park in the Carnival Area, in a location pre-
determined by the Park Superintendent, to be used exclusively as a business office by Promoter. This
vehicle must be equipped as an office and used only as such. Under no circumstances is this vehicle to be
used for sleeping accommodations while on Park premises. The office vehicle will be allowed on the
premises for the period provided for all other carnival equipment pursuant to the RFP.
Promoter shall be at the carnival site during the entire event, including set -up and take -down. If
Promoter is must be absent from the site, he shall ensure a supervisor, authorized to act on behalf of
Promoter, is present.
17. LIENS
Promoter will not permit any mechanics' or materialmens' or other liens to stand against the City
Park or Carnival Area by reason of any use or occupancy by Promoter, or any person claiming under
Promoter.
18. TERMINATION IN THE EVENT OF CASUALTY OR CONDEMNATION
In the event of any damage, destruction or condemnation of the Park and /or Carnival Area, which
renders the Park and / or Carnival Area unusable or inoperable in Promoter's judgment, Promoter shall
have the right, but not the obligation, to terminate the Agreement with respect to the subject Carnival
Area by giving written notice to the City within thirty (30) days after such damage, destruction or
condemnation. If by virtue of such damage, destruction or condemnation, City determines that the Park
and / or Carnival Area is no longer adequate for Promoter to continue its operations, or any repairs to the
Park and / or Carnival Area to remedy such damage, destruction or condemnation have not been
completed or cannot reasonably be completed outside of forty-five (45) days from the date of the up
coming scheduled carnival, City may terminate this Agreement upon thirty (30) days written notice to
Promoter.
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In the event of condemnation, unless Promoter is allowed by the condemning authority to
continue its operations in the Carnival Area, this Agreement shall terminate as of the date title to the
Property vests in the condemning authority or Promoter is required to cease its operations, whichever is
earlier. If any property described herein or hereinafter added hereto is taken in eminent domain, the entire
award shall be paid to City.
19. TERMINATION
This Agreement may be terminated by the City without cause upon thirty (30) days written notice
of termination. City may terminate this Agreement for cause upon three (3) days written notice for any
violation of the terms contained herein.
20. DEFAULT BY PROMOTER
Should Promoter default in the performance of any of the terms, conditions, or obligations
contained in this Agreement, City may, in addition to the remedies specified elsewhere in this Agreement
and the attached RFP, re -enter and regain possession of the Carnival Area in the manner provided by the
laws of unlawful detainer of the State of California then in effect.
21. INSOLVENCY OF PROMOTER
The insolvency of Promoter as evidenced by a receiver being appointed to take possession of all
or substantially all of the property of Promoter, or the making of a general assignment for the benefit of
creditors by Promoter, or the filing of a petition in bankruptcy shall terminate this Agreement and entitle
City to re -enter and regain possession of the Carnival Area.
22. CUMULATIVE REMEDIES
The remedies given to City in this Agreement shall not be exclusive, but shall be cumulative and
in addition to all remedies now and hereafter allowed by law or elsewhere provided in this Agreement.
23. WAIVER OF BREACH
The waiver by City of any breach by Promoter of any of the provisions of this Agreement shall
not constitute a continuing waiver or a waiver of any subsequent breach by Promoter either of the same or
another provision of this Agreement.
24. CONFLICT OF INTEREST CLAUSE
Promoter 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.
25. 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, addressed to the party concerned as follows:
To City: Clerk of the City Council
City of Santa Ana
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With courtesy copies to:
and
20 Civic Center Plaza (M -30)
P.O. Box 1988
Santa Ana, CA 92702 -1988
Fax 714 - 647 -6956
Executive Director of Parks, Recreation and Community Services
City of Santa Ana
20 Civic Center Plaza (M -23)
P.O. Box 1988
Santa Ana, California 92702
City Attorney
City of Santa Ana
20 Civic Center Plaza (M -29)
P.O. Box 1988
Santa Ana, California 92702
Fax 714 - 647 -6515
To Promoter: Fiesta de Carnival
Attn: Ted Holcomb
11278 Los Alamitos Blvd. #101
Los Alamitos, CA 90720
Telephone (562) 799 -7737
Fax 562- 799 -1443
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. For
purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be
excluded.
26. CONTRACT ADMINISTRATOR
The Executive Director of Parks Recreation and Community Services Agency, or his /her
designee, shall be City's Contract Administrator for this Agreement and all approval and notices required
to be given herein shall be so directed and addressed.
27. COMPLIANCE WITH LAWS
Promoter shall obtain and maintain a permit issued by the Division of Industrial Safety of the
Department of Industrial Relations of the State of California. In addition, Promoter shall, at Promoter's
own cost and expense, comply with all statutes, ordinances, regulations, and requirements of all
governmental entities, including federal and state, county and municipal, relating to Promoter's use and
occupancy of the Park and Carnival Area and Promoter's facilities whether such statute, ordinances,
regulations, and requirements be now in force or hereinafter enacted. The judgment of any court of
competent jurisdiction, or the admission by Promoter in a proceeding brought against Promoter by any
government entity, that Promoter has violated any such statute, ordinance, regulation, or requirement shall
be conclusive as between City and Promoter and shall be considered grounds for termination of this
Agreement by City. Promoter will obtain all permits and other governmental approvals, required in
connection with Promoter's activities hereunder, and update such permits /approvals as necessary.
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28. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Promoter,
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, including the RFP, 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 Promoter. 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 parties, which are not embodied herein.
29. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Promoter, Promoter
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 Promoters retained by City.
30. NON - DISCRIMINATION
Promoter 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.
Promoter affirms that it is an equal opportunity employer and shall comply with all applicable federal,
state and local laws and regulations.
31. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity,
interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined
and governed by the laws of the State of California. Both parties further agree that Orange County,
California, shall be the venue for any action or proceeding that may be brought or arise out of, in
connection with or by reason of this Agreement.
32. ATTORNEY'S FEES
Except as otherwise provided in this Agreement, in the event suit is brought by either party to
enforce the terms and provisions of this Agreement or to secure the performance hereof, each party shall
bear its own attorney's fees.
33. PROFESSIONAL LICENSES
Promoter 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. Promoter 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.
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20B -13
34. BINDING ON HEIRS AND SUCCESSORS
This Agreement shall be binding on and shall inure to the benefit of the heirs, executors,
administrators, successors, and assigns of the parties hereto. The provisions of this Section shall not be
deemed to be a waiver of any of the conditions against assignment set forth herein.
35. SURVIVAL
Terms and conditions of this Agreement, which by their sense and context survive the
termination, or expiration of this Agreement, shall so survive
36. MISCELLANEOUS PROVISIONS
A. Each undersigned represents and warrants that its signature hereinbelow has the power, authority
and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City
fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such
authority or power is not, in fact, held by the signatory or is withdrawn.
B. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the
body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year
first above written.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
JOSEPH STRAKA
Interim City Attorney
By:
Laura Sheedy
Assistant City Attorney
CITY OF SANTA ANA
PAUL M. WALTERS
Interim City Manager
FIESTA DE CARNIVAL
TED HOLCOMB
Owner
209 -14
EXHIBIT A
PARK LOCATION MAPS
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EXHIBIT B
A. PROMOTER'S RESPONSIBILITIES
REQUIRED CLEANUP /DAMAGE DEPOSIT - Upon selection, Promoter must provide a
$5,000 refundable damage /clean -up deposit to the City of Santa Ana, Parks, Recreation and
Community Services Agency a minimum of ten (10) business days before the start date of the
event. Monies will be deducted from the deposit for repair of any damages incurred, cleanup
of the park, unforeseen security or staff costs, or any other charges caused by the event. Any
remaining monies from the deposit will be refunded to Promoter at the conclusion of the
carnival season. Should costs incurred by the City (as stated above) be greater than the total
deposit, the Promoter will be invoiced for the balance due. The Promoter will be required to
submit the balance due 10 days prior to conducting another event. The deposit balance shall
remain at $5,000 during the term of the agreement.
Promoter agrees that failure to pay the cleanup /damage deposit and /or any other outstanding
balances and fees a minimum of ten (10) business days prior to the start of the event will
result in a penalty of $500 per day penalty. Promoter will not be allowed to start an event if
there is an unpaid balance due.
2. CLEANUP DURING AND AFTER THE EVENT — Promoter agrees that it has full
responsibility for continuously cleaning the park by removing all trash and debris on the
ground, removing trash from the park receptacles and replacing liners and cleaning /sanitizing
restrooms from the time the first Promoter employee arrives at the park site for set up until
the last Promoter employee leaves the park. Furthennore, Promoter agrees to be responsible
for cleanup of the event site and the surrounding areas after the event. Promoter agrees to
arrange for trash pick -up in the parking lots and surrounding neighborhood after each day at
Promoter's expense. Persons performing clean -up shall be employees or subcontractors of the
Promoter. Failure to provide continuous clean -up will result in dispatching City staff to
perform this work at Promoter's expense or the City hiring a private contractor to perform the
work at Promoter's expense plus a $500 penalty for each day Promoter fails to perform this
responsibility.
3. STREET SWEEPING —If street sweeping is necessary due to trash left from pedestrian and
vehicular traffic and Promoter fails to perform as required above, the City will arrange for the
parking lots and major streets surrounding the park to be swept on the day following the last
day of the event at Promoter's expense. Furthermore, Promoter agrees to pay a $500 penalty
for failure to perform this responsibility.
4. DUMPSTERS — Promoter is responsible for providing the appropriate number of 40 yard
roll -off dumpster(s) to collect trash for the event. The dumpster(s) must be removed by 3:00
p.m. of the second day following the conclusion of the event. Promoter agrees to pay a
penalty of $500 per day that the dumpsters are not provided and removed as indicated.
5. REQUIRED PLOT PLAN AND PLAN CHECK PROCESS — Promoter must provide a plot
plan utilizing the land use certificate format for the overall equipment set up by a minimum
of ten (10) business days before the event. The plot plan must include entrances, exits, all
necessary barricading, detailed location of all rides, booths, restrooms, electrical equipment,
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etc. Promoter shall indicate number and name of rides on the plot plan, and the name and
number of other types of carnival units such as repair and supply units they would like to
have on the park. This plot plan is required by the Police Department, the Fire Department,
the Planning and Building Agency (Electrical Division), the Parks, Recreation and
Community Services Agency, and the Orange County Health Department. Promoter must
walk the plot plan through the City Planning and Building Agency -Plan Check Section, 20
Civic Center Plaza, Ross Annex. For further information on the plan check process, please
contact the Santa Ana Police Department at (714) 245 -8718 or (714) 245 -2709. Copy of
approved plot plan must be provided to the Santa Ana Police Department and to the Parks,
Recreation and Community Services Agency. Promoter agrees to pay a $500 penalty per day
for each day late in providing the plot plan.
6. CARNIVAL LICENSE FEE— Promoter shall pay the required carnival license fees a
minimum 10 days prior to each event. Checks shall be made payable to "The City of Santa
Ana ".
7. FIRE AND ELECTRICAL INSPECTION — Ten (10) business days prior to the event,
Promoter shall schedule appointments with the Santa Ana Fire Department and the Santa Ana
Planning and Building Agency for an electrical inspection of all generators, carnival
equipment, and booths to be used at the carnival. Promoter agrees to pay a $500 penalty per
day for each day late in scheduling appointments as indicated. No more than ten (10) 10 x 10
cooking booths will be allowed (or five 10 x 20). Complete event rules and regulations will
be provided to Promoter at plan check and copies shall be provided to each booth operator by
Promoter. Promoter shall provide all event electricity. Hookups to park electrical outlets will
not be permitted. All vendors must be set -up and ready for inspection by 4:00 p.m. on the
first day of the carnival. Promoter agrees to pay a $500 penalty per day for each violation.
8. O.C. HEALTH DEPARTMENT REQUIREMENTS — Promoter must obtain food permits
and food booth inspections from the Orange County Health Department a minimum of ten
(10) business days before the event. Any booths or vendors not receiving prior approval from
the Orange County Health Department will not be allowed to operate. Food booths are only
allowed to operate for the duration of the event during event hours only. To obtain food
permits and schedule booth inspections, Promoter must contact the Orange County Health
Department at (714) 667 -3610. Promoter agrees to pay a $500 penalty per day for each day
late in securing food permits and food booth inspections. Furthermore, Promoter shall pay a
$500 penalty per day for each food booth discovered operating without prior approval of the
O.C. Health Department. Parks and Recreation will provide two (2) potable water hookups
during the entire event. These water hookups are to be used ONLY for sanitation purposes in
compliance with the Orange County Department of Health regulations, and are not for
camping or refreshment preparation use. Promoter shall pay a $500 penalty per day for each
violation.
9. REQUIRED PERMIT FROM BUSINESS LICENSE OFFICE FOR BOOTH VENDORS
(BUSINESSES AND /OR NON - PROFIT ORGANIZATIONS) — Promoter is responsible for
supplying the Business License Office with a list of pre- approved potential vendors before
sending vendors to the Business License Office, in order to avoid unapproved vendors from
vending during the event, or Promoter may collect all the necessary information and fees
from the vendors and submit the entire packet to the Business License Office a minimum of
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20B -17
five (5) days prior to the commencement of the event. Promoter shall pay a $500 penalty per
day for each day late in submitting /paying the packet to the Business License Office.
All vendors, business or non -profit organizations (selling or information only), which vend
on City Property are required to possess a City of Santa Ana Business License. Businesses
who do not have a current City of Santa Ana Business License can obtain a One -Day
Peddler /Solicitor license. Non - Profit Organizations are required to obtain a Fee - Exempt
status through the Business Tax Office. This is a once a year registration fee. For more
information the Business Tax Office can be contacted at (714) 647 -5447. The Business Tax
Office is located at 20 Civic Center Plaza, Rm. 1100, Santa Ana, CA 92702. Promoter agrees
to pay a $500 penalty per day for each booth operating without a City Business License.
10. CONTACT WITH NEIGHBORHOOD ORGANIZATIONS — Promoter shall send a letter to
the neighborhood associations adjacent to the park where the carnival is to be conducted
informing them of the event and to gain their organization's support for the planned activity
at the park during the scheduled times and dates, a minimum of ten (10) business days before
the event. The Community Development Agency will provide contact information to the
Promoter for a particular neighborhood upon request. Promoter shall submit copy of signed
letter, on the organization's letterhead, to the Santa Ana Police Department and to the Parks,
Recreation and Community Services Agency a minimum of ten (10) business days before the
event. The Community Development Agency can be contacted by calling (714) 647 -5360.
Promoter agrees to pay a $500 penalty for each violation of this section.
11. CONTACT WITH NEIGHBORHOOD RESIDENTS — At least 72 hours prior to each
carnival event, Promoter must post a sign or send flyers to the neighborhood surrounding the
park informing them that the event will take place. Signs or flyers must be in English and
Spanish. Promoter shall pay a $500 penalty for each violation of this section.
12. CONTACT WITH BUSINESS ORGANIZATIONS - Promoter must send a letter a
minimum of ten (10) business days before the event to each business owner within a quarter
mile radius of the carnival site, notifying them of the dates and times of the event, and what
precautions should be taken to prevent program participants from parking in the surrounding
business parking lots. Promoter shall pay a $500 penalty for each violation of this section.
13. REQUIRED EVENT PERSONNEL — A minimum number of uniformed, state licensed
security personnel contracted through a private bonded security company will be required
each day of the event. Promoter shall provide the designated amount of soft security as
specified by the Santa Ana Police Department prior to or on the date of the pre -event
meeting. The Santa Ana Police Department may modify the number of security required as it
sees fit, due to specifications in the scale and activities to be held at the event, and /or recent
activity in the park and surrounding areas. Security personnel must be present 30 minutes
prior to the beginning of the event each day and must stay a minimum of one (1) hour after
the completion of the event each day or until the park is clear, to help prevent any possible
disruptions. All security officers must carry two -way radio equipment to enable them to
communicate with all other security personnel. All security personnel must wear highly
visible attire (security vest, jacket) identifying them as security officers. None of the security
company personnel may be armed. A copy of the signed agreement with the security
company must be provided a minimum of ten (10) business days prior to the event. Promoter
shall pay a $500 penalty per day for each violation of this section. Furthermore, if it is
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20B -18
discovered that the security deployment is less than the City's mandated level of security the
City may elect to dispatch, at Promoter's expense SAPD and /or Park Ranger's to bring the
security levels up to the agreed upon level.
14. REQUIRED LICENSE FOR SOFT SECURITY - The soft security organization must obtain
clearance from the City of Santa Ana Police Department. Arrangements for clearance to be
obtained can be made by calling (714) 245 -8718 or (714) 245 -2709. Promoter agrees to pay a
$500 penalty for failure to perform this responsibility.
15. POLICE DEPARTMENT REQUIREMENTS — The security company to be used by the
promoter must be pre- approved by the Santa Ana Police Department. Promoter must provide
the Police Department with the names of the contact persons representing the carnival vendor
and contracted security company. At least one of those security company contacts must have
access to a cell phone to be used in case the Santa Ana Police Department needs to be called
for assistance. The promoter will be required to turn in a completed Land Use Certificate
form, site plan and Security Guard contract to the Police Department. The security Guard
contract shall include the following supplemental information:
The Security Officer in charge, name and cell number
A list of names, guard card numbers and copy of guard cards of the security officers assigned
to the event. Guards will be required to produce their guard card on demand during the event
if requested by the Police Officers assigned to the carnival. If the guard fails to provide said
card he shall be immediately replaced by the contracted guard company with an officer who
has a guard card.
Promtoer must also have a minimum of two (2) Santa Ana Police Department Officers
present at all carnivals during agreed upon hours of event operation. In addition, one (1)
motor officer will be required at Jerome and Cesar Chavez /Campesino locations. If the
number of officers required exceeds two officers, Promoter shall not be responsible for the
payment of costs for more than four officers. Promoter will also provide the Police
Department with a booth at these events. The Police Department will coordinate necessary
police assistance for the event at Promoters' expense.
16. ADDITIONAL POLICE /FIRE /PARK PERSONNEL — Promoter agrees that if a disturbance
occurs due to the operations of the carnival and additional Police, Fire or Parks personnel
assistance is required, promoter will pay those additional expenses.
17. PRE -EVENT AND POST EVENT INSPECTIONS WITH PARK PERSONNEL — Promoter
must arrange to meet with the Park Supervisor by calling (714) 448 -9127, to schedule a walk
through the park before and after the event. The pre- inspection and post- inspection meetings
will determine the condition of the sites before and after the event. A pre- inspection meeting
must occur on the Tuesday prior to the carnival event. Promoter must bring the proposed plot
plan to this meeting. Promoter shall not set up until pre - inspection has been completed. Set
up prior to event date and /or before the pre- inspection meeting will result in a fine of $1,000
per day and may lead to a suspension of future events.
A post- inspection meeting shall be completed on the second day following the carnival
activity at 2:00 pm., unless otherwise stipulated by representatives of the Santa Ana Police
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20B -19
Department and the Parks, Recreation and Community Services Agency. Failure to do so will
result in a fine of $1,000 per day and may lead to a suspension of future events.
Promoter agrees that the Park Supervisor shall be the final authority regarding interpretations
of the sites existing conditions both before and after the event. Failure by the promoter to set
and attend these meetings will result in the Park Supervisor performing the walk through of
the park site without the promoter and all conditions recorded by the Park Supervisor shall be
deemed as accurate and final.
18. PROTECTION OF FIELD AND TURF — Promoter shall be responsible for placing the
carnival equipment in a way as not to cause damage to the park turf or irrigation system
(sprinkler heads, etc). Such precautions may include painting around or covering the
sprinkler heads with a "metal disk ", or whatever efforts are necessary to protect the irrigation
equipment at Promoter's expense. Funds to repair damages incurred to the turf or irrigation
equipment due to the carnival event will be deducted from the security deposit. In the event
that the cost of damages exceeds the deposit amount, Promoter must pay the balance within
ten (10) days of the conclusion of the event. All concerns must be resolved prior to
continuing with future events. Failure to do so may result in the suspension and or voiding of
contract with Promoter.
19. CARNIVAL EQUIPMENT SET UP AND REMOVAL -None of the equipment may be
moved into the park prior to the completion of the pre -event inspection meeting and /or 9:00
am on the Tuesday before a carnival event is to be held. All equipment must be removed no
later than 2:00 pm on the Tuesday following the conclusion of a carnival event, unless
approved in writing by the Park, Recreation and Community Services Agency. No carnival
equipment may be stored on City streets or parks. There will be a $1,000 fee per day for
equipment arriving earlier or left in the park later than the above stated times.
20. CARNIVAL HOURS — The carnival may not operate earlier than noon each day and no later
than 11:00 p.m. on Thursday (if applicable), Friday and Saturday and no later than 10:00 p.m.
on Sunday. Carnivals operating on Monday may play until 11:00 p.m. on Sunday night and
10:00 p.m. on Monday night. Ticket sales and food sales must stop one half hour prior to the
scheduled carnival closing time. Promoter agrees to pay a $500 penalty per day for each
violation of this section.
21. PORTABLE RESTROOMS — Promoter shall provide a minimum of seven (7) portable
toilets, with one of those toilets designed specifically for disabled persons. The toilets shall
be placed no later than noon on the Thursday prior to the event and must be removed by 2:00
pm on the Monday following the conclusion of the event. Two (2) of the portable toilets must
be delivered by the Tuesday prior to the event for use by Carnival workers during event set
up. Promoter is responsible for arranging for portable toilets to be serviced (waste removal by
the portable restroom company) a minimum of once per day or twice per day for capacity
crowds.
21. SALE, ADVERTISING AND CONSUMPTION OF BEER, ALCOHOL OR CIGARETTES
Promoter agrees that there shall be no beer, alcohol or cigarettes sold or consumed at any of
the proposed events, nor shall there be any inflatables, balloons, or banners advertising beer,
alcohol or cigarettes at any of the proposed events. Promoter agrees to pay a $500 penalty per
day for each violation of this section.
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206'20
23. NATURE OF CARNIVAL GAMES AND /OR ACTIVITIES — Promoter agrees that no
games or activities involving the shooting of a gun or weapon, simulated or real, shall be
used in any of the entertainment, including game booths, with the exception of water guns
that are clearly recognizable as such. Promoter also understands and agrees that any gambling
games or games of chance shall be subject to review and removal by the Santa Ana Police
Department, who will ensure that they are fair and legal in nature, and in compliance with
any applicable statutes. A determination by the Santa Ana Police Department that any
particular game is in violation of any statute shall result in the removal of the game. Any City
decision to remove a game will be final.
24. SIZE OF CARNIVAL RIDES — Promoter must bring a list and photos of their proposed rides
to the pre -event meetings. The carnival ride list must be pre- approved by the Park
Superintendent. In addition to minimizing the damage to park property, the City desires a
balance between the number of small, medium and spectacular rides in order to maintain a
family and community environment at these events. Although promoters will be encouraged
to provide only small and medium rides, depending on the venue, up to two spectacular rides
may be allowed. The Park Superintendent must approve the final ride list at, or any time
before, the pre -event meeting. All carnival rides used in City parks shall comply with State
permitting requirements.
25. EVENT STAFF, OFFICE AND SECURITY PARKING — Promoter agrees that there shall be
no overnight camping or privately owned vehicles for the purpose of overnight camping at
the park site. All vehicles (cars, motor homes, trailers, tractor trailers with sleeping
accommodations, motorcycles, etc.) must be parked outside of the park before, during and
after carnival operation hours. The Park Superintendent will identify authorized parking areas
at the pre -event meeting. Promoter is permitted one vehicle within the park site for security
personnel and one vehicle for office purposes. Promoter shall pay a $500 penalty per day for
each violation of this section.
26. DELIVERIES OF SUPPLIES TO VENDORS — Promoter shall be responsible for making
certain the booth vendors are well stocked. Once the event is underway, all deliveries of food,
drink and supplies must be carried via hand trucks or small Daihatsu or Cushman type
vehicles to the booth sites. No trucks or automobiles will be allowed in the program area
during programming hours. Loading and unloading of vendors equipment should be done
prior to and after the event.
27. PERSONNEL TO PLACE AND COLLECT TRAFFIC BARRICADING EQUIPMENT —
Promoter shall provide personnel to assist in placing and collecting the traffic barricades and
equipment, under the supervision of the Police Department, before and after each day's
event. Failure by the promoter to place and /or collect traffic barricades and /or equipment will
result in City staff or a separate contractor completing this work at Promoter's expense.
28. RENTAL OF TRAFFIC CONTROL EQUIPMENT — Promoter shall be required to pay for
the rental of specific traffic control equipment, as required by the Police Department.
29. PERSONNEL PARKING - Promoter shall instruct all personnel to park in areas indicated on
the approved plot plan. Promoter personnel who fail to park vehicles in pre- approved
designated areas may be subject to citation and /or towing at the vehicle owner's expense.
206 -21
30. EVENT PARKING AND REQUIRED SIGNAGE - Promoter shall be required to post signs
before the start of the event in both English and Spanish stating "No Event Parking" at the
entrances to the local neighborhoods and businesses during the full duration of the carnival.
Promoter shall ensure that these signs remain in place through the duration of the event.
Promoter shall pay a $500 penalty for each violation of this section.
31. PERSONNEL AT ENTRANCES TO NEIGHBORHOOD — Promoter must provide soft
security personnel (licensed as specified in Item V.A.15.) to work at designated
neighborhood entrances in close proximity to the park. A minimum of two (2) persons, plus
necessary directional signage, shall be stationed at each of the housing tract entrances during
all event program hours in order to deter event participants from parking in the residential
areas adjacent to the event. Promoter agrees to pay a $500 penalty per day for each violation
of this section.
32. POLICE DEPARMENT REQUIREMENTS — Santa Ana Police Department officers will be
required during event hours to enhance the security of the event. The number of officers
needed will be based on factors such as the size of the event, expected attendance, and recent
area activity. Promoter will be informed of the number of additional officers needed at the
pre -event meeting described in Item IV.A.18. The Police Department will arrange the
necessary police staffing for the event. Promoter is responsible for all Santa Ana Police
Department regular and overtime costs for the event. In the event that the event is rained out
or otherwise cancelled on short notice, the promoter will be responsible for a minimum of 4
hours of over -time costs.
33. LIGHTING — Where applicable, the City will turn on ball field and safety lighting to help
light the carnival. Promoter is responsible for providing all other lighting to ensure that all
areas of the carnival are adequately lit throughout the duration of the event. Promoter agrees
to pay a $500 penalty per day for each violation of this section.
34. NEIGHBORHOOD BOOTHS — Promoter shall provide the local neighborhood associations
with a booth for marketing and fundraising. This booth will be in addition to the 20 booths
described in Section II. No sales are allowed at these booths. Booth shall include a 10x10
canopy, one 6 foot table, two chairs and adequate lighting.
35. ANIMALS — No petting zoos, pony rides, or any other animals are allowed at the carnival.
36. MASSAGE — No massage booths or massages are allowed at the carnival.
37. DISSALLOWED ITEMS — Blow horns, slingshots, knifes, and adult items (sexual in nature).
Zoe -ii
NON - EXCLUSIVE AGREEMENT TO PROVIDE CARNIVALS AT CITY PARKS
THIS AGREEMENT, made and entered into this 6"' day of February, 2011 by "O"
Entertainment, Inc., a California corporation (hereinafter "Promoter "), 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
On December 7, 2011, the City issued Request for Proposals, No. 11 -068 - PRCSA, seeking carnival
Promoters to provide carnivals at specified City owned parks.
Promoter submitted a proposal to provide carnival services.
Promoter represents that Promoter is able and willing to provide carnival services to the City as specified in
the Request for Proposals No. 11 -068 -PRCSA and any addendums thereto.
In undertaking the performance of this Agreement, Promoter represents that it is knowledgeable in its field
and that any services performed by Promoter under this Agreement will be performed in compliance with
such standards as may reasonably be expected from a professional carnival Promoter in the field.
NOW THEREFORE, in consideration of the mutual and respective promises set forth herein, and
subject to the terms and conditions hereinafter set forth, the parties agree as follows:
1. PREMISES AND USE
(A) The City of Santa Ana owns the following community parks ( "Parks ") within its boundaries:
Jerome Park, located at 726 S. Center St., Santa Ana. City hereby grants to the Promoter a non - exclusive,
revocable user agreement to encroach upon the specific areas of the above stated Parks ( "Carnival
Areas ") delineated in the renderings of the Parks attached hereto and collectively referenced as Exhibit
"A ", for the purpose of providing carnivals and for no other purpose. Promoter shall provide one (1)
carnival ( "Carnival Event ") at each location during the term of this Agreement on dates approved by the
Executive Director of Parks, Recreation and Community Services Agency, as set forth in Section 3
hereof.
(B) The right and permission of Promoter is subordinate to the prior and paramount right of the
City to use the City owned Parks described herein above in its entirety for public purposes to which it
presently is and may, at the option of the City, be devoted. Promoter agrees to use the Carnival Areas at
all times in such manner as will not unreasonably interfere with the full use and enjoyment of the Parks
by the City, its residents and guests.
(C) Promoter hereby acknowledges that title to the Parks is vested in the City and agrees never
to assail or challenge the same, and further agrees that Promoter's use and occupancy of the Carnival
Area within the Parks shall be limited solely to the permission for such use and occupancy granted herein.
(D) As a covenant to this Agreement, Promoter agrees to adhere to and comply with all of the
terms, conditions and responsibilities enumerated in the Request for Proposals, RFP 11 -068 - PRCSA,
issue date December 7, 2011 , and Addendum No. 1 thereto (hereinafter, collectively "RFP ") attached
hereto as Exhibit "B" and incorporated herein by reference. Any failure to adhere to and comply with the
terms, conditions and responsibilities enumerated in the RFP shall be deemed a breach of this Agreement
and of the RFP.
Zoe -23
(E) The parties hereto agree that if, at the sole discretion of the City, a Carnival Event should not
proceed on the dates set forth in Section 3 hereof due to foul or inclement weather, the City at its
discretion may grant Promoter alternative dates for the conducting of the Carnival Events within the term
of this Agreement. If Promoter desires to obtain alternative dates as provided in this paragraph, Promoter
must timely request the same from City.
2. SCOPE OF SERVICES
Promoter shall provide at each of the Parks identified a full service carnival complete with the
rides, equipment and services as set forth in the RFP (Exhibit B) to this Agreement. Provider, if it
contracts with an Operator to provide carnival attractions, shall require such Operator to fully comply
with all the terms and conditions of this Agreement regarding the provision of carnival services, including
insurance requirements. Not later than sixty (60) days prior to the staging of any carnival event, Promoter
shall obtain the written approval of the Executive Director of Parks, Recreation and Community Services,
of any such Operator. Promoter shall not utilize a different operator without first obtaining the written
permission of the Executive Director.
3. FEES/DEPOSITS/PERMITS/LICENSES
At least 10 days prior to the commencement date of each Carnival as set forth below, Promoter
shall pay to City the applicable fee for use of the Carnival Area as further set forth below.
Promoter agrees to pay the City and City agrees to accept from Promoter the following fees per
Carnival Event.
Park/ Carnival Dates
Fee
Max Event Size
Jerome Park March 11 -13
$8,250.00
16 Carnival Rides
Jerome Park August 10 -12
$7,000.00
16 Carnival Rides
$15,250.00
*Note: Each carnival may host 12 Game Booths and 20 food / information booths. One booth is
equal to one 10x10 canopy area. A maximum ten 10 x 10 cooking booths will be allowed (or five 10 x
20). The remainder can be non - profit, commercial or sponsorship booths. Please include in your plot plan
what goods and services each of these booths will offer and the dimension of each booth. The City must
approve all goods and services sold at commercial booths. Massage booths are not allowed
In addition to the fees set forth herein, Promoter shall pay all required City fees and deposits
including the fees for police services and Park clean up, and obtain all required permits and licenses as
detailed in the RFP, Exhibit B hereto. All fees and deposits shall be due and payable as set forth in the
RFP. Additionally, failure to pay the cleanup /damage deposit and/ or any other outstanding balances and
fees a minimum of ten (10) business days prior to the start of the event will result in a penalty of $500 per
day. The vendor will not be allowed to start an event if there is an unpaid balance. Vendor is subject to
other monetary penalties for failure to perform as set forth throughout the RFP.
4. SECURITY DEPOSIT
Contemporaneously with the execution of this Agreement, Promoter shall deposit with City the
additional sum of $5,000.00 as a security deposit. The deposit shall be held by City, without liability for
interest, as security for the faithful performance by Promoter of all the terms, covenants, and conditions of
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20B -24
this Agreement to be kept and performed by Promoter during the Term of this Agreement, or any
extension thereof, and including the removal of Promoter's facilities as set forth herein. Assuming
successful completion of all terms and conditions of this Agreement, including those within the RFP, the
security deposit, or any remaining portion thereof, and any unused fees shall be returned within 60 days
of the final carnival activity provided for in the RFP.
5. TERM
This Agreement shall commence on the date first written above and terminate on December 31,
2012 unless terminated earlier in accordance with this Agreement. The term of this Agreement may be
extended for an additional 1 year term at the City's sole discretion through a writing executed by the
Executive Director of the Parks Recreations and Community Services Agency and the City Attorney.
6. NON - POSSESSORY INTEREST
City retains full possession of the Park and Carnival Area and Promoter will not acquire any
interest temporary, permanent, irrevocable, possessory or otherwise by reason of this Agreement, or by
the exercise of the permission given herein. Promoter will make no claim to any such interest. Any
violation of this provision will immediately void and terminate this Agreement.
7. NON RECORDING
Neither party shall record this Agreement
E:�:7�K� : 1 . 9 D ' ► : ►I 1 : 11
A. Promoter shall establish and maintain separate accounting records for each Carnival
Event at the specified Parks. Promoter's accounting system shall conform to generally- accepted
accounting principles and all records shall provide a breakdown of total costs and revenues associated
with the Park Carnival Events.
B. All Promoter's records of revenues and repairs pertaining to the Carnival Events
referenced herein shall be kept for the duration of this Agreement and made available at all times for audit
by City upon request
9. INDEPENDENT CONTRACTOR
Promoter 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 Promoter performs the services which are the
subject matter of this Agreement; however, the services to be provided by Promoter shall be provided in a
manner consistent with all applicable standards and regulations governing such services. Promoter 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.
10. INSURANCE
Prior to undertaking performance of any work relative to a Carnival Event under this Agreement,
Promoter shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as
described below:
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20B -25
a. Commercial General Liability Insurance. Promoter and each of its operators and
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 the operations or
performance of this Agreement by Promoter, its operators or subcontractors, including, without
limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single
limit coverage applying to bodily and personal injury, including death resulting therefrom, and property
damage, in the total amount of $5,000,000 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.
A. Business automobile liability insurance, or equivalent form, with a combined
single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned,
hired and non -owned automobiles.
B. Worker's Compensation Insurance. In accordance with the provisions of Section
3300 of the Labor Code, Promoter, if Promoter 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, Promoter agrees to obtain and maintain any employer's liability
insurance with limits not less than $1,000,000 per accident.
C. The following requirements apply to the insurance to be provided by Promoter
pursuant to this section:
i. Promoter 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; and shall state as follows:
"The above detailed coverage is not subject to any deductible or
self - insured retention, or any other form of similar type limitation. "
iv. A complete and signed certificate of insurance with all endorsements required by
this Section shall be filed with City prior to the execution of this Agreement. At
least thirty (30) days prior to the expiration of any such policy, a signed and
complete certification of insurance showing that coverage has been renewed,
shall be filed with the City.
V. If the certificate of insurance is in the name of the carnival Promoter it shall
include the name of the carnival promoter as additionally insured.
E. If Promoter 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.
Promoter agrees to indemnify the City for any work performed prior to approval of insurance by the City.
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20B -26
11. INDEMNIFICATION
Promoter agrees to and shall protect, defend, indemnify and save and hold harmless the City, its
officers, agents, employees, special counsel, and representatives from liability, loss, damage, expense or
cost: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising
out of claims for personal injury, including death, and claims for property damage, which may arise from
the direct or indirect operations of the Promoter or its operators, contractors, subcontractors, agents,
employees, or other persons acting on their behalf which relates to the services described in Sections 1, 2
and 3 of this Agreement; and (2) from any claim that personal injury, damages, just compensation,
restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this
Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just
compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason
of the events referred to in this Agreement or by reason of the terms of, or effects, arising from this
Agreement. The Promoter further agrees to defend, indemnify, hold harmless, and pay all costs for the
defense of the City, including fees and costs for special counsel to be selected by the City, regarding any
action by a third party challenging the validity of this Agreement, or asserting that personal injury,
damages, just compensation, restitution, judicial or equitable relief due to personal or property rights
arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable
decisions with respect to its representation in any legal proceeding.
Promoter shall protect, defend, indemnify and save and hold harmless the City, its officers, officials,
employees, and agents from and against any and all liability, loss, damage, expenses, costs (including
without limitation costs and fees of litigation of any nature) arising out of or in connection with
Promoter's performance of this Agreement or any failure to comply with any of Promoter's obligations
contained in this Agreement by Promoter, its officers, agents, employees or contractors.
12. TRASH/UTILITIES /CLEANUP
Promoter is responsible for the collection and disposal of all trash as specified in the RFP (Exhibit
B) including the providing of the required 40 yard roll -off dumpsters. Promoter is responsible for the
continuous cleaning of the City Park, including the restrooms, at all times while acting pursuant to this
Agreement as set forth in the RFP. The area to be cleaned includes the parking lots and the surrounding
neighborhood and streets. Further, with the exception of the City supplying two (2) potable water
hookups as set forth in the RFP, Promoter is responsible for supplying all utilities to be used during the
Carnival Events, including supplying the required portable toilets as specified in the RFP. Persons
performing clean -up shall be employees or subcontractors of the vendor.
13. HAZARDOUS MATERIALS
Promoter represents and warrants that its use of the Carnival Area herein will not generate any
hazardous substance, and Promoter will not store or dispose on the Park and /or Carnival Area nor
transport to or over the Park and /or Carnival Area any hazardous substance. Promoter further agrees to
clean -up and remediate any hazardous substance on the Park and /or Carnival Area and Property, and hold
City harmless from and indemnify City against any release of any such hazardous substance and any
damage, loss, or expense or liability resulting from such release including all attorneys' fees, costs and
penalties incurred as a result thereof except any release caused by the negligence of City, its employees or
agents. "Hazardous substance" shall be interpreted broadly to mean any substance or material defined or
designated as hazardous or toxic waste, hazardous or toxic material, hazardous or toxic or radioactive
substance, or other similar term by any federal, state or local environmental law, regulation or rule
presently in effect or promulgated in the future, as such laws, regulations or rules may be amended from
5
206'27
time to time; and it shall be interpreted to include, but not be limited to, any substance which after release
into the environment will or may reasonably be anticipated to cause sickness, death or disease.
14. WASTE OR NUISANCE
Promoter shall not commit or permit the commission by others of any waste on the Park or
Carnival Areas. Promoter shall not maintain, commit, or permit the maintenance or commission of any
nuisance as defined in Section 3479 and /or Section 3480 of the California Civil Code on the Park or
Carnival Areas; and Promoter shall not use or permit the use of the Park or Carnival Areas for any
unlawful purpose.
15. PUBLIC NECESSITY
City may immediately temporarily suspend operation of this Agreement and the Carnival Event
in the event of public necessity or emergency, as may be determined by the City Manager. Such
suspension will terminate when the public necessity or emergency no longer exists.
16. ON -SITE OFFICE
One (1) trailer -type vehicle will be allowed to park in the Carnival Area, in a location pre-
determined by the Park Superintendent, to be used exclusively as a business office by Promoter. This
vehicle must be equipped as an office and used only as such. Under no circumstances is this vehicle to be
used for sleeping accommodations while on Park premises. The office vehicle will be allowed on the
premises for the period provided for all other carnival equipment pursuant to the RFP.
Promoter shall be at the carnival site during the entire event, including set -up and take -down. If
Promoter is must be absent from the site, he shall ensure a supervisor, authorized to act on behalf of
Promoter, is present.
17. LIENS
Promoter will not permit any mechanics' or materialmens' or other liens to stand against the City
Park or Carnival Area by reason of any use or occupancy by Promoter, or any person claiming under
Promoter.
18. TERMINATION IN THE EVENT OF CASUALTY OR CONDEMNATION
In the event of any damage, destruction or condemnation of the Park and /or Carnival Area, which
renders the Park and / or Carnival Area unusable or inoperable in Promoter's judgment, Promoter shall
have the right, but not the obligation, to terminate the Agreement with respect to the subject Carnival
Area by giving written notice to the City within thirty (30) days after such damage, destruction or
condemnation. If by virtue of such damage, destruction or condemnation, City determines that the Park
and / or Carnival Area is no longer adequate for Promoter to continue its operations, or any repairs to the
Park and / or Carnival Area to remedy such damage, destruction or condemnation have not been
completed or cannot reasonably be completed outside of forty-five (45) days from the date of the up
coming scheduled carnival, City may terminate this Agreement upon thirty (30) days written notice to
Promoter.
In the event of condemnation, unless Promoter is allowed by the condemning authority to
continue its operations in the Carnival Area, this Agreement shall terminate as of the date title to the
Property vests in the condemning authority or Promoter is required to cease its operations, whichever is
Mime."
earlier. If any property described herein or hereinafter added hereto is taken in eminent domain, the entire
award shall be paid to City.
19. TERMINATION
This Agreement may be terminated by the City without cause upon thirty (30) days written notice
of termination. City may terminate this Agreement for cause upon three (3) days written notice for any
violation of the terms contained herein.
20. DEFAULT BY PROMOTER
Should Promoter default in the performance of any of the terms, conditions, or obligations
contained in this Agreement, City may, in addition to the remedies specified elsewhere in this Agreement
and the attached RFP, re -enter and regain possession of the Carnival Area in the manner provided by the
laws of unlawful detainer of the State of California then in effect.
21. INSOLVENCY OF PROMOTER
The insolvency of Promoter as evidenced by a receiver being appointed to take possession of all
or substantially all of the property of Promoter, or the making of a general assignment for the benefit of
creditors by Promoter, or the filing of a petition in bankruptcy shall terminate this Agreement and entitle
City to re -enter and regain possession of the Carnival Area.
22. CUMULATIVE REMEDIES
The remedies given to City in this Agreement shall not be exclusive, but shall be cumulative and
in addition to all remedies now and hereafter allowed by law or elsewhere provided in this Agreement.
23. WAIVER OF BREACH
The waiver by City of any breach by Promoter of any of the provisions of this Agreement shall
not constitute a continuing waiver or a waiver of any subsequent breach by Promoter either of the same or
another provision of this Agreement.
24. CONFLICT OF INTEREST CLAUSE
Promoter 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.
25. 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, addressed to the party concerned as follows:
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
7
20B -29
With courtesy copies to:
and
Fax 714 - 647 -6956
Executive Director of Parks, Recreation and Community Services
City of Santa Ana
20 Civic Center Plaza (M -23)
P.O. Box 1988
Santa Ana, California 92702
City Attorney
City of Santa Ana
20 Civic Center Plaza (M -29)
P.O. Box 1988
Santa Ana, California 92702
Fax 714 - 647 -6515
To Promoter: "O" Entertainment
Attn: Troy Hassett
539 E. Bixby Road, Suite 59
Long Beach, CA 90807
Fax 562- 495 -5961
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. For
purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be
excluded.
26. CONTRACT ADMINISTRATOR
The Executive Director of Parks Recreation and Community Services Agency, or his /her
designee, shall be City's Contract Administrator for this Agreement and all approval and notices required
to be given herein shall be so directed and addressed.
27. COMPLIANCE WITH LAWS
Promoter shall obtain and maintain a permit issued by the Division of Industrial Safety of the
Department of Industrial Relations of the State of California. In addition, Promoter shall, at Promoter's
own cost and expense, comply with all statutes, ordinances, regulations, and requirements of all
governmental entities, including federal and state, county and municipal, relating to Promoter's use and
occupancy of the Park and Carnival Area and Promoter's facilities whether such statute, ordinances,
regulations, and requirements be now in force or hereinafter enacted. The judgment of any court of
competent jurisdiction, or the admission by Promoter in a proceeding brought against Promoter by any
government entity, that Promoter has violated any such statute, ordinance, regulation, or requirement shall
be conclusive as between City and Promoter and shall be considered grounds for termination of this
Agreement by City. Promoter will obtain all permits and other governmental approvals, required in
connection with Promoter's activities hereunder, and update such permits /approvals as necessary.
8
20B -30
28. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Promoter,
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, including the RFP, 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 Promoter. 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 parties, which are not embodied herein.
29. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Promoter, Promoter
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 Promoters retained by City.
30. NON - DISCRIMINATION
Promoter 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.
Promoter affirms that it is an equal opportunity employer and shall comply with all applicable federal,
state and local laws and regulations.
31. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity,
interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined
and governed by the laws of the State of California. Both parties further agree that Orange County,
California, shall be the venue for any action or proceeding that may be brought or arise out of, in
connection with or by reason of this Agreement.
32. ATTORNEY'S FEES
Except as otherwise provided in this Agreement, in the event suit is brought by either party to
enforce the terms and provisions of this Agreement or to secure the performance hereof, each party shall
bear its own attorney's fees.
33. PROFESSIONAL LICENSES
Promoter 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. Promoter 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.
9
20B -31
34. BINDING ON HEIRS AND SUCCESSORS
This Agreement shall be binding on and shall inure to the benefit of the heirs, executors,
administrators, successors, and assigns of the parties hereto. The provisions of this Section shall not be
deemed to be a waiver of any of the conditions against assignment set forth herein.
35. SURVIVAL
Terms and conditions of this Agreement, which by their sense and context survive the
termination, or expiration of this Agreement, shall so survive
36. MISCELLANEOUS PROVISIONS
A. Each undersigned represents and warrants that its signature hereinbelow has the power, authority
and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City
fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such
authority or power is not, in fact, held by the signatory or is withdrawn.
B. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the
body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year
first above written.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
JOSEPH STRAKA
Interim City Attorney
By:
Laura Sheedy
Assistant City Attorney
CITY OF SANTA ANA
PAUL M. WALTERS
Interim City Manager
`O' ENTERTAINMENT, INC.
TROY HASSETT
Vice - President
Tax ID #
Zoe -32
EXHIBIT A
PARK LOCATION MAPS
11
20B -33
EXHIBIT B
A. PROMOTER'S RESPONSIBILITIES
REQUIRED CLEANUP /DAMAGE DEPOSIT - Upon selection, Promoter must provide a
$5,000 refundable damage /clean -up deposit to the City of Santa Ana, Parks, Recreation and
Community Services Agency a minimum of ten (10) business days before the start date of the
event. Monies will be deducted from the deposit for repair of any damages incurred, cleanup
of the park, unforeseen security or staff costs, or any other charges caused by the event. Any
remaining monies from the deposit will be refunded to Promoter at the conclusion of the
carnival season. Should costs incurred by the City (as stated above) be greater than the total
deposit, the Promoter will be invoiced for the balance due. The Promoter will be required to
submit the balance due 10 days prior to conducting another event. The deposit balance shall
remain at $5,000 during the term of the agreement.
Promoter agrees that failure to pay the cleanup /damage deposit and /or any other outstanding
balances and fees a minimum of ten (10) business days prior to the start of the event will
result in a penalty of $500 per day penalty. Promoter will not be allowed to start an event if
there is an unpaid balance due.
2. CLEANUP DURING AND AFTER THE EVENT — Promoter agrees that it has full
responsibility for continuously cleaning the park by removing all trash and debris on the
ground, removing trash from the park receptacles and replacing liners and cleaning /sanitizing
restrooms from the time the first Promoter employee arrives at the park site for set up until
the last Promoter employee leaves the park. Furthermore, Promoter agrees to be responsible
for cleanup of the event site and the surrounding areas after the event. Promoter agrees to
arrange for trash pick -up in the parking lots and surrounding neighborhood after each day at
Promoter's expense. Persons performing clean -up shall be employees or subcontractors of the
Promoter. Failure to provide continuous clean -up will result in dispatching City staff to
perform this work at Promoter's expense or the City hiring a private contractor to perform the
work at Promoter's expense plus a $500 penalty for each day Promoter fails to perform this
responsibility.
3. STREET SWEEPING —If street sweeping is necessary due to trash left from pedestrian and
vehicular traffic and Promoter fails to perform as required above, the City will arrange for the
parking lots and major streets surrounding the park to be swept on the day following the last
day of the event at Promoter's expense. Furthermore, Promoter agrees to pay a $500 penalty
for failure to perform this responsibility.
4. DUMPSTERS — Promoter is responsible for providing the appropriate number of 40 yard
roll -off dumpster(s) to collect trash for the event. The dumpster(s) must be removed by 3:00
p.m. of the second day following the conclusion of the event. Promoter agrees to pay a
penalty of $500 per day that the dumpsters are not provided and removed as indicated.
5. REQUIRED PLOT PLAN AND PLAN CHECK PROCESS — Promoter must provide a plot
plan utilizing the land use certificate format for the overall equipment set up by a minimum
of ten (10) business days before the event. The plot plan must include entrances, exits, all
necessary barricading, detailed location of all rides, booths, restrooms, electrical equipment,
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20B -34
etc. Promoter shall indicate number and name of rides on the plot plan, and the name and
number of other types of carnival units such as repair and supply units they would like to
have on the park. This plot plan is required by the Police Department, the Fire Department,
the Planning and Building Agency (Electrical Division), the Parks, Recreation and
Community Services Agency, and the Orange County Health Department. Promoter must
walk the plot plan through the City Planning and Building Agency -Plan Check Section, 20
Civic Center Plaza, Ross Annex. For further information on the plan check process, please
contact the Santa Ana Police Department at (714) 245 -8718 or (714) 245 -2709. Copy of
approved plot plan must be provided to the Santa Ana Police Department and to the Parks,
Recreation and Community Services Agency. Promoter agrees to pay a $500 penalty per day
for each day late in providing the plot plan.
6. CARNIVAL LICENSE FEE— Promoter shall pay the required carnival license fees a
minimum 10 days prior to each event. Checks shall be made payable to "The City of Santa
Ana ".
7. FIRE AND ELECTRICAL INSPECTION — Ten (10) business days prior to the event,
Promoter shall schedule appointments with the Santa Ana Fire Department and the Santa Ana
Planning and Building Agency for an electrical inspection of all generators, carnival
equipment, and booths to be used at the carnival. Promoter agrees to pay a $500 penalty per
day for each day late in scheduling appointments as indicated. No more than ten (10) 10 x 10
cooking booths will be allowed (or five 10 x 20). Complete event rules and regulations will
be provided to Promoter at plan check and copies shall be provided to each booth operator by
Promoter. Promoter shall provide all event electricity. Hookups to park electrical outlets will
not be permitted. All vendors must be set -up and ready for inspection by 4:00 p.m. on the
first day of the carnival. Promoter agrees to pay a $500 penalty per day for each violation.
O.C. HEALTH DEPARTMENT REQUIREMENTS — Promoter must obtain food permits
and food booth inspections from the Orange County Health Department a minimum of ten
(10) business days before the event. Any booths or vendors not receiving prior approval from
the Orange County Health Department will not be allowed to operate. Food booths are only
allowed to operate for the duration of the event during event hours only. To obtain food
permits and schedule booth inspections, Promoter must contact the Orange County Health
Department at (714) 667 -3610. Promoter agrees to pay a $500 penalty per day for each day
late in securing food permits and food booth inspections. Furthermore, Promoter shall pay a
$500 penalty per day for each food booth discovered operating without prior approval of the
O.C. Health Department. Parks and Recreation will provide two (2) potable water hookups
during the entire event. These water hookups are to be used ONLY for sanitation purposes in
compliance with the Orange County Department of Health regulations, and are not for
camping or refreshment preparation use. Promoter shall pay a $500 penalty per day for each
violation.
9. REQUIRED PERMIT FROM BUSINESS LICENSE OFFICE FOR BOOTH VENDORS
(BUSINESSES AND /OR NON - PROFIT ORGANIZATIONS) — Promoter is responsible for
supplying the Business License Office with a list of pre- approved potential vendors before
sending vendors to the Business License Office, in order to avoid unapproved vendors from
vending during the event, or Promoter may collect all the necessary information and fees
from the vendors and submit the entire packet to the Business License Office a minimum of
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20B -35
five (5) days prior to the commencement of the event. Promoter shall pay a $500 penalty per
day for each day late in submitting /paying the packet to the Business License Office.
All vendors, business or non - profit organizations (selling or information only), which vend
on City Property are required to possess a City of Santa Ana Business License. Businesses
who do not have a current City of Santa Ana Business License can obtain a One -Day
Peddler /Solicitor license. Non -Profit Organizations are required to obtain a Fee - Exempt
status through the Business Tax Office. This is a once a year registration fee. For more
information the Business Tax Office can be contacted at (714) 647 -5447. The Business Tax
Office is located at 20 Civic Center Plaza, Rm. 1100, Santa Ana, CA 92702. Promoter agrees
to pay a $500 penalty per day for each booth operating without a City Business License.
10. CONTACT WITH NEIGHBORHOOD ORGANIZATIONS — Promoter shall send a letter to
the neighborhood associations adjacent to the park where the carnival is to be conducted
informing them of the event and to gain their organization's support for the planned activity
at the park during the scheduled times and dates, a minimum of ten (10) business days before
the event. The Community Development Agency will provide contact information to the
Promoter for a particular neighborhood upon request. Promoter shall submit copy of signed
letter, on the organization's letterhead, to the Santa Ana Police Department and to the Parks,
Recreation and Community Services Agency a minimum of ten (10) business days before the
event. The Community Development Agency can be contacted by calling (714) 647 -5360.
Promoter agrees to pay a $500 penalty for each violation of this section.
11. CONTACT WITH NEIGHBORHOOD RESIDENTS — At least 72 hours prior to each
carnival event, Promoter must post a sign or send flyers to the neighborhood surrounding the
park informing them that the event will take place. Signs or flyers must be in English and
Spanish. Promoter shall pay a $500 penalty for each violation of this section.
12. CONTACT WITH BUSINESS ORGANIZATIONS - Promoter must send a letter a
minimum of ten (10) business days before the event to each business owner within a quarter
mile radius of the carnival site, notifying them of the dates and times of the event, and what
precautions should be taken to prevent program participants from parking in the surrounding
business parking lots. Promoter shall pay a $500 penalty for each violation of this section.
13. REQUIRED EVENT PERSONNEL — A minimum number of uniformed, state licensed
security personnel contracted through a private bonded security company will be required
each day of the event. Promoter shall provide the designated amount of soft security as
specified by the Santa Ana Police Department prior to or on the date of the pre -event
meeting. The Santa Ana Police Department may modify the number of security required as it
sees fit, due to specifications in the scale and activities to be held at the event, and /or recent
activity in the park and surrounding areas. Security personnel must be present 30 minutes
prior to the beginning of the event each day and must stay a minimum of one (1) hour after
the completion of the event each day or until the park is clear, to help prevent any possible
disruptions. All security officers must carry two -way radio equipment to enable them to
communicate with all other security personnel. All security personnel must wear highly
visible attire (security vest, jacket) identifying them as security officers. None of the security
company personnel may be armed. A copy of the signed agreement with the security
company must be provided a minimum of ten (10) business days prior to the event. Promoter
shall pay a $500 penalty per day for each violation of this section. Furthermore, if it is
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20B -36
discovered that the security deployment is less than the City's mandated level of security the
City may elect to dispatch, at Promoter's expense SAPD and /or Park Ranger's to bring the
security levels up to the agreed upon level.
14. REQUIRED LICENSE FOR SOFT SECURITY - The soft security organization must obtain
clearance from the City of Santa Ana Police Department. Arrangements for clearance to be
obtained can be made by calling (714) 245 -8718 or (714) 245 -2709. Promoter agrees to pay a
$500 penalty for failure to perform this responsibility.
15. POLICE DEPARTMENT REQUIREMENTS — The security company to be used by the
promoter must be pre- approved by the Santa Ana Police Department. Promoter must provide
the Police Department with the names of the contact persons representing the carnival vendor
and contracted security company. At least one of those security company contacts must have
access to a cell phone to be used in case the Santa Ana Police Department needs to be called
for assistance. The promoter will be required to turn in a completed Land Use Certificate
form, site plan and Security Guard contract to the Police Department. The security Guard
contract shall include the following supplemental information:
The Security Officer in charge, name and cell number
A list of names, guard card numbers and copy of guard cards of the security officers assigned
to the event. Guards will be required to produce their guard card on demand during the event
if requested by the Police Officers assigned to the carnival. If the guard fails to provide said
card he shall be immediately replaced by the contracted guard company with an officer who
has a guard card.
Promtoer must also have a minimum of two (2) Santa Ana Police Department Officers
present at all carnivals during agreed upon hours of event operation. In addition, one (1)
motor officer will be required at Jerome and Cesar Chavez /Campesino locations. If the
number of officers required exceeds two officers, Promoter shall not be responsible for the
payment of costs for more than four officers. Promoter will also provide the Police
Department with a booth at these events. The Police Department will coordinate necessary
police assistance for the event at Promoters' expense.
16. ADDITIONAL POLICE /FIRE /PARK PERSONNEL — Promoter agrees that if a disturbance
occurs due to the operations of the carnival and additional Police, Fire or Parks personnel
assistance is required, promoter will pay those additional expenses.
17. PRE -EVENT AND POST EVENT INSPECTIONS WITH PARK PERSONNEL — Promoter
must arrange to meet with the Park Supervisor by calling (714) 448 -9127, to schedule a walk
through the park before and after the event. The pre- inspection and post- inspection meetings
will determine the condition of the sites before and after the event. A pre- inspection meeting
must occur on the Tuesday prior to the carnival event. Promoter must bring the proposed plot
plan to this meeting. Promoter shall not set up until pre- inspection has been completed. Set
up prior to event date and /or before the pre- inspection meeting will result in a fine of $1,000
per day and may lead to a suspension of future events.
A post- inspection meeting shall be completed on the second day following the carnival
activity at 2:00 pm., unless otherwise stipulated by representatives of the Santa Ana Police
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20B -37
Department and the Parks, Recreation and Community Services Agency. Failure to do so will
result in a fine of $1,000 per day and may lead to a suspension of future events.
Promoter agrees that the Park Supervisor shall be the final authority regarding interpretations
of the sites existing conditions both before and after the event. Failure by the promoter to set
and attend these meetings will result in the Park Supervisor performing the walk through of
the park site without the promoter and all conditions recorded by the Park Supervisor shall be
deemed as accurate and final.
18. PROTECTION OF FIELD AND TURF — Promoter shall be responsible for placing the
carnival equipment in a way as not to cause damage to the park turf or irrigation system
(sprinkler heads, etc). Such precautions may include painting around or covering the
sprinkler heads with a "metal disk ", or whatever efforts are necessary to protect the irrigation
equipment at Promoter's expense. Funds to repair damages incurred to the turf or irrigation
equipment due to the carnival event will be deducted from the security deposit. In the event
that the cost of damages exceeds the deposit amount, Promoter must pay the balance within
ten (10) days of the conclusion of the event. All concerns must be resolved prior to
continuing with future events. Failure to do so may result in the suspension and or voiding of
contract with Promoter.
19. CARNIVAL EQUIPMENT SET UP AND REMOVAL - None of the equipment may be
moved into the park prior to the completion of the pre -event inspection meeting and /or 9:00
am on the Tuesday before a carnival event is to be held. All equipment must be removed no
later than 2:00 pm on the Tuesday following the conclusion of a carnival event, unless
approved in writing by the Park, Recreation and Community Services Agency. No carnival
equipment may be stored on City streets or parks. There will be a $1,000 fee per day for
equipment arriving earlier or left in the park later than the above stated times.
20. CARNIVAL HOURS — The carnival may not operate earlier than noon each day and no later
than 11:00 p.m. on Thursday (if applicable), Friday and Saturday and no later than 10:00 p.m.
on Sunday. Carnivals operating on Monday may play until 11:00 p.m. on Sunday night and
10:00 p.m. on Monday night. Ticket sales and food sales must stop one half hour prior to the
scheduled carnival closing time. Promoter agrees to pay a $500 penalty per day for each
violation of this section.
21. PORTABLE RESTROOMS — Promoter shall provide a minimum of seven (7) portable
toilets, with one of those toilets designed specifically for disabled persons. The toilets shall
be placed no later than noon on the Thursday prior to the event and must be removed by 2:00
pm on the Monday following the conclusion of the event. Two (2) of the portable toilets must
be delivered by the Tuesday prior to the event for use by Carnival workers during event set
up. Promoter is responsible for arranging for portable toilets to be serviced (waste removal by
the portable restroom company) a minimum of once per day or twice per day for capacity
crowds.
21. SALE, ADVERTISING AND CONSUMPTION OF BEER, ALCOHOL OR CIGARETTES
Promoter agrees that there shall be no beer, alcohol or cigarettes sold or consumed at any of
the proposed events, nor shall there be any inflatables, balloons, or banners advertising beer,
alcohol or cigarettes at any of the proposed events. Promoter agrees to pay a $500 penalty per
day for each violation of this section.
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23. NATURE OF CARNIVAL GAMES AND /OR ACTIVITIES — Promoter agrees that no
games or activities involving the shooting of a gun or weapon, simulated or real, shall be
used in any of the entertainment, including game booths, with the exception of water guns
that are clearly recognizable as such. Promoter also understands and agrees that any gambling
games or games of chance shall be subject to review and removal by the Santa Ana Police
Department, who will ensure that they are fair and legal in nature, and in compliance with
any applicable statutes. A determination by the Santa Ana Police Department that any
particular game is in violation of any statute shall result in the removal of the game. Any City
decision to remove a game will be final.
24. SIZE OF CARNIVAL RIDES — Promoter must bring a list and photos of their proposed rides
to the pre -event meetings. The carnival ride list must be pre- approved by the Park
Superintendent. In addition to minimizing the damage to park property, the City desires a
balance between the number of small, medium and spectacular rides in order to maintain a
family and community environment at these events. Although promoters will be encouraged
to provide only small and medium rides, depending on the venue, up to two spectacular rides
may be allowed. The Park Superintendent must approve the final ride list at, or any time
before, the pre -event meeting. All carnival rides used in City parks shall compy with State
permitting requirements.
25. EVENT STAFF, OFFICE AND SECURITY PARKING — Promoter agrees that there shall be
no overnight camping or privately owned vehicles for the purpose of overnight camping at
the park site. All vehicles (cars, motor homes, trailers, tractor trailers with sleeping
accommodations, motorcycles, etc.) must be parked outside of the park before, during and
after carnival operation hours. The Park Superintendent will identify authorized parking areas
at the pre -event meeting. Promoter is permitted one vehicle within the park site for security
personnel and one vehicle for office purposes. Promoter shall pay a $500 penalty per day for
each violation of this section.
26. DELIVERIES OF SUPPLIES TO VENDORS — Promoter shall be responsible for making
certain the booth vendors are well stocked. Once the event is underway, all deliveries of food,
drink and supplies must be carried via hand trucks or small Daihatsu or Cushman type
vehicles to the booth sites. No trucks or automobiles will be allowed in the program area
during programming hours. Loading and unloading of vendors equipment should be done
prior to and after the event.
27. PERSONNEL TO PLACE AND COLLECT TRAFFIC BARRICADING EQUIPMENT —
Promoter shall provide personnel to assist in placing and collecting the traffic barricades and
equipment, under the supervision of the Police Department, before and after each day's
event. Failure by the promoter to place and /or collect traffic barricades and /or equipment will
result in City staff or a separate contractor completing this work at Promoter's expense.
28. RENTAL OF TRAFFIC CONTROL EQUIPMENT — Promoter shall be required to pay for
the rental of specific traffic control equipment, as required by the Police Department.
29. PERSONNEL PARKING - Promoter shall instruct all personnel to park in areas indicated on
the approved plot plan. Promoter personnel who fail to park vehicles in pre- approved
designated areas may be subject to citation and /or towing at the vehicle owner's expense.
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30. EVENT PARKING AND REQUIRED SIGNAGE - Promoter shall be required to post signs
before the start of the event in both English and Spanish stating "No Event Parking" at the
entrances to the local neighborhoods and businesses during the full duration of the carnival.
Promoter shall ensure that these signs remain in place through the duration of the event.
Promoter shall pay a $500 penalty for each violation of this section.
31. PERSONNEL AT ENTRANCES TO NEIGHBORHOOD — Promoter must provide soft
security personnel (licensed as specified in Item V.A.15.) to work at designated
neighborhood entrances in close proximity to the park. A minimum of two (2) persons, plus
necessary directional signage, shall be stationed at each of the housing tract entrances during
all event program hours in order to deter event participants from parking in the residential
areas adjacent to the event. Promoter agrees to pay a $500 penalty per day for each violation
of this section.
32. POLICE DEPARMENT REQUIREMENTS — Santa Ana Police Department officers will be
required during event hours to enhance the security of the event. The number of officers
needed will be based on factors such as the size of the event, expected attendance, and recent
area activity. Promoter will be informed of the number of additional officers needed at the
pre -event meeting described in Item IV.A.18. The Police Department will arrange the
necessary police staffing for the event. Promoter is responsible for all Santa Ana Police
Department regular and overtime costs for the event. In the event that the event is rained out
or otherwise cancelled on short notice, the promoter will be responsible for a minimum of 4
hours of over -time costs.
33. LIGHTING — Where applicable, the City will turn on ball field and safety lighting to help
light the carnival. Promoter is responsible for providing all other lighting to ensure that all
areas of the carnival are adequately lit throughout the duration of the event. Promoter agrees
to pay a $500 penalty per day for each violation of this section.
34. NEIGHBORHOOD BOOTHS — Promoter shall provide the local neighborhood associations
with a booth for marketing and fundraising. This booth will be in addition to the 20 booths
described in Section II. No sales are allowed at these booths. Booth shall include a 10x10
canopy, one 6 foot table, two chairs and adequate lighting.
35. ANIMALS — No petting zoos, pony rides, or any other animals are allowed at the carnival.
36. MASSAGE — No massage booths or massages are allowed at the carnival.
37. DISSALLOWED ITEMS — Blow horns, slingshots, knifes, and adult items (sexual in nature).
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NON - EXCLUSIVE AGREEMENT TO PROVIDE CARNIVALS AT CITY PARKS
THIS AGREEMENT, made and entered into this 6th day of February, 2011 by Robert Acosta &
Associates (hereinafter "Promoter "), 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
On December 7, 2011, the City issued Request for Proposals, No. 11 -068 - PRCSA, seeking carnival
Promoters to provide carnivals at specified City owned parks.
Promoter submitted a proposal to provide carnival services.
Promoter represents that Promoter is able and willing to provide carnival services to the City as specified in
the Request for Proposals No. 11-068 -PRCSA and any addendums thereto.
In undertaking the performance of this Agreement, Promoter represents that it is knowledgeable in its field
and that any services performed by Promoter under this Agreement will be performed in compliance with
such standards as may reasonably be expected from a professional carnival Promoter in the field.
NOW THEREFORE, in consideration of the mutual and respective promises set forth herein, and
subject to the terms and conditions hereinafter set forth, the parties agree as follows:
1. PREMISES AND USE
(A) The City of Santa Ana owns the following community parks ( "Parks ") within its boundaries:
Rosita Park, located at 706 N. Newhope, Santa Ana; Cesar Chavez / Campesino Park, located at 3311 W.
5th St, Santa Ana; and Delhi Park, located at 2314 S. Halladay St., Santa Ana. City hereby grants to the
Promoter a non - exclusive, revocable user agreement to encroach upon the specific areas of the above
stated Parks ( "Carnival Areas ") delineated in the renderings of the Parks attached hereto and collectively
referenced as Exhibit "A ", for the purpose of providing carnivals and for no other purpose. Promoter shall
provide one (1) carnival ( "Carnival Event ") at each location during the term of this Agreement on dates
approved by the Executive Director of Parks, Recreation and Community Services Agency, as set forth in
Section 3 hereof.
(B) The right and permission of Promoter is subordinate to the prior and paramount right of the
City to use the City owned Parks described herein above in its entirety for public purposes to which it
presently is and may, at the option of the City, be devoted. Promoter agrees to use the Carnival Areas at
all times in such manner as will not unreasonably interfere with the full use and enjoyment of the Parks
by the City, its residents and guests.
(C) Promoter hereby acknowledges that title to the Parks is vested in the City and agrees never
to assail or challenge the same, and further agrees that Promoter's use and occupancy of the Carnival
Area within the Parks shall be limited solely to the permission for such use and occupancy granted herein.
(D) As a covenant to this Agreement, Promoter agrees to adhere to and comply with all of the
terms, conditions and responsibilities enumerated in the Request for Proposals, RFP 11 -068 - PRCSA,
issue date December 7, 2011 , and Addendum No. 1 thereto (hereinafter, collectively "RFP ") attached
hereto as Exhibit "B" and incorporated herein by reference. Any failure to adhere to and comply with the
terms, conditions and responsibilities enumerated in the RFP shall be deemed a breach of this Agreement
and of the RFP.
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(E) The parties hereto agree that if, at the sole discretion of the City, a Carnival Event should not
proceed on the dates set forth in Section 3 hereof due to foul or inclement weather, the City at its
discretion may grant Promoter alternative dates for the conducting of the Carnival Events within the term
of this Agreement. If Promoter desires to obtain alternative dates as provided in this paragraph, Promoter
must timely request the same from City.
SCOPE OF SERVICES
Promoter shall provide at each of the Parks identified a full service carnival complete with the
rides, equipment and services as set forth in the RFP (Exhibit B) to this Agreement. Provider, if it
contracts with an Operator to provide carnival attractions, shall require such Operator to fully comply
with all the terms and conditions of this Agreement regarding the provision of carnival services, including
insurance requirements. Not later than sixty (60) days prior to the staging of any carnival event, Promoter
shall obtain the written approval of the Executive Director of Parks, Recreation and Community Services,
of any such Operator. Promoter shall not utilize a different operator without first obtaining the written
permission of the Executive Director.
3. FEES/DEPOSITS/PERMITS/LICENSES
At least 10 days prior to the commencement date of each Carnival as set forth below, Promoter
shall pay to City the applicable fee for use of the Carnival Area as further set forth below.
Promoter agrees to pay the City and City agrees to accept from Promoter the following fees per
Carnival Event.
Park/ Carnival Dates
Fee
Max Event Size
Rosita Park June 8 -10
$4,500.00
16 Carnival Rides
Cesar Chaves /Cam esino October 7 -9
$4,500.00
14 Carnival Rides
Delhi Park October 21 -23
$4,500.00
14 Carnival Rides
$13,500.00
*Note: Each carnival may host 12 Game Booths and 20 food / information booths. One booth is
equal to one 10x10 canopy area. A maximum ten 10 x 10 cooking booths will be allowed (or five 10 x
20). The remainder can be non - profit, commercial or sponsorship booths. Please include in your plot plan
what goods and services each of these booths will offer and the dimension of each booth. The City must
approve all goods and services sold at commercial booths. Massage booths are not allowed
In addition to the fees set forth herein, Promoter shall pay all required City fees and deposits
including the fees for police services and Park clean up, and obtain all required permits and licenses as
detailed in the RFP, Exhibit B hereto. All fees and deposits shall be due and payable as set forth in the
RFP. Additionally, failure to pay the cleanup /damage deposit and/ or any other outstanding balances and
fees a minimum of ten (10) business days prior to the start of the event will result in a penalty of $500 per
day. The vendor will not be allowed to start an event if there is an unpaid balance. Vendor is subject to
other monetary penalties for failure to perform as set forth throughout the RFP.
4. SECURITY DEPOSIT
Contemporaneously with the execution of this Agreement, Promoter shall deposit with City the
additional sum of $5,000.00 as a security deposit. The deposit shall be held by City, without liability for
interest, as security for the faithful performance by Promoter of all the terms, covenants, and conditions of
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this Agreement to be kept and performed by Promoter during the Term of this Agreement, or any
extension thereof, and including the removal of Promoter's facilities as set forth herein. Assuming
successful completion of all terms and conditions of this Agreement, including those within the RFP, the
security deposit, or any remaining portion thereof, and any unused fees shall be returned within 60 days
of the final carnival activity provided for in the RFP.
5. TERM
This Agreement shall commence on the date first written above and terminate on December 31,
2012 unless tenninated earlier in accordance with this Agreement. The term of this Agreement may be
extended for an additional 1 year term at the City's sole discretion through a writing executed by the
Executive Director of the Parks Recreations and Community Services Agency and the City Attorney.
6. NON - POSSESSORY INTEREST
City retains full possession of the Park and Carnival Area and Promoter will not acquire any
interest temporary, permanent, irrevocable, possessory or otherwise by reason of this Agreement, or by
the exercise of the permission given herein. Promoter will make no claim to any such interest. Any
violation of this provision will immediately void and terminate this Agreement.
7. NON RECORDING
Neither party shall record this Agreement
8. RECORD KEEPING AND AUDIT
A. Promoter shall establish and maintain separate accounting records for each Carnival
Event at the specified Parks. Promoter's accounting system shall conform to generally- accepted
accounting principles and all records shall provide a breakdown of total costs and revenues associated
with the Park Carnival Events.
B. All Promoter's records of revenues and repairs pertaining to the Carnival Events
referenced herein shall be kept for the duration of this Agreement and made available at all times for audit
by City upon request
9. INDEPENDENT CONTRACTOR
Promoter 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 Promoter performs the services which are the
subject matter of this Agreement; however, the services to be provided by Promoter shall be provided in a
manner consistent with all applicable standards and regulations governing such services. Promoter 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.
10. INSURANCE
Prior to undertaking performance of any work relative to a Carnival Event under this Agreement,
Promoter shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as
described below:
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a. Commercial General Liability Insurance. Promoter and each of its operators and
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 the operations or
performance of this Agreement by Promoter, its operators or subcontractors, including, without
limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single
limit coverage applying to bodily and personal injury, including death resulting therefrom, and property
damage, in the total amount of $5,000,000 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.
A. Business automobile liability insurance, or equivalent form, with a combined
single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned,
hired and non -owned automobiles.
B. Worker's Compensation Insurance. In accordance with the provisions of Section
3300 of the Labor Code, Promoter, if Promoter 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, Promoter agrees to obtain and maintain any employer's liability
insurance with limits not less than $1,000,000 per accident.
C. The following requirements apply to the insurance to be provided by Promoter
pursuant to this section:
i. Promoter 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; and shall state as follows:
"The above detailed coverage is not subject to any deductible or
self - insured retention, or any other form of similar type limitation. "
iv. A complete and signed certificate of insurance with all endorsements required by
this Section shall be filed with City prior to the execution of this Agreement. At
least thirty (30) days prior to the expiration of any such policy, a signed and
complete certification of insurance showing that coverage has been renewed,
shall be filed with the City.
V. If the certificate of insurance is in the name of the carnival Promoter it shall
include the name of the carnival promoter as additionally insured.
E. If Promoter 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.
Promoter agrees to indemnify the City for any work performed prior to approval of insurance by the City.
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11. INDEMNIFICATION
Promoter agrees to and shall protect, defend, indemnify and save and hold harmless the City, its
officers, agents, employees, special counsel, and representatives from liability, loss, damage, expense or
cost: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising
out of claims for personal injury, including death, and claims for property damage, which may arise from
the direct or indirect operations of the Promoter or its operators, contractors, subcontractors, agents,
employees, or other persons acting on their behalf which relates to the services described in Sections 1, 2
and 3 of this Agreement; and (2) from any claim that personal injury, damages, just compensation,
restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this
Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just
compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason
of the events referred to in this Agreement or by reason of the terms of, or effects, arising from this
Agreement. The Promoter further agrees to defend, indemnify, hold harmless, and pay all costs for the
defense of the City, including fees and costs for special counsel to be selected by the City, regarding any
action by a third party challenging the validity of this Agreement, or asserting that personal injury,
damages, just compensation, restitution, judicial or equitable relief due to personal or property rights
arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable
decisions with respect to its representation in any legal proceeding.
Promoter shall protect, defend, indemnify and save and hold harmless the City, its officers, officials,
employees, and agents from and against any and all liability, loss, damage, expenses, costs (including
without limitation costs and fees of litigation of any nature) arising out of or in connection with
Promoter's performance of this Agreement or any failure to comply with any of Promoter's obligations
contained in this Agreement by Promoter, its officers, agents, employees or contractors.
12. TRASH/UTILITIES /CLEANUP
Promoter is responsible for the collection and disposal of all trash as specified in the RFP (Exhibit
B) including the providing of the required 40 yard roll -off dumpsters. Promoter is responsible for the
continuous cleaning of the City Park, including the restrooms, at all times while acting pursuant to this
Agreement as set forth in the RFP. The area to be cleaned includes the parking lots and the surrounding
neighborhood and streets. Further, with the exception of the City supplying two (2) potable water
hookups as set forth in the RFP, Promoter is responsible for supplying all utilities to be used during the
Carnival Events, including supplying the required portable toilets as specified in the RFP. Persons
performing clean -up shall be employees or subcontractors of the vendor.
13. HAZARDOUS MATERIALS
Promoter represents and warrants that its use of the Carnival Area herein will not generate any
hazardous substance, and Promoter will not store or dispose on the Park and /or Carnival Area nor
transport to or over the Park and /or Carnival Area any hazardous substance. Promoter further agrees to
clean -up and remediate any hazardous substance on the Park and /or Carnival Area and Property, and hold
City harmless from and indemnify City against any release of any such hazardous substance and any
damage, loss, or expense or liability resulting from such release including all attorneys' fees, costs and
penalties incurred as a result thereof except any release caused by the negligence of City, its employees or
agents. "Hazardous substance" shall be interpreted broadly to mean any substance or material defined or
designated as hazardous or toxic waste, hazardous or toxic material, hazardous or toxic or radioactive
substance, or other similar term by any federal, state or local environmental law, regulation or rule
presently in effect or promulgated in the future, as such laws, regulations or rules may be amended from
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time to time; and it shall be interpreted to include, but not be limited to, any substance which after release
into the environment will or may reasonably be anticipated to cause sickness, death or disease.
14. WASTE OR NUISANCE
Promoter shall not commit or permit the commission by others of any waste on the Park or
Carnival Areas. Promoter shall not maintain, commit, or permit the maintenance or commission of any
nuisance as defined in Section 3479 and /or Section 3480 of the California Civil Code on the Park or
Carnival Areas; and Promoter shall not use or permit the use of the Park or Carnival Areas for any
unlawful purpose.
15. PUBLIC NECESSITY
City may immediately temporarily suspend operation of this Agreement and the Carnival Event
in the event of public necessity or emergency, as may be determined by the City Manager. Such
suspension will terminate when the public necessity or emergency no longer exists.
16. ON -SITE OFFICE
One (1) trailer -type vehicle will be allowed to park in the Carnival Area, in a location pre-
determined by the Park Superintendent, to be used exclusively as a business office by Promoter. This
vehicle must be equipped as an office and used only as such. Under no circumstances is this vehicle to be
used for sleeping accommodations while on Park premises. The office vehicle will be allowed on the
premises for the period provided for all other carnival equipment pursuant to the RFP.
Promoter shall be at the carnival site during the entire event, including set -up and take -down. If
Promoter is must be absent from the site, he shall ensure a supervisor, authorized to act on behalf of
Promoter, is present.
17. LIENS
Promoter will not permit any mechanics' or materialmens' or other liens to stand against the City
Park or Carnival Area by reason of any use or occupancy by Promoter, or any person claiming under
Promoter.
18. TERMINATION IN THE EVENT OF CASUALTY OR CONDEMNATION
In the event of any damage, destruction or condemnation of the Park and /or Carnival Area, which
renders the Park and / or Carnival Area unusable or inoperable in Promoter's judgment, Promoter shall
have the right, but not the obligation, to terminate the Agreement with respect to the subject Carnival
Area by giving written notice to the City within thirty (30) days after such damage, destruction or
condemnation. If by virtue of such damage, destruction or condemnation, City determines that the Park
and / or Carnival Area is no longer adequate for Promoter to continue its operations, or any repairs to the
Park and / or Carnival Area to remedy such damage, destruction or condemnation have not been
completed or cannot reasonably be completed outside of forty-five (45) days from the date of the up
coming scheduled carnival, City may terminate this Agreement upon thirty (30) days written notice to
Promoter.
In the event of condemnation, unless Promoter is allowed by the condemning authority to
continue its operations in the Carnival Area, this Agreement shall terminate as of the date title to the
Property vests in the condemning authority or Promoter is required to cease its operations, whichever is
•
earlier. If any property described herein or hereinafter added hereto is taken in eminent domain, the entire
award shall be paid to City.
19. TERMINATION
This Agreement may be terminated by the City without cause upon thirty (30) days written notice
of termination. City may terminate this Agreement for cause upon three (3) days written notice for any
violation of the terms contained herein.
20. DEFAULT BY PROMOTER
Should Promoter default in the performance of any of the terms, conditions, or obligations
contained in this Agreement, City may, in addition to the remedies specified elsewhere in this Agreement
and the attached RFP, re -enter and regain possession of the Carnival Area in the manner provided by the
laws of unlawful detainer of the State of California then in effect.
21. INSOLVENCY OF PROMOTER
The insolvency of Promoter as evidenced by a receiver being appointed to take possession of all
or substantially all of the property of Promoter, or the making of a general assignment for the benefit of
creditors by Promoter, or the filing of a petition in bankruptcy shall terminate this Agreement and entitle
City to re -enter and regain possession of the Carnival Area.
22. CUMULATIVE REMEDIES
The remedies given to City in this Agreement shall not be exclusive, but shall be cumulative and
in addition to all remedies now and hereafter allowed by law or elsewhere provided in this Agreement.
23. WAIVER OF BREACH
The waiver by City of any breach by Promoter of any of the provisions of this Agreement shall
not constitute a continuing waiver or a waiver of any subsequent breach by Promoter either of the same or
another provision of this Agreement.
24. CONFLICT OF INTEREST CLAUSE
Promoter 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.
25. 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, addressed to the party concerned as follows:
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
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Fax 714- 647 -6956
With courtesy copies to:
Executive Director of Parks, Recreation and Community Services
City of Santa Ana
20 Civic Center Plaza (M -23)
P.O. Box 1988
Santa Ana, California 92702
and
City Attorney
City of Santa Ana
20 Civic Center Plaza (M -29)
P.O. Box 1988
Santa Ana, California 92702
Fax 714 - 647 -6515
To Promoter: Robert Acosta & Associates
Attn: Robert Acosta
74450 Fairview Drive
Palm Desert, CA 92660
Fax 760 - 836 -0410
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. For
purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be
excluded.
26. CONTRACT ADMINISTRATOR
The Executive Director of Parks Recreation and Community Services Agency, or his /her
designee, shall be City's Contract Administrator for this Agreement and all approval and notices required
to be given herein shall be so directed and addressed.
27. COMPLIANCE WITH LAWS
Promoter shall obtain and maintain a permit issued by the Division of Industrial Safety of the
Department of Industrial Relations of the State of California. In addition, Promoter shall, at Promoter's
own cost and expense, comply with all statutes, ordinances, regulations, and requirements of all
governmental entities, including federal and state, county and municipal, relating to Promoter's use and
occupancy of the Park and Carnival Area and Promoter's facilities whether such statute, ordinances,
regulations, and requirements be now in force or hereinafter enacted. The judgment of any court of
competent jurisdiction, or the admission by Promoter in a proceeding brought against Promoter by any
government entity, that Promoter has violated any such statute, ordinance, regulation, or requirement shall
be conclusive as between City and Promoter and shall be considered grounds for termination of this
Agreement by City. Promoter will obtain all permits and other governmental approvals, required in
connection with Promoter's activities hereunder, and update such permits /approvals as necessary.
W
28. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Promoter,
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, including the RFP, 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 Promoter. 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 parties, which are not embodied herein.
29. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Promoter, Promoter
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 Promoters retained by City.
30. NON - DISCRIMINATION
Promoter 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.
Promoter affirms that it is an equal opportunity employer and shall comply with all applicable federal,
state and local laws and regulations.
31. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity,
interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined
and governed by the laws of the State of California. Both parties further agree that Orange County,
California, shall be the venue for any action or proceeding that may be brought or arise out of, in
connection with or by reason of this Agreement.
32. ATTORNEY'S FEES
Except as otherwise provided in this Agreement, in the event suit is brought by either party to
enforce the terms and provisions of this Agreement or to secure the performance hereof, each party shall
bear its own attorney's fees.
33. PROFESSIONAL LICENSES
Promoter 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. Promoter 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.
34. BINDING ON HEIRS AND SUCCESSORS
This Agreement shall be binding on and shall inure to the benefit of the heirs, executors,
administrators, successors, and assigns of the parties hereto. The provisions of this Section shall not be
deemed to be a waiver of any of the conditions against assignment set forth herein.
35. SURVIVAL
Terms and conditions of this Agreement, which by their sense and context survive the
termination, or expiration of this Agreement, shall so survive
36. MISCELLANEOUS PROVISIONS
A. Each undersigned represents and warrants that its signature hereinbelow has the power, authority
and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City
fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such
authority or power is not, in fact, held by the signatory or is withdrawn.
B. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the
body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year
first above written.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
JOSEPH STRAKA
Interim City Attorney
By:
Laura Sheedy
Assistant City Attorney
CITY OF SANTA ANA
PAUL M. WALTERS
Interim City Manager
ROBERT ACOSTA & ASSOCIATES
ROBERT ACOSTA
Owner
Tax ID #
10
20B -50
EXHIBIT A
PARK LOCATION MAPS
11
20B -51
EXHIBIT B
A. PROMOTER'S RESPONSIBILITIES
REQUIRED CLEANUP /DAMAGE DEPOSIT - Upon selection, Promoter must provide a
$5,000 refundable damage /clean -up deposit to the City of Santa Ana, Parks, Recreation and
Community Services Agency a minimum of ten (10) business days before the start date of the
event. Monies will be deducted from the deposit for repair of any damages incurred, cleanup
of the park, unforeseen security or staff costs, or any other charges caused by the event. Any
remaining monies from the deposit will be refunded to Promoter at the conclusion of the
carnival season. Should costs incurred by the City (as stated above) be greater than the total
deposit, the Promoter will be invoiced for the balance due. The Promoter will be required to
submit the balance due 10 days prior to conducting another event. The deposit balance shall
remain at $5,000 during the term of the agreement.
Promoter agrees that failure to pay the cleanup /damage deposit and /or any other outstanding
balances and fees a minimum of ten (10) business days prior to the start of the event will
result in a penalty of $500 per day penalty. Promoter will not be allowed to start an event if
there is an unpaid balance due.
2. CLEANUP DURING AND AFTER THE EVENT — Promoter agrees that it has full
responsibility for continuously cleaning the park by removing all trash and debris on the
ground, removing trash from the park receptacles and replacing liners and cleaning /sanitizing
restrooms from the time the first Promoter employee arrives at the park site for set up until
the last Promoter employee leaves the park. Furthermore, Promoter agrees to be responsible
for cleanup of the event site and the surrounding areas after the event. Promoter agrees to
arrange for trash pick -up in the parking lots and surrounding neighborhood after each day at
Promoter's expense. Persons performing clean -up shall be employees or subcontractors of the
Promoter. Failure to provide continuous clean -up will result in dispatching City staff to
perform this work at Promoter's expense or the City hiring a private contractor to perform the
work at Promoter's expense plus a $500 penalty for each day Promoter fails to perform this
responsibility.
3. STREET SWEEPING —If street sweeping is necessary due to trash left from pedestrian and
vehicular traffic and Promoter fails to perform as required above, the City will arrange for the
parking lots and major streets surrounding the park to be swept on the day following the last
day of the event at Promoter's expense. Furthermore, Promoter agrees to pay a $500 penalty
for failure to perform this responsibility.
4. DUMPSTERS — Promoter is responsible for providing the appropriate number of 40 yard
roll -off dumpster(s) to collect trash for the event. The dumpster(s) must be removed by 3:00
p.m. of the second day following the conclusion of the event. Promoter agrees to pay a
penalty of $500 per day that the dumpsters are not provided and removed as indicated.
5. REQUIRED PLOT PLAN AND PLAN CHECK PROCESS — Promoter must provide a plot
plan utilizing the land use certificate format for the overall equipment set up by a minimum
of ten (10) business days before the event. The plot plan must include entrances, exits, all
necessary barricading, detailed location of all rides, booths, restrooms, electrical equipment,
12
20B -52
etc. Promoter shall indicate number and name of rides on the plot plan, and the name and
number of other types of carnival units such as repair and supply units they would like to
have on the park. This plot plan is required by the Police Department, the Fire Department,
the Planning and Building Agency (Electrical Division), the Parks, Recreation and
Community Services Agency, and the Orange County Health Department. Promoter must
walk the plot plan through the City Planning and Building Agency -Plan Check Section, 20
Civic Center Plaza, Ross Annex. For further information on the plan check process, please
contact the Santa Ana Police Department at (714) 245 -8718 or (714) 245 -2709. Copy of
approved plot plan must be provided to the Santa Ana Police Department and to the Parks,
Recreation and Community Services Agency. Promoter agrees to pay a $500 penalty per day
for each day late in providing the plot plan.
6. CARNIVAL LICENSE FEE— Promoter shall pay the required carnival license fees a
minimum 10 days prior to each event. Checks shall be made payable to "The City of Santa
Ana ".
7. FIRE AND ELECTRICAL INSPECTION — Ten (10) business days prior to the event,
Promoter shall schedule appointments with the Santa Ana Fire Department and the Santa Ana
Planning and Building Agency for an electrical inspection of all generators, carnival
equipment, and booths to be used at the carnival. Promoter agrees to pay a $500 penalty per
day for each day late in scheduling appointments as indicated. No more than ten (10) 10 x 10
cooking booths will be allowed (or five 10 x 20). Complete event rules and regulations will
be provided to Promoter at plan check and copies shall be provided to each booth operator by
Promoter. Promoter shall provide all event electricity. Hookups to park electrical outlets will
not be permitted. All vendors must be set -up and ready for inspection by 4:00 p.m. on the
first day of the carnival. Promoter agrees to pay a $500 penalty per day for each violation.
O.C. HEALTH DEPARTMENT REQUIREMENTS — Promoter must obtain food permits
and food booth inspections from the Orange County Health Department a minimum of ten
(10) business days before the event. Any booths or vendors not receiving prior approval from
the Orange County Health Department will not be allowed to operate. Food booths are only
allowed to operate for the duration of the event during event hours only. To obtain food
permits and schedule booth inspections, Promoter must contact the Orange County Health
Department at (714) 667 -3610. Promoter agrees to pay a $500 penalty per day for each day
late in securing food permits and food booth inspections. Furthermore, Promoter shall pay a
$500 penalty per day for each food booth discovered operating without prior approval of the
O.C. Health Department. Parks and Recreation will provide two (2) potable water hookups
during the entire event. These water hookups are to be used ONLY for sanitation purposes in
compliance with the Orange County Department of Health regulations, and are not for
camping or refreshment preparation use. Promoter shall pay a $500 penalty per day for each
violation.
9. REQUIRED PERMIT FROM BUSINESS LICENSE OFFICE FOR BOOTH VENDORS
(BUSINESSES AND /OR NON - PROFIT ORGANIZATIONS) — Promoter is responsible for
supplying the Business License Office with a list of pre- approved potential vendors before
sending vendors to the Business License Office, in order to avoid unapproved vendors from
vending during the event, or Promoter may collect all the necessary information and fees
from the vendors and submit the entire packet to the Business License Office a minimum of
13
20B -53
five (5) days prior to the commencement of the event. Promoter shall pay a $500 penalty per
day for each day late in submitting /paying the packet to the Business License Office.
All vendors, business or non - profit organizations (selling or information only), which vend
on City Property are required to possess a City of Santa Ana Business License. Businesses
who do not have a current City of Santa Ana Business License can obtain a One -Day
Peddler /Solicitor license. Non - Profit Organizations are required to obtain a Fee - Exempt
status through the Business Tax Office. This is a once a year registration fee. For more
information the Business Tax Office can be contacted at (714) 647 -5447. The Business Tax
Office is located at 20 Civic Center Plaza, Rm. 1100, Santa Ana, CA 92702. Promoter agrees
to pay a $500 penalty per day for each booth operating without a City Business License.
10. CONTACT WITH NEIGHBORHOOD ORGANIZATIONS — Promoter shall send a letter to
the neighborhood associations adjacent to the park where the carnival is to be conducted
informing them of the event and to gain their organization's support for the planned activity
at the park during the scheduled times and dates, a minimum of ten (10) business days before
the event. The Community Development Agency will provide contact information to the
Promoter for a particular neighborhood upon request. Promoter shall submit copy of signed
letter, on the organization's letterhead, to the Santa Ana Police Department and to the Parks,
Recreation and Community Services Agency a minimum of ten (10) business days before the
event. The Community Development Agency can be contacted by calling (714) 647 -5360.
Promoter agrees to pay a $500 penalty for each violation of this section.
11. CONTACT WITH NEIGHBORHOOD RESIDENTS — At least 72 hours prior to each
carnival event, Promoter must post a sign or send flyers to the neighborhood surrounding the
park informing them that the event will take place. Signs or flyers must be in English and
Spanish. Promoter shall pay a $500 penalty for each violation of this section.
12. CONTACT WITH BUSINESS ORGANIZATIONS - Promoter must send a letter a
minimum of ten (10) business days before the event to each business owner within a quarter
mile radius of the carnival site, notifying them of the dates and times of the event, and what
precautions should be taken to prevent program participants from parking in the surrounding
business parking lots. Promoter shall pay a $500 penalty for each violation of this section.
13. REQUIRED EVENT PERSONNEL — A minimum number of uniformed, state licensed
security personnel contracted through a private bonded security company will be required
each day of the event. Promoter shall provide the designated amount of soft security as
specified by the Santa Ana Police Department prior to or on the date of the pre -event
meeting. The Santa Ana Police Department may modify the number of security required as it
sees fit, due to specifications in the scale and activities to be held at the event, and /or recent
activity in the park and surrounding areas. Security personnel must be present 30 minutes
prior to the beginning of the event each day and must stay a minimum of one (1) hour after
the completion of the event each day or until the park is clear, to help prevent any possible
disruptions. All security officers must carry two -way radio equipment to enable them to
communicate with all other security personnel. All security personnel must wear highly
visible attire (security vest, jacket) identifying them as security officers. None of the security
company personnel may be armed. A copy of the signed agreement with the security
company must be provided a minimum of ten (10) business days prior to the event. Promoter
shall pay a $500 penalty per day for each violation of this section. Furthermore, if it is
14
20B -54
discovered that the security deployment is less than the City's mandated level of security the
City may elect to dispatch, at Promoter's expense SAPD and /or Park Ranger's to bring the
security levels up to the agreed upon level.
14. REQUIRED LICENSE FOR SOFT SECURITY - The soft security organization must obtain
clearance from the City of Santa Ana Police Department. Arrangements for clearance to be
obtained can be made by calling (714) 245 -8718 or (714) 245 -2709. Promoter agrees to pay a
$500 penalty for failure to perform this responsibility.
15. POLICE DEPARTMENT REQUIREMENTS — The security company to be used by the
promoter must be pre- approved by the Santa Ana Police Department. Promoter must provide
the Police Department with the names of the contact persons representing the carnival vendor
and contracted security company. At least one of those security company contacts must have
access to a cell phone to be used in case the Santa Ana Police Department needs to be called
for assistance. The promoter will be required to turn in a completed Land Use Certificate
form, site plan and Security Guard contract to the Police Department. The security Guard
contract shall include the following supplemental information:
The Security Officer in charge, name and cell number
A list of names, guard card numbers and copy of guard cards of the security officers assigned
to the event. Guards will be required to produce their guard card on demand during the event
if requested by the Police Officers assigned to the carnival. If the guard fails to provide said
card he shall be immediately replaced by the contracted guard company with an officer who
has a guard card.
Promtoer must also have a minimum of two (2) Santa Ana Police Department Officers
present at all carnivals during agreed upon hours of event operation. In addition, one (1)
motor officer will be required at Jerome and Cesar Chavez /Campesino locations. If the
number of officers required exceeds two officers, Promoter shall not be responsible for the
payment of costs for more than four officers. Promoter will also provide the Police
Department with a booth at these events. The Police Department will coordinate necessary
police assistance for the event at Promoters' expense.
16. ADDITIONAL POLICE /FIRE/PARK PERSONNEL — Promoter agrees that if a disturbance
occurs due to the operations of the carnival and additional Police, Fire or Parks personnel
assistance is required, promoter will pay those additional expenses.
17. PRE -EVENT AND POST EVENT INSPECTIONS WITH PARK PERSONNEL — Promoter
must arrange to meet with the Park Supervisor by calling (714) 448 -9127, to schedule a walk
through the park before and after the event. The pre- inspection and post- inspection meetings
will determine the condition of the sites before and after the event. A pre- inspection meeting
must occur on the Tuesday prior to the carnival event. Promoter must bring the proposed plot
plan to this meeting. Promoter shall not set up until pre- inspection has been completed. Set
up prior to event date and /or before the pre- inspection meeting will result in a fine of $1,000
per day and may lead to a suspension of future events.
A post- inspection meeting shall be completed on the second day following the carnival
activity at 2:00 pm., unless otherwise stipulated by representatives of the Santa Ana Police
15
20B -55
Department and the Parks, Recreation and Community Services Agency. Failure to do so will
result in a fine of $1,000 per day and may lead to a suspension of future events.
Promoter agrees that the Park Supervisor shall be the final authority regarding interpretations
of the sites existing conditions both before and after the event. Failure by the promoter to set
and attend these meetings will result in the Park Supervisor performing the walk through of
the park site without the promoter and all conditions recorded by the Park Supervisor shall be
deemed as accurate and final.
18. PROTECTION OF FIELD AND TURF — Promoter shall be responsible for placing the
carnival equipment in a way as not to cause damage to the park turf or irrigation system
(sprinkler heads, etc). Such precautions may include painting around or covering the
sprinkler heads with a "metal disk ", or whatever efforts are necessary to protect the irrigation
equipment at Promoter's expense. Funds to repair damages incurred to the turf or irrigation
equipment due to the carnival event will be deducted from the security deposit. In the event
that the cost of damages exceeds the deposit amount, Promoter must pay the balance within
ten (10) days of the conclusion of the event. All concerns must be resolved prior to
continuing with future events. Failure to do so may result in the suspension and or voiding of
contract with Promoter.
19. CARNIVAL EQUIPMENT SET UP AND REMOVAL -None of the equipment may be
moved into the park prior to the completion of the pre -event inspection meeting and /or 9:00
am on the Tuesday before a carnival event is to be held. All equipment must be removed no
later than 2:00 pm on the Tuesday following the conclusion of a carnival event, unless
approved in writing by the Park, Recreation and Community Services Agency. No carnival
equipment may be stored on City streets or parks. There will be a $1,000 fee per day for
equipment arriving earlier or left in the park later than the above stated times.
20. CARNIVAL HOURS — The carnival may not operate earlier than noon each day and no later
than 11:00 p.m. on Thursday (if applicable), Friday and Saturday and no later than 10:00 p.m.
on Sunday. Carnivals operating on Monday may play until 11:00 p.m. on Sunday night and
10:00 p.m. on Monday night. Ticket sales and food sales must stop one half hour prior to the
scheduled carnival closing time. Promoter agrees to pay a $500 penalty per day for each
violation of this section.
21. PORTABLE RESTROOMS — Promoter shall provide a minimum of seven (7) portable
toilets, with one of those toilets designed specifically for disabled persons. The toilets shall
be placed no later than noon on the Thursday prior to the event and must be removed by 2:00
pm on the Monday following the conclusion of the event. Two (2) of the portable toilets must
be delivered by the Tuesday prior to the event for use by Carnival workers during event set
up. Promoter is responsible for arranging for portable toilets to be serviced (waste removal by
the portable restroom company) a minimum of once per day or twice per day for capacity
crowds.
21. SALE, ADVERTISING AND CONSUMPTION OF BEER, ALCOHOL OR CIGARETTES
Promoter agrees that there shall be no beer, alcohol or cigarettes sold or consumed at any of
the proposed events, nor shall there be any inflatables, balloons, or banners advertising beer,
alcohol or cigarettes at any of the proposed events. Promoter agrees to pay a $500 penalty per
day for each violation of this section.
16
20B -56
23. NATURE OF CARNIVAL GAMES AND /OR ACTIVITIES — Promoter agrees that no
games or activities involving the shooting of a gun or weapon, simulated or real, shall be
used in any of the entertainment, including game booths, with the exception of water guns
that are clearly recognizable as such. Promoter also understands and agrees that any gambling
games or games of chance shall be subject to review and removal by the Santa Ana Police
Department, who will ensure that they are fair and legal in nature, and in compliance with
any applicable statutes. A determination by the Santa Ana Police Department that any
particular game is in violation of any statute shall result in the removal of the game. Any City
decision to remove a game will be final.
24. SIZE OF CARNIVAL RIDES — Promoter must bring a list and photos of their proposed rides
to the pre -event meetings. The carnival ride list must be pre- approved by the Park
Superintendent. In addition to minimizing the damage to park property, the City desires a
balance between the number of small, medium and spectacular rides in order to maintain a
family and community environment at these events. Although promoters will be encouraged
to provide only small and medium rides, depending on the venue, up to two spectacular rides
may be allowed. The Park Superintendent must approve the final ride list at, or any time
before, the pre -event meeting. All carnival rides used in City parks shall comply with State
permitting requirements.
25. EVENT STAFF, OFFICE AND SECURITY PARKING — Promoter agrees that there shall be
no overnight camping or privately owned vehicles for the purpose of overnight camping at
the park site. All vehicles (cars, motor homes, trailers, tractor trailers with sleeping
accommodations, motorcycles, etc.) must be parked outside of the park before, during and
after carnival operation hours. The Park Superintendent will identify authorized parking areas
at the pre -event meeting. Promoter is permitted one vehicle within the park site for security
personnel and one vehicle for office purposes. Promoter shall pay a $500 penalty per day for
each violation of this section.
26. DELIVERIES OF SUPPLIES TO VENDORS — Promoter shall be responsible for making
certain the booth vendors are well stocked. Once the event is underway, all deliveries of food,
drink and supplies must be carried via hand trucks or small Daihatsu or Cushman type
vehicles to the booth sites. No trucks or automobiles will be allowed in the program area
during programming hours. Loading and unloading of vendors equipment should be done
prior to and after the event.
27. PERSONNEL TO PLACE AND COLLECT TRAFFIC BARRICADING EQUIPMENT —
Promoter shall provide personnel to assist in placing and collecting the traffic barricades and
equipment, under the supervision of the Police Department, before and after each day's
event. Failure by the promoter to place and/or collect traffic barricades and/or equipment will
result in City staff or a separate contractor completing this work at Promoter's expense.
28. RENTAL OF TRAFFIC CONTROL EQUIPMENT — Promoter shall be required to pay for
the rental of specific traffic control equipment, as required by the Police Department.
29. PERSONNEL PARKING - Promoter shall instruct all personnel to park in areas indicated on
the approved plot plan. Promoter personnel who fail to park vehicles in pre- approved
designated areas may be subject to citation and /or towing at the vehicle owner's expense.
17
20B -57
30. EVENT PARKING AND REQUIRED SIGNAGE - Promoter shall be required to post signs
before the start of the event in both English and Spanish stating "No Event Parking" at the
entrances to the local neighborhoods and businesses during the full duration of the carnival.
Promoter shall ensure that these signs remain in place through the duration of the event.
Promoter shall pay a $500 penalty for each violation of this section.
31. PERSONNEL AT ENTRANCES TO NEIGHBORHOOD — Promoter must provide soft
security personnel (licensed as specified in Item V.A.15.) to work at designated
neighborhood entrances in close proximity to the park. A minimum of two (2) persons, plus
necessary directional signage, shall be stationed at each of the housing tract entrances during
all event program hours in order to deter event participants from parking in the residential
areas adjacent to the event. Promoter agrees to pay a $500 penalty per day for each violation
of this section.
32. POLICE DEPARMENT REQUIREMENTS — Santa Ana Police Department officers will be
required during event hours to enhance the security of the event. The number of officers
needed will be based on factors such as the size of the event, expected attendance, and recent
area activity. Promoter will be informed of the number of additional officers needed at the
pre -event meeting described in Item IV.A.18. The Police Department will arrange the
necessary police staffing for the event. Promoter is responsible for all Santa Ana Police
Department regular and overtime costs for the event. In the event that the event is rained out
or otherwise cancelled on short notice, the promoter will be responsible for a minimum of 4
hours of over -time costs.
33. LIGHTING — Where applicable, the City will turn on ball field and safety lighting to help
light the carnival. Promoter is responsible for providing all other lighting to ensure that all
areas of the carnival are adequately lit throughout the duration of the event. Promoter agrees
to pay a $500 penalty per day for each violation of this section.
34. NEIGHBORHOOD BOOTHS — Promoter shall provide the local neighborhood associations
with a booth for marketing and fundraising. This booth will be in addition to the 20 booths
described in Section II. No sales are allowed at these booths. Booth shall include a 10x10
canopy, one 6 foot table, two chairs and adequate lighting.
35. ANIMALS — No petting zoos, pony rides, or any other animals are allowed at the carnival.
36. MASSAGE — No massage booths or massages are allowed at the carnival.
37. DISSALLOWED ITEMS — Blow horns, slingshots, knifes, and adult items (sexual in nature).
18
20B -58
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE:
APPROPRIATION ADJUSTMENT TO
TRANSFER FUNDS TO THE SUCCESSOR
AGENCY OF THE FORMER
REDEVELOPMENT AGENCY
Z( iA-
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
❑ As Recommended
❑ As Amended
❑ Ordinance on 1s' Reading
❑ Ordinance on 2 "d Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Approve an appropriation adjustment transferring fund balances from the former Community
Redevelopment Agency of the City of Santa Ana to the City, acting as the Successor Agency.
DISCUSSION
The State Supreme Court's decision on the CRA v Matosantos case upheld State Assembly Bill AB1X
26 and required the dissolution of all redevelopment agencies by February 1, 2012. As part of the
dissolution process, on January 9, 2012, City Council adopted a resolution designating the City of
Santa to serve as the Successor Agency for the former Community Redevelopment Agency of the City
of Santa Ana (RDA). On January 30, 2012, the Redevelopment Agency Board adopted a resolution
establishing an amended Enforceable Obligation Payment Schedule to deliver to the Successor
Agency.
Section 34170.5(a) of the dissolution bill requires the Successor Agency to create a Redevelopment
Obligation Retirement Fund within its treasury to administer the former RDA's assets, properties,
contracts, and leases. The former RDA fund balances will be transferred to the City, acting as the
Successor Agency, in order to continue making payments against the amended Enforceable Obligation
Payment Schedule.
FISCAL IMPACT
Funds will be transferred from the former Redevelopment Agency Fund (various accounting units in the
500 series) and appropriated into the Redevelopment Obligation Retirement Fund (various accounting
units in the 600 series).
APPROVED AS TO FUNDS AND ACCOUNTS:
Nancy T. ards Francisco Gutierrez
Interim Exe utive Director Executive Director
Community Development Agency Finance & Management Services Agency
NTE /SG /mlr
20C -1
20C -2
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE:
CONTRACT AWARD TO EN
POINTE TECHNOLOGIES
SALES INC FOR CISCO
SMARTNET MAINTENANCE
RENEWAL
(SPEC. NO. 12 -007)
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 1St Reading
❑ Ordinance on 2 "d Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Award a contract to En Pointe Technologies Sales, Inc. for Cisco SMARTNET Maintenance
Renewal in an amount not to exceed $43,200.
DISCUSSION
The Information Services Division maintains the City's computer network equipment. The City's
computer network includes 275 Cisco manufactured pieces of equipment which require
maintenance and support to ensure the viability of the network infrastructure. The City's current
Cisco contract provides SMARTNET maintenance service for network gear supporting various City
agencies including 24x7 maintenance and support services for the Police Department. Services
are provided directly by Cisco and sold by its arrangement of resellers. Cisco's SMARTNET
support and maintenance is critical to preserving the integrity and minimizing downtime of the
City's computer network.
A notice inviting bids was advertised on January 4, 2012 and bids were solicited. A summary of the
bid invitations and bids received is as follows:
8 Invitations For Bid mailed
4 Bids were received
Bids were received and opened January 12, 2012 (Exhibit 1). The bid from En Pointe
Technologies Sales, Inc. is responsive to the specifications and meets the City's requirements.
22A -1
Contract for Cisco SMARTNET Maintenance Renewal
February 6, 2012
Page 2
FISCAL IMPACT
Funds are available in the Finance Information Systems Strategic Plan Maintenance and Support
account (no. 10910147 62300).
APPROVED AS TO FUNDS AND ACCOUNT:
t
Francisco Gutierrez,
Executive Director
Finance and Management Services
Agency
EG
22A -2
ABSTRACT OF BIDS
CONTRACT AWARD FOR CISCO SMARTNET MAINTENANCE (12 -007)
Vendor En Pointe Granite Emgence
Technologies Business
Sales Inc. Solutions Technologies, Inc
Location
Gardena, CA
Rocklin, CA
San Diego, CA
Total
$40,019.34
$41,726.00
$42,208.00
Vendor PC Mall Gov
Inc
Location Manassas, VA
Total $52,077.00
Exhibit 1
22A -3
22A -4
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE:
CONTRACT AWARD TO DOWNTOWN
FORD SALES FOR PROPANE POWERED
SEWER PIPE TRUCK
(SPEC. NO. 12 -010)
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 1st Reading
❑ Ordinance on 2 "d Reading
❑ Implementing Resolution
❑ Set Public Hearing For_
CONTINUED TO
FILE NUMBER
Award a contract to Downtown Ford Sales for one propane powered sewer pipe truck in an
amount not to exceed $142,800.
DISCUSSION
The Public Works Agency Water Resources Division maintains 50,000 water service connections
to deliver 40,438 acre -feet of water to businesses and residents in Santa Ana. To perform
maintenance and repairs on the City's extensive water distribution system, the PWA requires
supplies including 20 foot lengths of copper tubing, equipment to cut and adjust the tubing for
installation and trucks to carry crew and materials to the service site. The current truck does not
provide the necessary configuration and is inefficient. As such, the PWA discussed with fleet
personnel the need to outfit a sewer pipe truck to accommodate the Water Resources crews in the
repair and maintenance of the City's Sewer.
A task force comprised of Water Resource supervisors and fleet personnel determined that one
1996 1 -ton GMC truck, previously approved for replacement in the current fiscal year budget, has
reached its useful lifecycle. A new heavy duty utility truck outfitted with a crane, compressor, pipe
rack, hose reel and tailgate lift is needed to perform the day -to -day tasks of the Water Resources
Division. In addition, the vehicle will include a propane powered fuel engine to meet the current
emission requirement for large trucks under the Air Quality Management District (AQMD) rules.
The propane powered fuel engine will reduce annual fuel costs by approximately fifty percent
(50 %). This action is in concert with our 5 -Year Alternative Energy Plan of converting 85% of the
City fleet to alternative energy, and reduces our carbon footprint, and reduction of green house
gases within the community.
22B -1
Contract for Propane Powered Sewer Pipe Truck
February 6, 2012
Page 2
Furthermore, the Fleet Maintenance Division applied for grant funds from AQMD and was awarded
$210,000 for the replacement of seven diesel powered trucks with alternative energy low emission
trucks. This is the first truck recommend for purchase. As such, AQMD will reimburse the City
$30,000 for the purchase the sewer pipe truck. A four percent contingency has been included in
the award amount.
Santa Ana City Ordinance No. NS -2312 authorizes the City to purchase against contracts from any
public agency utilizing a competitive bid process. Downtown Ford Sales, contract was awarded as
a result of open, competitive bidding under the State of California Department of Government
Services (DGS) guidelines and meets the City's requirements. The utility body and propane
conversion on the fuel operation are contract through Downtown Ford Sales.
FISCAL IMPACT
Funds are available in the Sanitary Sewer Service Machinery & Equipment account (05617640-
66400) for 90 percent at $101,520 and the Equipment Replacement Machinery & Equipment
account (07510101- 66400) for 10 percent at $11,280.
APPROVED AS TO FUNDS AND ACCOUNT:
1
Raul Godinez II Francisco Gutierrez,
Executive Director Executive Director
Public Works Agency Finance and Management Services Agency
km
G
I
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE:
CONTRACT RENEWAL TO BADGER
METER, INC. FOR COLD WATER METERS
(SPEC. NOS. 09 -001 & 09 -035)
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
Renew the contract with Badger Meter, Inc. for the purchase of cold water meters and
miscellaneous supplies for a one -year period in an amount not to exceed $170,000.
DISCUSSION
The Public Works Agency Water Resources regularly performs installation, maintenance, and
replacement of residential and commercial water meters. The three types of meters used by the
City are positive displacement, multi -jet and turbine meters. Positive displacement meters are
used primarily for residential applications. Multi -jet meters are used for multi - family residents,
irrigation and commercial applications. Turbine meters are used for high volume water users,
including industrials, commercial, irrigation and large multi - family residential applications.
There are approximately 45,000 metered service locations in the City. The meters are purchased
through the Central Stores warehouse for distribution to the Public Works Agency as needed.
Typically, a water meter is replaced every 15 years which has the water crews working on 3,000
meters annually. However, as a result of staffing constraints, only 1,617 meters were replaced
during the prior contract year. Consequently, Water Resource crews have been shifted to meet
the demands of the recommended annual replacement volume of water meters.
On March 2, 2009 the City awarded Badger Meter, Inc. a contract for positive displacement meters
and on August 3, 2009 additionally warded to Badger Meters, Inc. a contract for multi -jet and
turbine cold water meters for a one -year period with four one -year renewal options. The vendor
has performed satisfactorily during the past contract period and has agreed to renew the contract
with a three percent increase due to higher material cost. The requested increase is below the U.S.
Department of Labor announced 12 -month 5.7% increase in the Producer Price Index for Materials
for durable manufacturing. Staff recommends the second renewal of the contract.
22C -1
Contract for Cold Water Meters
February 6, 2012
Page 2
FISCAL IMPACT
Funds are available in the Water Utility System Maintenance and Water Quality & Measurement
accounts (06017641 -63001 and 06017644- 63001).
r--
.r•
Raul Godinez II
Executive Director
Public Works Agency
km
APPROVED AS TO FUNDS AND ACCOUNT:
,Cm�nA' , A-., a o
Francisco Gutierrez,
Executive Director I�
Finance and Management Services Agency
220-2
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE:
AGREEMENT FOR ENVIRONMENTAL
SERVICES WITH RBF CONSULTING TO
PREPARE AN EIR FOR A PARKING
STRUCTURE FOR MATER DEI HIGH
SCHOOL AT 1202 WEST EDINGER
AVENUE
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 1" Reading
❑ Ordinance on 2n° Reading
❑ Implementing Resolution
❑ Set Public Hearing For_
CONTINUED TO
FILE NUMBER
Authorize the City Manager and the Clerk of the Council to execute the attached agreement with
RBF Consulting for environmental services in an amount not to exceed $164,631 for a new
parking structure for Mater Dei High School at 1202 West Edinger Avenue, subject to non -
substantive changes approved by the City Manager and City Attorney.
DISCUSSION
In July 2011, Mater Dei High School submitted a proposal to expand the existing school campus
and construct a three -story, 1,000 space parking structure. During the review of the project, it
was determined that an environmental impact report (EIR) would be the required environmental
document for the development. An environmental impact report is required for this project
pursuant to the California Environmental Quality Act.
A Request for Proposal (RFP) was circulated to nine qualified environmental firms in October
2011, with five consulting firms responding to the RFP. Based on a review of the proposals, it is
recommended that RBF Consulting be awarded this contract to complete the EIR because of its
track record in preparing high quality environmental studies, its familiarity with the City, and its
background and knowledge about this project. The fee proposal to complete this effort is
$164,631, which includes a 10 percent contingency fee. Funding to complete the EIR would be
provided by Mater Dei.
25A -1
Agreement with RBF Consulting
February 6, 2012
Page 2
FISCAL IMPACT
This agreement will not impact any City /Agency funds. Funds in the amount of $164,631 will be
deposited by Mater Dei into the Planning and Building Agency account for contractual services
(No. 09801001 - 24035) prior to the consultant commencing any work.
Trevino
Executive Director
Planning and Building Agency
VF:rb
W%reportsNater Dei EIR contract.cc020612
Exhibit: 1. Agreement
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Management Services Agen
25A -2
PROFESSIONAL SERVICES AGREEMENT
THIS AGREEMENT, made and entered into this day of , 2012 by and
between RBF CONSULTING, a California corporation ( "Consultant "), and the City of Santa
Ana, a charter city and municipal corporation of the State of California ( "City ").
RECITALS
A. The City desires to retain a consultant having special skill and knowledge in the field
of professional environmental reports and services.
B. Consultant represents that Consultant is able and willing to provide such services to the
City.
C. In undertaking the performance of this Agreement, Consultant represents that it is
knowledgeable in its field and that any services performed by Consultant under this
Agreement will be performed in compliance with such standards as may reasonably be
expected from a professional consulting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terms and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
Consultant shall provide professional environmental services, including the preparation
of an Environmental Impact Report regarding a new parking structure for Mater Dei High School
located at 1202 West Edinger Avenue. The scope of services and budget is attached hereto as
Exhibit A and is incorporated by this reference to this Agreement.
2. DELIVERY OF WORK PRODUCT
Consultant shall deliver to City all work product which results from the services
provided. Said work product shall be submitted in hard copy and produced in a form compatible
With the City's computer system, as agreed between the Project Manager and Consultant. In
regard to all copyrightable material produced as a deliverable under this Agreement, including
but not limited to books, reports, plans, photographs, drawings, films, recordings, videotapes,
and computer programs, Consultant agrees, for itself'and for its affected officers, employees,
agents, contractors, and volunteer workers, that (a) other such material may not be copyrighted
without prior review from the City, and (b) the authors of all such material, whether copyrighted
or not, award to the City, and to its officers, agents and employees acting within the scope of
their official duties, as a condition of payment to the Consultant, a royalty -free, nonexclusive,
irrevocable license throughout the world for governmental purposes to disclose, publish,
translate, reproduce, and use such materials.
EXHIBIT 1
25A -3
3. COMPENSATION
City agrees to pay, and Consultant agrees to accept as total payment for its services, the
cumulative rates and charges identified in Exhibit A. The total sum to be expended under this
Agreement shall not exceed $164,631.00 during the term of this Agreement. Payment by City
shall be made within thirty (30) days following receipt of proper invoice evidencing work
performed, subject to City accounting procedures. Payment need not be made for work which
fails to meet the standards. of performance set forth in the Recitals which may reasonably be
expected by City.
4. TERM
This Agreement shall commence on the date first written above and terminate upon the
completion of the Scope of Services or depletion of the maximum contract amount as stated in
Section 3 above, unless terminated earlier in accordance with provisions below. The team of this
Agreement may be extended upon a writing executed by both parties, including the City
Manager and the City Attorney for the City.
5. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor
shall it be construed to create an employer- employee relationship, a joint venture relationship, or
to allow the City to exercise discretion or control over the professional manner in which
Consultant performs the services which are the subject matter of this Agreement; however, the
services to be provided by Consultant shall be provided in a manner consistent with all
applicable standards and regulations governing such services. Consultant shall pay all salaries
and wages, employer's social security taxes, unemployment insurance and similar taxes relating
to employees and shall be responsible for all applicable withholding taxes.
6. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall
maintain and shall require its subcontractors, if any, to obtain and maintain insurance as
described below:
a. Commercial General Liability Insurance. Consultant shall maintain commercial
general liability insurance naming the City, its officers, employees, agents, volunteers
and representatives as additional insureds) and shall include, but not be limited to
protection against claims arising from bodily and personal injury, including death
resulting therefrom and damage to property, resulting from any act or occurrence
arising out of Consultant's operations in the performance of this Agreement,
including, without limitation, acts involving vehicles. The amounts of insurance shall
be not less than the following: single limit coverage applying to bodily and personal
injury, including death resulting therefrom, and property damage, in the total amount
of $1,000,000 per occurrence. Consultant shall supply City with a fully executed
2
25A-4
additional insured endorsement in substantially the form attached hereto as Exhibit B
upon execution of this Agreement and shall be approved in form by the City
Attorney.
b. Business automobile liability insurance, or equivalent form, with a combined single
limit of not less than $1,000,000 per occurrence. Such insurance shall include
coverage for owned, hired and non -owned automobiles.
c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300
of the Labor Code, Consultant, if Consultant has any employees, is required to be
insured against liability for worker's compensation or to undertake self-insurance.
Prior to commencing the performance of the work under this Agreement, Consultant
agrees to obtain and maintain any employer's liability insurance with limits not less
than $1,000,000 per accident.
d. Professional liability (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.
7. INDEMNIFICATION
Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents,
employees, consultants, special counsel, and representatives from liability: (1) for personal
injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims
for personal injury, including health, and claims for property damage, which may arise due to
negligent acts, omissions or willful misconduct, fiom the direct or indirect operations of the
Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their
behalf which relates to the services described in section 1 of this Agreement; and (2) from any
3
25A -5
claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is
due by reason of the terms of or effects arising from, and to the extent of Consultant's, negligent
acts, omissions or willful misconduct in the performance of this Agreement.
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.
9. 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.
10. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this
Agreement shall be in writing and shall be deemed to be properly given if delivered in person or
mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other
telegraphic communication in the manner provided in this Section, to the following persons:
To City: City of Santa Ana
C/o Clerk of the Council
20 Civic Center Plaza
P.O. Box 1988
Santa Ana, CA 92702 -1988
telefacsimile (714) 647 -6956
With copy to: Executive Director of PBA
City of Santa Ana
20 Civic Center Plaza
P.O. Box 1988
Santa Ana, California 92702
4
telefacsimile (714) 973 -1461
and City Attorney
City of Santa Ana
20 Civic Center Plaza (M -29)
P.O. Box 1988
Santa Ana, California 92702
telefacsimile (714) 647 -6515
To Consultant:RBF Consulting
Glenn La.Ioie, AICP
Vice President
14725 Alton Parkway
Irvine, CA 92618
telephone (949) 472 -3505
telefacsimile (949) 472 -8373
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 telefacsimile, communication shall be effective or
deemed to have been given twenty -four (24) hours after the time set forth on the transmission
report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of
calculating these time frames, weekends, federal, state, County or City holidays shall be
excluded.
11. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
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 proposal or other instrument that are inconsistent with,
or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the
City. Each party to this Agreement acknowledges that no representations, inducements, promises
or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of
any party, which are not embodied herein.
12. 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
5
25A -7
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.
13. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of
termination. In such event, Consultant shall be entitled to receive and the City shall pay
Consultant compensation for all services performed by Consultant prior to receipt of such notice
of termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to
deliver to the City all work product completed as of such date, and in such case such
work product shall be the property of the City unless prohibited by law, and
Consultant consents to the City's use thereof for such purposes as the City deems
appropriate.
b. Payment need not be made for work which fails to meet the standard of performance
specified in the Recitals of this Agreement.
14. NON - DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital
status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited
by applicable law, in the recruitment, selection, training, utilization, promotion, termination or
other employment related activities. Consultant affirms that it is an equal opportunity employer
and shall comply with all applicable federal, state and local laws and regulations.
15. JURISDICTION -VENUE
This Agreement has been executed and delivered in the State of California and the
validity, interpretation, performance, and enforcement of any of the clauses of this Agreement
shall be determined and governed by the laws of the State of California. Both parties further
agree that Orange County, California, shall be the venue for any action or proceeding that may
be brought or arise out of, in connection with or by reason of this Agreement.
16. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses,
permits, approvals, waivers, and exemptions necessary for the provision of the services
hereunder and required by the laws and regulations of the United States, the State of California,
the City of Santa Aria and all other governmental agencies. Consultant shall notify the City
immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals,
waivers, and exemptions. Said inability shall be cause for termination of this Agreement.
r1l
�7
17. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the
power, authority and right to bind their respective parties to each of the terms of this
Agreement, and shall indemnify City fully, including reasonable costs and attorney's
fees; for any injuries or damages to City in the event that such authority or power is
not, in 'fact, held by the signatory or is withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set
forth in the body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year
first above written.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
JOSEPH A. STRAKA
Interim City Attorney
By:
Ryan O. Hodge
Assistant City Attorney
RECOMMENDED FOR APPROVAL:
JAY TREVINO
Executive Director - PBA
CITY OF SANTA ANA
PAUL M. WALTERS
Interim City Manager
RBF CONSULTING
GLENN LAJOIE, AICP
Vice President
7
EHIBIT A
SCOPE OF SERVICES
(Attached)
25A -10
I: INTRODUCTION
The City of Santa Ana is requesting proposals from planning and environmental consulting
firms for preparation of an environmental impact report (EIR) fora new parking structure for
Mater Dei High School at 1202 West Edinger Avenue, Santa Ana. The scope of work may
include any and all work efforts related to the analysis, preparation, community outreach and
related compliance with CEQA and /or NEPA (if required). This will include the preparation of
an EIR and required technical studies, on -call consulting on as needed basis, and
attendance at public hearings.
11. PROJECT DESCRIPTION
Mater Dei High School has submitted a proposal to the City to construct a new parking
structure for use by the high school. The proposed structure will be three stories in height
(approximately 25 feet), and will accommodate 990 vehicles. Access to the structure will be
provided from the existing campus parking lot at the north and from St. Andrew Street at the
south. To accommodate the project, Mater Dei will need to acquire 19 privately -owned
parcels of land that are currently occupied by single- family residences.
Several discretionary actions will be required for the project. In addition to the EIR, the
discretionary actions will include a zone change (Amendment Application) and general plan
amendment for the 19 single- family residential lots, an amendment to an existing
development agreement, and the partial abandonment of three streets. Further, a lot merger
to combine the parcels with the Mater Dei campus will be needed.
III. SCOPE OF SERVICES
The Consultant shall provide technical environmental services under the direction of City
staff. The Consultant will be expected to provide experienced and knowledgeable
professional staff. The Consultants' Project Manager and staff shall be responsive and
maintain excellent working relationships with project applicant, property owners, developers
and City staff. The Consultant shall be committed to provide adequate staffing levels at all
times in order to adhere to established schedules. The Consultant shall be knowledgeable
and very familiar with federal, state and local regulations, policies and procedures as they
pertain to CEQA and NEPA services provided.
Consultant services may include attendance at appropriate City Commission, City Council
_and neighborhood meetings, and preparation of studies and technical reports. If determined
necessary, the consultant shall be required to discuss the project with City Staff and
applicant within two -weeks of approving proposal and receiving the notice to proceed from
the City. At that time staff and applicant will provide all information pertinent to the project.
It shall be the responsibility of the selected consultant to prepare the appropriate environmental
documentation in conformance with the California Environmental Quality Act. The City staff
shall work closely with the consultant in achieving a legally defensible document. As part of
the proposed EIR, the following shall be addressed. Please identify the scope of work and
related cost estimate by the categories listed below.
25A -11
A. Initiation of the Project/Kick -Off: Attend a kick -off meeting to discuss the project
with City staff within five working days of receiving a notice to proceed. At this time,
staff will present all information about the project, discuss any project constraints and
issues, and refine the scope and responsibilities.
B. Preparation of technical studies: Technical studies shall be prepared and.provided by
the selected consultant that, at a minimum, are those listed in CEQA Appendix G:
Environmental Checklist Form of the CEQA Guidelines. The Public Works Agency is
requiring that, at a minimum, the following be included:
Provide a Site Traffic Impact Analysis (TIA). The TIA shall include, but shall not be
limited to the following:
a) A forecast of the amount and distribution of vehicular traffic to be generated by the
project and the commutative projects.
b) An assessment of the impact the project may have upon adjacent signalized and
un- signalized intersections.
c) Assessments and recommendations at project access locations, including the
ability of project traffic to enter and exit the site, traffic controls, movement
restrictions, sight distance and internal circulation.
A more detailed scope of work will be provided to the selected consultant.
C. Preparation of the environmental impact report: The consultant will prepare the
environmental document for the project. This will include meeting with the City for the
purpose of obtaining information necessary for preparation of complete project and
alternatives descriptions, establishing early communications among the various team
members, and familiarizing the consultant with the issues and concerns identified for
analysis. In addition, the initial study, notice of preparation, scoping meeting attendance
and the preparation of a screencheck and draft EIR shall be included as part of this task.
D. Preparation of the final EIR: The consultant shall prepare a final EIR that is consistent
with all applicable provisions of the California Environmental Quality Act. This will
include the response to comments, findings of fact, statement of overriding
considerations (if applicable), the mitigation monitoring and reporting program, and all
other related documents.
E. Attendance at Meetings: The scope of services requires the selected consultant to
work closely with staff in preparing the environmental impact report. The consultant
shall budget (at minimum) attendance at the following meetings:
1 Kick -off meeting with City staff
1 Community workshops /stakeholder forums
1 EIR Scoping meeting
8 Monthly progress meetings with staff
2 Planning Commission study sessions
2
25A -12
I Environmental Transportation Committee (ETAC) study session
1 City Council study session
2 Planning Commission hearings
2 City Council hearings
F. Deliverables:
10 per submittal Administrative Screencheck Draft EIR (assume three review cycles)
20 Draft EIR (for public review)
10 CD's that contain the Draft EIR
20 Final EIR (with CD's)
1 Electronic files (Print quality pdf, web ready pdf, editable file)
Note: Prior to start of work, software and programs used for data collection,
documentation and mapping shall be approved by City staff to affirm compatibility with
City systems.
IV. GENERAL REQUIREMENTS
All work shall be performed in conformance with the latest City of Santa Ana, State Office of
Planning and Research, State Department of Transportation, OCTA and other involved
agencies' policies, procedures, standards and guidelines.
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..
V. 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 December 1, 2013. 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.
VF /Mater DeMMater Dei RFP scope only
3
25A -13
Clty of Santa Ana
Proposal for the Mater Doi High School Parking Structure
�P�„caclo" t t Environmental Impact Report
V111. BUDGET
TASK
1.0 PROJECTSCOPJNC
G.L.
226
A.A.
176
R.G.
145
K.B.
126
E.T.
175
B,M.
200
P.M.
175
GA.
7d
0
50
Total
Hours
Repro
Total
Cost
$0
1.2a L Ran a Anal is
72b 7 I PM Peak Period Ana Is
72c Traft6 nalWirrantAnatysfs
7.2d Queue Anal sis
1,1 Pre Kick -Off and Fro ed Characteristics
1.2 Research and Invest' ation
1.3 A Consultation
L4 Pre ration o[Ihs 1rdt�l Stud
1.5 Notice of Preparation
1.8 Seo Mee
'
2.D PREPARA7lONOFADMINISTttAT )YEDRAF7EIR
4
4
1
1
i
1
8
2
q
4 26
1
8
4
2
5
3
5
10
0
12
7
$2300
$ l 155
5
925
3 34
26
92
$4 0
4
10
$690
$1.950
2.1 Introduction and Purpose
2.2 Executive Suma
2.3 Pr ct Description tion
2.4 Thresholds a[S nficance
2.5 Cumulative Pr eds1Anat is
2.6 E nvironme0lat is
1
2
1
1
1
18
1
4
4
2
2
3
8
8
23
4
7
4170
$980
$980
$3,826
90
31215
A. AesthelicsMewshed
B. Airgg(
C. Greenfrouse Gas Ana sislClimate Ctrs
o. Lard Use end Relevant Plan '
E. Noise
F. 'Traffic
fficend CirculaGon
2,7 Grmffi Irducement
2.8 AUernallves to the P dAction
2.9 Mi ation Monitoft and RepoqLaa Pro warn
2.10 AddWonal Sections
z.11 Graphic Extri6ils
3.0 DRAFT EIR
2
1
1
1
1
2
1
2
1
1
1
2
1
1
1
1
1
2
4
1
1
1
24
20
8
24
4
g
2
75
16
28
24
30
-
60
18
2
0
97
$13125
2
14
30
S5 300
2t
20
101
� 800
0
$5,850
$16475
9
0
10
t8
$1.445
$4 630
$980
S1560
$1,740
$9.530
$4,875
3.1 PfeWflar
y Draft EIR
3.2 flat of Ute Orefl EIR
4.0 FINAL ENVIRONMENTALIMPACTREPORT
-RUSDOMO
2
2
20
14
24
10
4
3
4
2
2
2
2
80
31
4.1 to Comments
4.2 FWEIR
413 Find slStalementofOverriJ Constderalbns
5.0 PROJECT COORDINATION AND MEETINGS
2
2
2
16
12
18
14
16
10
2
2
2
2
40
$0'630
30
$4.070
55,050
5.1 Poblk; Notices
5.2 Environmental Review Coordination
1
Y4
2
40
40
4
7
$1,155
5.3 Environmental Review Maeu 40 5 01
6,0 ENVIRONMENTAL DELIVERABLES 8 98
WAD
$10,350
§�
$145,105
TOTAL HOURS 107 238 2t2 $4 104 72 20 28 8611 $4 500
•Portent of Total Labor Hours 12.4% 27.5% 24.5°6 9.756 12.0 °h 8.3% 2.396 3,296
Sut3TOTALLABORCOSTS $24,075 $41650 $30740 $10500 518200 $14,300 $3,500 b2,10D
TOTAL COSTS
$149664
7.0 OP71ONAL TASK S
7.1 Add'dionalV1suRI81r WJons $1000 rs(mulalian
7.2 Trafftft is
0
50
0
$0
1.2a L Ran a Anal is
72b 7 I PM Peak Period Ana Is
72c Traft6 nalWirrantAnatysfs
7.2d Queue Anal sis
8
6
a
16
5
3
5
10
0
$0
11
9
13
$2,075
$1,725
$2475
26
34,950
G.L. a Gtenn Lejote
AA. =Alan AsMmine
R.G. =RRa Garda
K.B. = Kristen Boque
.1N 10- 108391.999
26
E.T. = Eddie Tom
B.M. - Bob Matson
P.M. - Paul Marlin
GA. - Graphic Artist
October 27, 2011
EXHIBIT B
ADDITIONAL INSURED ENDORSEMENT
FOR COMMERCIAL GENERAL LIABILITY POLICY
Insurance Company
This endorsement modifies such insurance as is afforded by the provisions of Policy
# relating to the following:
1. The City of Santa Ana, 20 Civic- Center Plaza, Santa Ana, California 92701; its
officers, employees, agents, volunteers and representatives are named as additional insureds
( "additional insureds ") with regard to liability and defense of suits arising from the operations
and uses performed by or on behalf of the named insured.
2. With respect to claims arising out of the operations and uses performed by or on
behalf of the named insured, such insurance as is afforded by this policy is primary and is not
additional to or contributing with any other insurance carried by or for the benefit of the
additional insureds.
3. This insurance applies separately to each insured against whom claim is made or
suit is brought except with respect to the company's limits of liability. The inclusion of any
person or organization as an insured shall not affect any right which such person or organization
would have as a claimant if not so included.
4. With respect to the additional insureds, this insurance shall not be cancelled, or
materially reduced in coverage or limits except after thirty (30) days written notice has been
given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701.
(Completion of the following, including countersignature, is required to make this endorsement
effective.)
Effective
Policy #
Issued to
this endorsement form as a part of
Named Insured
Countersigned by
Authorized Representative
0
25A -15
25A -16
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
FEBRUARY 6, 2012
TITLE:
CONDITIONAL USE PERMIT NO. 2011 -09
(APPEAL NO. 2011 -01) TO AMEND
CERTAIN CONDITIONS FOR MARISCOS
ZAMORA RESTAURANT AT 3701 WEST
MCFADDEN AVENUE, SUITES G-J,
JOSEFAT ZAMORA, APPLICANT
L i4�
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑
As Recommended
❑
As Amended
❑
Ordinance on 1" Reading
❑
Ordinance on 2'd Reading
❑
Implementing Resolution
❑
Set Public Hearing For_
CONTINUED TO
FILE NUMBER
Receive and file the staff report approving modifications to Conditional Use Permit No. 2011 -09
(Appeal No. 2011 -01).
PLANNING COMMISSION ACTION
On December 12, 2011, the Planning Commission granted Appeal No. 2011 -01 and adopted a
resolution approving modifications to Conditional Use Permit No. 2011 -09 as conditioned by a
vote of 5:2 (Acosta, Yrarrazaval opposed) for Mariscos Zamora Restaurant located at 3701 West
McFadden Avenue, Suites G -J in the North Harbor Specific Plan (SP -2) zoning district (Exhibit
A).
FISCAL IMPACT
There is no fiscal impact associated with this action.
y M. Trevino
Executive Director
Planning & Building Agency
VC:rb
vc/reportslappeall1 -01 mod cupl1 -09 Mariscos Zamora ABC.cc
Exhibit: A. Planning Commission Staff Report
31A-1
'ki r =v ,
REQUEST FOR
Planning Commission Action
PLANNING COMMISSION MEETING DATE:
DECEMBER 12, 2011
TITLE:
PUBLIC HEARING — APPEAL NO. 2011 -01
FILED BY JOSEFAT ZAMORA TO AMEND
CERTAIN CONDITIONS OF CUP NO. 2011-09
FOR MARISCOS ZAMORA AT 3701 WEST
MCFADDEN AVENUE, SUITES G -J
Prepared by Verny Carvajal
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 4kager
Adopt a resolution denying the applicant's request to extend the hours of alcohol sales until 2:00
a.m. (Appeal No. 2011 -01), thereby confirming the Zoning Administrator's decision of November 2,
2011.
°- •
Josefat Zamora is requesting approval of an appeal application to modify Conditional Use Permit
No. 2011 -09 and allow extended hours of operation for the Mariscos Zamora restaurant.
Protect Location and Site Description
Mariscos Zamora restaurant is located wkhin an existing, multi- tenant commercial development
that is located at the northeast corner of McFadden Avenue and Harbor Boulevard. The site is
approximately 247,400 square feet in size and contains 10 single-story buildings ranging in size
from 4,900 to 30,600 square feet. The total area for the restaurant is 3,280 square feet. The site
has a total of 356 on -site parking spaces (Exhibits 1 and 2).
Protect Description
The applicant is requesting modifications to Conditional Use Permit No. 2011 -09 to permit karaoke
and strolling musicians and to extend hours of alcohol sales from 12:00 a.m. to 2:00 a.m. at the
existing restaurant. Specifically, the applicant Is proposing to amend Condition No. 8, which limits
the sate of alcohol from 7:00 a.m. to midnight; and Condition No. 9, which prohibits karaoke and
strolling musicians. No tenant improvements are proposed as part of this project. The restaurant is
a full service, sit -down eating establishment that currently accommodates approximately 76
patrons within its dining room (Exhibits 3 and 4).
EXHIBIT A
lkii[_i
Appeal No. 2011 -01
December 12, 2011
Page 2
Proiect Background and Zoning Administrator Action
Mariscos Zamora is an independently owned restaurant specializing in Mexican casual cuisine.
This business has been operating at this location since December of 2000. The restaurant was
originally approved as the Dos Amigos Restaurant in 1997, which operated under Conditional Use
Permit No. 1997 -15 allowing for a Type 41 ABC license covering Suites H and I. The owners of
Mariscos Zamora subsequently requested an amendment to the original CUP and it was approved
on September 25, 2006. The amended CUP (CUP 1997 -15 Modification) allowed for the expansion
of the restaurant into adjacent Suite J.
In 2011 the business owner proposed a further expansion into Suite G and also requested an
amendment to the existing condition of approval (Police Condition No. 8) to allow for the extension
of their hours of alcohol sales until 2:00 a.m. (CUP 2011 -09).
A Zoning Administrator hearing to consider the application was held on April 27, 2011. During the
public hearing, in addition to the request for extended alcohol sales hours, the applicant requested
a modification to Police Condition No. 9 to allow for strolling musicians, karaoke and a jukebox.
The Zoning Administrator considered this information and continued the item to May 18, 2011.
On May 18, 2011 the Zoning Administrator approved the expansion into Suite G and modified
Police Condition No. 9 to permit a jukebox, with the proviso that it not be audible beyond 20 feet of
the business. The request for extended hours of alcohol sales, strolling musicians and karaoke
was not approved; however, the Zoning Administrator offered to re- review the applicant's request
in six months to give the applicant time to establish a track record of compliance with the new
conditions. This six -month period would have expired in late December 2011. As is the regular
process for such approvals, on June 13, 2011, the Planning Commission confirmed the Zoning
Administrator's action as part of the Consent Calendar.
However, on August 19, 2011 the applicant contacted the City prior to the established six -month
review period to request a review of the existing conditions of approval to allow karaoke, strolling
musicians, and extended hours of alcohol sales. The applicant asked that staff consider the request
earlier in order to allow the restaurant to remain competitive and meet customer demands during the
peak holiday season. Staff agreed to present this information to the Zoning Administrator.
A Zoning Administrator hearing was held on October 26, 2011 for Conditional Use Permit No.
2011 -09. Prior to the ZA hearing, two phone calls and a letter were received expressing concerns
with noise and public safety related to the proposed live music and extended alcohol sales hours.
Additionally, concerns were expressed relating to excessive window signs and exterior advertising
promoting the availability of alcoholic beverages, both in violation of the existing CUP. This letter
was presented by staff at the ZA hearing and three members of the public were in attendance.
Two members were in support of the application and explained the benefit of extended alcohol
31A-4
Appeal No. 2011 -01
December 12, 2011
Page 3
sales hours and options for entertainment, while the other member expressed his issues with the
window signs and lack of compliance with the existing conditions of approval. The Zoning
Administrator instructed the applicant to comply with existing conditions of approval, and instructed
them to remove all unpermitted window signs and temporary flags. He concluded by continuing
the item for one week in order to allow the Police Department and Planning Division to verify
compliance with all existing conditions.
On November 2, 2011 the proposal was reevaluated by the Zoning Administrator. At this meeting,
the Planning Division presented photographs of the site showing that the illegal signage had been
removed as requested by the Zoning Administrator. The Zoning Administrator expressed his
concerns that the applicant had not yet established a strong track record of compliance, but elected
to approve the request to further modify Police Condition No. 9 to permit strolling musicians and
karaoke and denied the request to amend Police Condition No. 8 to extend the hours of alcohol
sales. In summary, with the exception of the extended alcohol sales hours, all of the applicant's
requests for modifications to the CUP were approved.
On November 7, 2011 the applicant appealed the Zoning Administrator's decision denying the
extended hours of alcohol sales (Appeal Application No. 2011 -01). The applicant states that the
extended hours of alcohol sales are necessary to remain competitive with other businesses in the
area.
General Plan and Zoning Consistency
The General Plan land use designation for the site is General Commercial (GC). General
Commercial districts provide highly visible and accessible commercial development along the City's
arterial transportation corridors and provide important neighborhood facilities and services, such as
this restaurant. The project site is consistent with this General Plan land use designation. The
site is surrounded by commercial uses to the north, south and west, and industrial uses to the east.
The parcel is located within the General Commercial sub -zone of the North Harbor Specific Plan
(SP -2) zoning district. The SP -2 zoning district allows for retail and service uses, such as
restaurants, making the proposed use consistent with the zoning code.
Proiect Analysis
The following analysis will focus on the issues regarding the extension of the hours for alcohol sales
until 2:00 a.m. at Mariscos Zamora. Police Condition No. 8 of CUP 2011 -09 states that:
"Sales, service and consumption of alcoholic beverages shall be permitted only between the hours
of 7.00 a.m. and 92:00 a.m."
31A-5
Appeal No. 2011 -01
December 12, 2011
Page 4
Mariscos Zamora is located within the General Commercial sub -zone of the North Harbor Specific
Plan (SP -2). This zone does not require an after -hours permit for restaurants, such as those that
are located within 150 feet of residential uses in other commercial zones. Under the existing zoning,
and without any additional discretionary approvals, Mariscos Zamora currently has the ability to
operate 24 hours. The condition of approval that restricts their hours of operation until 12:00 a.m.
only pertains to the sale and service of alcohol. That condition has existed since the time of their
original approval in 1997. Therefore, the findings of fact that follow are restricted to the extension of
the hours of sales and service of alcohol.
The Santa Ana Municipal Code (SAMC) Section 41 -645 establishes a process for appeals.
Findings for an appeal are contained in Section 41 -638 of the SAMC. Appeals may be granted
when the following findings can be made:
• 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 will not adversely affect the present economic stability or future
economic development of properties surrounding the area.
• That the proposed use will comply with the regulations and conditions specified in Chapter 41
for such use.
• That the proposed use will not adversely affect the General Plan of the city or any specific plan
applicable to the area of the proposed use.
If these findings can be made, then it is appropriate to grant the appeal. 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 appeal, staff believes that the following findings of fact warrant denial of the
applicant's appeal to extend the hours of alcohol sales.
• The request for extended hours of alcohol sales will not provide a service or facility which will
contribute to the general well being of the neighborhood or community. Within a one -mile radius
of the project address there currently exist 37 ABC licenses.
lki_[�Q:
Appeal No. 2011 -01
December 12, 2011
Page 5
Type 20
Off -site sale of beer and wine
Pacific Market
511 N. Harbor Blvd.
7 Eleven
103 S. Harbor Blvd.
Wong Am Pm Inc
2646 W. First St.
Cal Va Dairy
4201 W. First St.
First & Fair Market
2715 W. First St., A
Two Brothers Market
3610 W. First St., A
Lucky Center Market
3502 W. Fifth St.
R Ranch Market
2521 W. McFadden Ave.
7 Eleven Store
2745 W. McFadden Ave.
Wal Mart Store
3600 W. McFadden Ave.
Type 21
Off -site sale of beer, wine, and distilled spirits
CVS Pharmacy
228 N. Harbor Blvd.
Northgate Market
230 N. Harbor Blvd.
Susies Liquor Market
914 N. Harbor Blvd., F
Nadys Market
652 S. Harbor Blvd.
Northgate Market
770 S. Harbor Blvd.
Dans Liquor
950 S. Harbor Blvd.
Bottle Liquor
4502 W. First St.
El Super
3700 W. McFadden Ave.
On -site sale of beer only (Type 40) or beer and wine (Type 41) in
Type 40, 41
conjunction with a restaurant
Lindo Guerrero Bar
2545 W. McFadden Ave.
Colima Mexican Restaurant
130 N. Fairview St., A
El Nuevo Monterey
601 N. Harbor Blvd.
El Rey Del Marisco
914 N. Harbor Blvd., F
Alfonsos Mexican Food
650 S. Harbor Blvd.
Taqueria Guerrero
938 S. Harbor Blvd.
Pho & Che Cali Restaurant & Bakery
120 S. Harbor Blvd., M
Favori Restaurant
3502 W. First St.
Cay Dua Restaurant Inc
3522 W. First St.
Newport Seafood Restaurant
4411 W. First St.
Ngoc Duong Restaurant
4504 W. First St.
Pho Tau Bay Ltt
3610 W. First St., C
Hen Ho Restaurant
4702 W. First St., F
Mariscos Ensenada Restaurant Inc
3622 W. Fifth St.
Casa Oaxaca
3317 W. First St.
On -site sale of beer, wine, and distilled
spirits in conjunction with a
Type 47
restaurant
The Red Turtle
1019 S. Fairview St.
Willowick Golf Course
3017 W. Fifth St.
On -site public premise sale of beer
and wine (Type 42) or beer,
Type 42, 48
wine and distilled spirits (Type 48) — no food service required
El Fracaso Bar
701 N. Harbor Blvd.
El As De Oros
3331 W. First St.
The Tenampa Inn
4522 W. First St.
31A-7
Appeal No. 2011 -01
December 12, 2011
Page 6
Of those, 15 are for restaurants that sell beer and wine for on -site consumption (Type 41) similar to
Mariscos Zamora. The following table illustrates the restrictions on hours of alcohol sales and
service currently existing in the area. Due to the fact that most of these restaurants were approved
prior to the establishment of the City's regulations and permitting processes regarding alcohol sales,
they have few added conditions of approval and no City restriction on the hours of alcohol sales. It
should be noted that ABC limits the sale of alcohol until 2:00 a.m., unless the City imposes more
restrictive conditions, in which case, ABC includes the City's condition on the applicant's license.
The current table reflects that 80 percent of existing restaurants with a Type 41 alcohol license (12
total) do not have any city- imposed restrictions on the hours of alcohol sales. In addition, there are
also three bars (public premise) within a one -mile radius of the proposed project. The request to
extend the hours of alcohol sales will not provide an additional service within the area.
• The proposed extension of the hours of alcohol sales, service and consumption will, 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 sales, service and consumption of alcoholic
beverages beyond midnight may attract patrons other than those found as part of a typical sit -
down family restaurant. This may be detrimental to the safety and general welfare of both the
restaurant patrons and the community at large, as the Police Department has found a strong
correlation between the availability of alcohol and additional crime impacts to the community.
The restaurant is located within an area that is considered a special enforcement district for
prostitution. Since January of 2011 the two reporting districts nearest to the subject location
(Reporting Districts 46 and 47) have had over 100 reported incidents of prostitution and /or vice -
related crimes. In addition, the Police Department has evaluated the applicant's request to
extend the hours of alcohol sales and is concerned that an expansion would create a potential
for a nightclub which would require an additional CUP in the SP -2 zoning district.
lki
Name
Restrictions
Address
3701 West McFadden, Suites G -J
Mariscos Zamora (subject)
7:00 a.m. -12:00 a.m.
130 North Fairview Street, Suite A
Colima Mexican Restaurant
No City Restriction
601 North Harbor Boulevard
El Nuevo Monterey
No City Restriction
914 North Harbor Boulevard, Suite F
El Rey Del Marisco
No City Restriction
650 South Harbor Boulevard
Alfonsos Mexican Grill
No City Restriction
938 South Harbor Boulevard
Taqueria Guerrero
No City Restriction
120 South Harbor Boulevard, Suite M
Pho & Che Restaurant
No City Restriction
3522 West First Street
Cay Dua Restaurant
8 :00 a.m. -12:00 a.m.
3502 West First Street
Favori Restaurant
No City Restriction
4411 West First Street
Newport Seafood Restaurant
Unavailable
4504 West First Street
Ngoc Duong Restaurant
9 :00 a.m. -12:00 a.m.
3610 West First Street, Suite C
Pho Tau bay Restaurant
No City Restriction
4702 West First Street, Suite F
Hen Ho Restaurant
No City Restriction
3317 West First Street
Casa Oaxaca
No City Restriction
3622 West Fifth Street
Mariscos Ensenada
No City Restriction
The current table reflects that 80 percent of existing restaurants with a Type 41 alcohol license (12
total) do not have any city- imposed restrictions on the hours of alcohol sales. In addition, there are
also three bars (public premise) within a one -mile radius of the proposed project. The request to
extend the hours of alcohol sales will not provide an additional service within the area.
• The proposed extension of the hours of alcohol sales, service and consumption will, 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 sales, service and consumption of alcoholic
beverages beyond midnight may attract patrons other than those found as part of a typical sit -
down family restaurant. This may be detrimental to the safety and general welfare of both the
restaurant patrons and the community at large, as the Police Department has found a strong
correlation between the availability of alcohol and additional crime impacts to the community.
The restaurant is located within an area that is considered a special enforcement district for
prostitution. Since January of 2011 the two reporting districts nearest to the subject location
(Reporting Districts 46 and 47) have had over 100 reported incidents of prostitution and /or vice -
related crimes. In addition, the Police Department has evaluated the applicant's request to
extend the hours of alcohol sales and is concerned that an expansion would create a potential
for a nightclub which would require an additional CUP in the SP -2 zoning district.
lki
Appeal No. 2011 -01
December 12, 2011
Page 7
The requested extension of the hours of alcohol sales, service and consumption will adversely
impact the economic stability or future economic development of property in the surrounding
area by exacerbating the existing condition of a high number of unrestricted alcohol- serving
establishments. The Police Department has found a strong correlation between the availability
of alcohol and additional crime impacts to the community, which can destabilize an area and
make it less attractive as a commercial location and negatively affect the economic well -being
of the neighborhood. The denial of this appeal would support Policy 4.5 of the Economic
Element of the General Plan which discourages making land use decisions purely on fiscal
considerations, but also the qualitative implications of the action.
Although the site is outside of the area requiring a separate CUP for after -hours operations,
Police Condition No. 8 is specific to the regulation of the hours for sales and service of alcohol.
The City has additional standard conditions of approval that are applied to all requests for
alcohol sales. By affirming the Zoning Administrator's decision to not modify this condition, the
project would be in compliance with similar approvals.
The proposed expansion of hours of alcohol sales, service and consumption will conflict with
the established goals and policies of the General Plan and the North Harbor Specific Plan.
The request for extended hours for the sale of alcoholic beverages is inconsistent with Policy
2.5 of the General Plan, which seeks to balance economic benefits of commercial
development with any potential impacts to the community's quality of life. Further, the North
Harbor Specific Plan (SP -2) contains goals and objectives that seek to support the adjacent
residential neighborhoods. Examples of these objectives include the provision of full service,
sit -down, family -style restaurants. The extension of hours for alcohol sales does not serve to
strengthen the family -style orientation of the restaurant that is the subject of this application.
The Harbor Specific Plan also establishes the goal of providing assertive policing and
community service programs to alleviate crime and social problems along the corridor.
Upholding the Zoning Administrator's denial of the modification to the condition restricting the
hours of alcohol sales would support the goal of alleviating crime and social problems.
Police Department Analysis
The Police Department evaluated the applicant's request and also concluded that an extension of
hours related to the sale of alcohol would create a potential for a nightclub and other uses not
covered under the Type 41 ABC license category. Further, the prevalence of prostitution activity
in this area and the presence of a large number of unrestricted alcohol serving establishments
makes it an unsuitable location for the extension of alcohol sales hours.
Mi LAW,
Appeal No. 2011 -01
December 12, 2011
Page 8
Public Notification
The project site is located within the Santa Anita neighborhood and near the boundaries of the
Riverview West neighborhood. 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. However, members of the public did submit written
protests and appeared at one or more of the public hearings that considered the original request.
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
from further review per Section 15061(b)(3), which is a general rule exemption applying to
projects that have no possibility of having a significant impact on the environment. Categorical
Exemption Environmental Review No. 2011 -32 will be filed for this project.
Conclusion
Based on the analysis provided within this report, the Zoning Administrator's denial of the extension
of the hours of alcohol sales is recommended to be upheld by the Planning Commission, thereby
denying the applicant's appeal.
Verny Cary al
Senior Planner
VC:jm
vclreporlslappeaN 1.01 mod cup11.09 Mariscos Zamora ABC. 121211.pc
Attachments:
Exhibit 1 —Vicinity Map
Exhibit 2 — Location Map
Exhibit 3 — Floor Plan
Exhibit 4 — Site Plan
ikiiLINK
Vince Fregoso, A P
Principal Planner -y
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ROH — 12/12/11
RESOLUTION NO. 2011 -18
A RESOLUTION OF THE PLANNING COMMISSION OF
THE CITY OF SANTA ANA MODIFYING CONDITIONAL
USE PERMIT NO. 2011 -09 TO ALLOW A TYPE 41
ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE
PROPERTY LOCATED AT 3701 WEST MCFADDEN
AVENUE, SUITES G -J (APPROVAL OF APPEAL NO. 2011-
01)
BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF
SANTA ANA AS FOLLOWS:
Section 1. The Planning Commission of the City of Santa Ana hereby finds,
determines and declares as follows:
A. The applicant is requesting approval of modification of Conditional Use
Permit No. 2011 -09 for a Type 41 Alcoholic Beverage Control (ABC) license
to allow the on- premise consumption of beer and wine at the restaurant
located at 3701 West McFadden Avenue, Suites G -J.
B. Conditional Use Permit No. 2011 -09 came before the Zoning
Administrator of the City of Santa Ana on April 27, 2011, for a duly noticed
public hearing. On April 27, 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 approved Conditional Use Permit No.
2011 -09.
C. Conditional Use Permit No. 2011 -09 again came before the Zoning
Administrator of the City of Santa Ana on October 26, 2011, for a duly
noticed public hearing. On October 26, 2011, the Zoning Administrator of
the City of Santa Ana continued the public hearing to November 2, 2011.
On November 2, 2011, the Zoning Administrator approved modification of
the condition pertaining to live entertainment, but denied the request for a
modification to extend the hours of alcohol sales until 2:00 a.m.
D. The applicant is requesting approval of an appeal application to modify
Conditional Use Permit No. 2011 -09 and allow extended hours of alcohol
sales until 2:00 a.m. for the Mariscos Zamora Restaurant located at 3701
West McFadden Avenue, Suites G -J.
E. On December 12, 2011, the Planning Commission held a duly noticed
public hearing on Appeal No. 2011 -01 (Conditional Use Permit No. 2011-
09).
31 A -15 Resolution No. 2011 -18
Page 1 of 3
F. Santa Ana Municipal Code Section 41 -196 requires a conditional use
permit for the sale of alcoholic beverages for on -site consumption.
G. Santa Ana Municipal Code Sections 41 -649 and 41 -638 authorize 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
community?
The proposed use provides a service or facility which will
contribute to the general well being of the neighborhood or
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 use, under the circumstances of the particular
case and with conditions of approval, would not be
detrimental to the health, safety or general welfare of
persons residing or working in the vicinity.
3. Will the proposed use adversely affect the present economic
stability or future economic development of properties surrounding
the area?
The proposed use will be beneficial to the present economic
stability or future economic development of properties
surrounding the area.
4. Will the proposed use comply with the regulations and conditions
specified in Chapter 41 for such use?
The proposed use complies with the regulations and
conditions specified in Chapter 41 for such use.
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
or any specific plan of the City.
H. In accordance with the California Environmental Quality Act the
recommended action is exempt from further review per Section
15061(b)(3), which is a general rule exemption applying to projects that
have no possibility of having a significant impact on the environment.
Categorical Exemption Environmental Review No. 2011 -32 will be filed for
this project.
Section 2. The Planning Commission of the City of Santa Ana hereby
approves Appeal No. 2011 -01, thus approving modifications to Conditional Use Permit
No. 2011 -09 as conditioned by the Zoning Administrator in Exhibit "A" attached hereto
31 A -16 Resolution No. 2011 -18
Page 2 of 3
and incorporated herein, as well as overturning the Zoning Administrator's decision to
deny the request to sell alcohol until 2:00 a.m., thus amending Police Condition number
8 to allow sales of alcohol until 2:00 a.m.. This decision is based upon the evidence
submitted at the above said hearing, which includes, but is not limited to: the Request
for Planning Commission Action dated December 12, 2011, and exhibits attached
thereto; and the public testimony, all of which are incorporated herein by this reference.
ADOPTED this 12th day of December, 2011 by the following vote:
AYES: Commissioners: Alderete, Gartner, Mill, Nalle, Turner (5)
NOES: Commissioners
ABSENT: Commissioners
ABSTENTIONS: Commissioners
Acosta, Yrarrazaval (2)
None (0)
None (0)
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 -18 to be the original resolution
adopted by the Planning Commission of the City of Santa Ana on December 12, 2011.
Date:
Secretary of the Planning Commission
City of Santa Ana
31 A -17
Resolution No. 2011 -18
Page 3 of 3
Modified Conditions for Conditional Use Permit No. 2011 -09
Conditional Use Permit No. 2011 -09 is approved subject to compliance, to the reasonable
satisfaction of the Planning Manager, with all applicable sections of the Santa Ana
Municipal Code, the California Administrative Code, the California Building Standards
Code and all other applicable regulations.
The applicant must comply in full with each and every condition listed below rip or to
exercising the rights conferred by this 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. Conditional Use No. 97 -15 and associated findings and conditions shall
become null and void should Conditional Use Permit No. 2011 -09 be
approved.
2. All proposed site improvements must conform to the Site Plan Review
approval of DP No. 2010 -3.
3. 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.
4. 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
5. The alcoholic beverage storage and display area may not exceed five
percent of the restaurant's gross floor area.
6. Submit a planned sign program for review and approval to include
regulation of temporary signs, window signs, freestanding and wall signs as
permitted by Chapter 41 -860.
Exhibit A
Page 1 of 4
ikii_[_d_E:�
7. There shall be no gaming devices, such as pool tables, pinball machines,
motion picture booths, etc.
8. There shall be no conduct or entertainment allowed on the premises as
prohibited by Chapter 12 of the Santa Ana Municipal Code (SAMC).
9. The trash enclosure area must be cleaned and be kept in clean condition at
all times.
10. There shall be no parking on designated Fire Department fire lanes or any
other prohibited areas.
11. There shall be no outdoor sales or consumption of alcohol.
B. Police Department
1. The existing restaurant and the entire parking lot of the restaurant 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 issuance of Letter of Approval to the Alcohol Beverage Control
Board, condition 1 must be complied with.
3. The applicant shall be responsible for maintaining the premises free of
graffiti. All graffiti shall be removed within 24 hours of occurrence.
4. The cash register must be visible from the street at all times and shall not
be obstructed at any time by temporary or permanent signage.
5. Window displays must be kept to a minimum for maximum visibility and
shall not exceed 25 percent of window coverage.
6. Window displays and racks must be kept to a maximum height of three feet
including merchandise.
7. Install a silent armed robbery alarm.
8. Sales, service and consumption of alcoholic beverages shall be permitted
only between the hours of 7:00 a.m. and 42:00 a.m. (Request for
modification by the Planning Commission on December 12, 2011)
Exhibit A
Page 2 of 4
31 A -19
9. There shall be no live entertainment, amplified music, 6 #011ing m„s-inians- or
dancing permitted on the premises at any time. A juke box is allowed as
background ambient noise so long as the noise level is not audible beyond
twenty (20) feet of the business. In addition, non - amplified acoustic music
such as strolling musicians and karaoke are permitted provided that the
noise level is not audible beyond twenty (20) feet of the business.
(Request for modification by the Zoning Administrator on November 2,
2011)
10. The subject alcoholic beverage license shall not be exchanged for a public
premises type of license nor operate as a public premises.
11. 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.
12. There shall be no coin - operated games or pool table maintained on the
premises at any time.
13. 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.
14. No alcoholic beverages shall be consumed on any property adjacent to the
licensed premises under the control of the licensee.
15. The sale of beer and /or wine for consumption off the premises is prohibited.
16. All pay telephones shall be located on the interior of the premises. All
interior pay telephones must be designed to allow outgoing calls only.
17. The petitioner(s) shall be responsible for maintaining the premises free of
litter, including the area adjacent to the premises over which he has control.
18. There shall be no fixed bar or counter at which the service and consumption
of alcoholic beverages is allowed.
19. The service of alcoholic beverages shall be by waiter /waitress service only.
20. At all times when the premises are open for business, the sale and service
of alcoholic beverages shall be made only in conjunction with the sale and
service of food.
Exhibit A
Page 3 of 4
21. 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.
22. Conditional Use Permit No. 2011 -09 shall be reviewed at six months by the
Zoning Administrator and at 90 days, six months, at one year and then
annually thereafter by the Police Department for any modification to the
conditions of approval.
23. Ancillary music shall not be audible beyond the area under the control of the
licensee.
24. Neither the licensee, nor any person or entity operating the premises with
the permission of the licensee, shall violate the City's adult entertainment
ordinance contained in SAMC Section 12 -1 and 12 -2.
25. The premises shall not be operated as an adult entertainment business as
such term defined in SAMC Section 41- 1701.6.
26. Alcoholic beverages may not be sold through self - service displays or
coolers, which are the open display of alcoholic beverages accessible to the
public without the assistance of a clerk.
27. This land use authorization is only for a Type 41 on -sale beer and wine,
public eating place. Any other license use at this location will require a new
land use clearance.
28. A timed - access cash controller or drop safe must be installed.
Exhibit A
Page 4 of 4
31A-21
PROOF OF SERVICE
(C.C.P. SECTION 1013(a), 2015.5)
STATE OF CALIFORNIA. COUNTY OF ORANGE
I am employed in the aforesaid county; I am over the age of eighteen and not a
party to the within action; my business address is 20 Civic Center Plaza, Ross Annex
2nd Floor, Santa Ana, California 92702.
I served the foregoing document described as: Resolution No. 2011 -18
Conditional Use Permit No. 2011 -09 ) (ARPeal No. 2011 -0 in this action by placing
a true copy thereot enclosed in sealed envelopes addressed as follows:
Josafat Zamora Joshua Bereny, Esq.
3701 West McFadden Avenue McFadden Harbor Plaza, LLC
Santa Ana, CA 92704 15760 Ventura Blvd., 16th Floor
Encino, CA 91436
[ ] I caused to be delivered by courier, such envelope by hand to the office of the
addressee(s).
[X] BY MAIL I am readily familiar with my employer's practice of collection and
processing correspondence for mailing. Under that practice it would be deposited with
U.S. Postal Service on that same day with postage thereon fully prepaid at Santa Ana,
California in the ordinary course of business. I am aware that on motion of the party
served, service is presumed invalid if postal cancellation date or postage meter date is
more than one day after date of deposit for mailing in affidavit.
[ ] The document was transmitted by facsimile transmission and was reported as
complete and without error.
I declare under penalty of perjury under the laws of the State of California that
the foregoing is true and correct.
Executed on [date] at Santa Ana, California.
MARTHA RAMIREZ
31A-22